Transportation Marketplace Conferences and Seminars Announcement of Request for Proposals

DEPARTMENT OF TRANSPORTATION

Office of the Secretary

Transportation Marketplace Conferences and Seminars Announcement

of Request for Proposals

AGENCY: Office of Small and Disadvantaged Business Utilization

(O.S.D.B.U.), Department of Transportation.

ACTION: Notice of Request for Proposals (RFP).

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SUMMARY: The Department of Transportation's Office of Small and

Disadvantaged Business Utilization (O.S.D.B.U.) is responsible for the

Department's implementation and execution of the functions and duties

under sections eight (8) and fifteen (15) of the Small Business Act (15

U.S.C. 637) for developing policies and procedures consistent with

Federal statutes to provide policy direction for small, minority,

women-owned, and small disadvantaged business (S/DBE) participation in

the Department's procurement and Federal financial assistance

activities. The office is also responsible for assisting small,

minority, women-owned and small disadvantaged businesses to participate

in opportunities of the Department by establishing Transportation

Marketplace Conferences and Seminars (TMC'S) at which DOT contract

opportunities are advertised, relevant DOT information and materials

are disseminated and workshops are available on bonding, lending,

procurement, marketing, and business management are conducted by staff

and outside experts. The Secretary of Transportation has encouraged DOT

operating administrations to attend these conferences as his

representative(s) and to provide opportunities for small entrepreneurs

to participate fully in all DOT-funded procurements and DOT assisted

programs. This request solicits competitive proposals from diverse

organizations that can serve as OSDBU's Conference Cooordinator for

OSDBU's Transportation Marketplace Conferences and Seminars. Eligible

applicants must be registered with the Internal Revenue Service (IRS)

as tax-exempt organizations classified under the IRS Code as a 501(c)6

trade association. OSDBU will enter into a Cooperative Agreement with

one organization to provide conference coordination services between

the DOT, its grantees, recipients, contractors, subcontractors, and

small, minority, women-owned and disadvantaged business enterprises.

This Announcement of Request for Proposal (RFP) contains information

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concerning: (1) The principal objectives of the competition, eligible

applicants, activities and factors for award; (2) the application

process, including how to apply and the criteria used for selection;

and (3) a checklist of application submission requirements.

FOR GENERAL AND SPECIFIC INFORMATION CONTACT: Mr. Arthur Jackson ,

Office of Small and Disadvantaged Business Utilization, U.S. Department

of Transportation, 400 7th Street SW, Room 9410, Washington, DC, 20590,

Tel. 202-366-2852 or 800-532-1169.

SEND PROPOSALS TO: Mr. Arthur D. Jackson, Office of Small and

Disadvantaged Business Utilization (S-40), U.S. Department of

Transportation, 400 7th Street, S.W., Room 9410, Washington, D.C.

20590.

DATES: Proposals must be received at the above location by February

2nd, 1996, 4:00 p.m., Eastern Standard Time. Proposals received after

the deadline will be considered non-responsive and not reviewed. DOT

plans to give notice of awards on all applications by March 4th, 1996.

Dated: December 21, 1995.

Joseph A. Capuano,

Associate Director, Office of Small and Disadvantaged Business

Utilization.

Table of Contents

1. Introduction

1.1 Background

1.2 Program Description and Goals

1.3 Description of Competition

1.4 Duration of Agreements

1.5 Authority

1.6 Eligibility Requirements

2. Program Requirements

2.1 Recipient Responsibilities

2.2 Work Requirements

2.3 Office of Small and Disadvantaged Business Utilization

Responsibilities

3. Submission of Proposals

3.1 Content and Format for Proposals

3.2 Address, Number of Copies, Deadline for Submission

4. Selection Criteria

4.1 General Criteria

4.2 Scoring of Applications Application Form for Proposals--

Appendix A Attachments

SUPPLEMENTARY INFORMATION:

1. Introduction

1.1 Background

The United States Department of Transportation (DOT) established

the Office of Small and Disadvantaged Business Utilization (OSDBU) in

accordance with Public Law 95-507, an amendment to the Small Business

Act and the Small Business Investment Act of 1958. The OSDBU

administers the Department's Small and Disadvantaged Business

Enterprise (DBE) Program which is designed to ensure that small

businesses, including small disadvantaged and minority firms, have an

equitable opportunity to participate in DOT's procurement and Federal

financial assistance programs and that they receive a fair share of the

resulting contract awards. Because DOT's policy is to encourage and

increase DBE participation in the contracts and programs that it funds,

during FY 1994, DBEs received over $2.6 billion or 14.4 percent of

highway, transit, air and rail contracts from DOT-assisted State and

local transportation agencies.

OSDBU developes Department wide policy and administers a number of

programs and activities to implement the OSDBU's Congressional mandate

of increasing the level of participation of SDBs in the Federal

financial assistance and direct contracting programs of all modal

administrations of DOT. OSDBU is responsible for the development and

implementation of an effective program of activities directed at

ensuring SBE participation in the Department's direct procurement and

Federal financial assistance activities.

OSDBU monitors all DOT procurement activities that involve the

participation of DBEs, including the goal settings and procurement

practices of DOT financial assistance recipients, namely, State and

local transportation agencies. OSDBU also serves an important function

in assisting firms in their marketing of the Department and all of its

operating administrations. OSDBU is also responsible for developing and

administering programs to encourage, stimulate, promote and assist SDBs

to obtain and manage transportation-related contracts, subcontracts and

projects. The OSDBU administers the Short Term Lending Program (STLP)

and the Bonding Assistance Program (BAP), two financial assistance

efforts which provide assistance in obtaining short-term working

capital and surety bonding for DBEs. Under the STLP, lines of credit up

to $500,000 are available at prime interest rates to finance accounts

receivable for transportation-related contracts. The Bonding Assistance

Program enables DBEs to apply for bid, performance and payment bonds on

contracts up to $1,000,000.

1.2 Program Description and Goals

OSDBU has focused considerable time and resources to increasing

SDBE access to DOT financial assistance programs and contracting

opportunities through the use of Transportation Marketplace Conferences

and Seminars. This effort is accomplished through the use of a

Cooperative Agreement with a Minority Trade Association to provide

liaison services between DOT, its grantees, recipients, contractors,

subcontractors small and disadvantaged business enterprises. The

Agreement includes activities such as the identification of local and

regional officials who work directly with small businesses, information

dissemination, outreach services to the small business community (such

as SBDCs, State DOTs, etc), conference and seminar preparation and

logistical planning with hotels and other conference sites. In

addition, the trade association and/or Chamber of Commerce provides for

the advertisement of each conference/seminar in monthly or quarterly

newsletters of local organizations and provides for a follow-up

evaluation of each conference subsequent to the completion of the DOT

sponsored event.

The Transportation Marketplace includes the participation of other

Federal, state and local agencies and private contractors seeking the

involvement of small and minority firms in public and/or private

solicitations. The Transportation Marketplace provides for a plenary

session comprised of major dignitaries offering brief remarks, followed

by a ``business fair'' where buyers and sellers of goods and services

open lines of communications and match opportunities with a firm's

capabilities.

Also, during the Marketplace Conferences, information is

disseminated and distribution of DOT materials is provided to

attendees, such as; DOT Bonding Assistance Program Brochures; DOT

Bonding Assistance Fact Sheets; DOT Short-Term Lending Program

Brochures; DOT Short-Term Lending Fact Sheets; Procurement Forecasts;

DOT Small Business Subcontracting Opportunities Directory; Contracting

with the United States Department of Transportation Booklets; DOT

Bonding Assistance Program Applications; and DOT Short-Term Lending

Program Applications. A compilation of these materials is available in

the DOT's Marketing Information Package, a comprehensive document which

serves as a resource and reference tool. The Transportation Marketplace

Conferences were established by the OSDBU in October 1992 to provide a

mechanism for the small, minority and women business communities to

have current information from National DOT regarding contract

opportunities being advertised and awarded by the DOT 10 modal

administrations. Also, the Conferences were seen as an opportunity for

small firms to have direct contact with staff from OSDBU,

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the Secretary's representatives, the DBE Liaison Officers and

contracting officers from the Department. Because of the expense of

traveling to Washington, D.C. to market their products, many SDBs were

financially unable to spend quality time in the national offices of

DOT. The Marketplace Conferences provide information relative to all

modes of transportation and to potential contract possibilities. Also,

the OSDBU's Minority Business Resource Center's regulations require

that this office work with Trade Associations and/or Chambers of

Commerce to serve our constituency. The goal is accomplished by the

OSDBU working closely with Chambers of Commerce and trade associations

to:

(1) Establish a communications link between DOT, its grantees,

recipients, contractors, subcontractors and the small and disadvantaged

business community.

(2) Increase awareness of DOT contracting opportunities and

financial assistance programs by disseminating DOT marketing materials

and relevant information at selected conferences, seminars and

marketplace events.

(3) Identify local and regional official who work directly with

small businesses and ensure their attendance and participation at the

Marketplace Conferences which reinforces their commitment to the small,

minority and women business community for potential contracting

opportunities.

(4) Increase awareness of programs by providing DOT representation

at selected conferences, seminars and marketplace events and by

providing DOT ads and articles in organizations' newsletters.

(5) Develop and maintain databases of transportation-related DBEs

as potential participants in DOT procurement and/or financial

assistance programs that register and attend the Transportation

Marketplace Conferences.

(6) Have responsibility for logistics involved in each conference,

including hotel arrangements and securing facilities replete with

sizeable rooms and quality sound systems.

(7) Complete a Customer-Service follow-up activity after each

conference in order to receive feed-back from participants after

session has ended.

1.3 Description of Competition

The purpose of this RFP is to solicit proposals from eligible

Chambers of Commerce and trade associations for consideration as the

Coordinator for DOT's Transportation Marketplace Conferences and

Seminars. This effort shall enable the OSDBU to increase the number of

small, minority and women businesses that enter into transportation-

related contracts, and provide small firms with procurement information

and access to the DOT Short Term Lending and Bonding Assistance

Programs.

In order to have regular dialogue and direct contact with the

Conference Coordinator, the selected organization must by headquartered

geographically within the Washington, D.C./Baltimore, MD metropolitan

area. Any personnel assigned to the project must be housed within the

organization's headquarters and/or should not be over 60 miles one-way

in commuting distance.

1.4 Duration of Agreement

The Cooperative Agreement will be awarded for a period of 12 months

(one year) with a one year renewable option. Subsequent funding will be

contingent upon satisfactory performance and the availability of funds

in subsequent fiscal years.

1.5 Authority

DOT is authorized under 49 U.S.C. 322 (P.L. 97-449), to provide

conferences and seminars OSDBU utilizes Cooperative Agreements with

Trade Associations and Chambers of Commerce as its mechanism to deliver

services to small businesses and DBEs in order to partake of

transportation-related contracts.

1.6 Eligibility Requirements

An eligible applicant organization will be:

An established, non-profit, Chamber of Commerce or trade

association which has the documented experience and capacity necessary

to successfully operate and administer and coordinate Transportation

Marketplace Conferences and Seminars nationally with minimum

supervision from the OSDBU. In addition, to be eligible, a Chamber of

Commerce or trade association must:

(a) Be an established 501 C(6) tax-exempt organization (provide

documentation as verification);

(b) Have at least two years of documented and continuous experience

prior to the date of application in providing conference and seminar

planning, setting up exhibits for marketplaces or trade fairs,

management and marketing assistance services and referral to technical

assistance agencies of DBEs within the LOSP regional service area in

which proposed services will be provided.

(c) Have an office physically located within the Washington, D.C./

Baltimore metropolitan service area; and

2. Program Requirements

In conducting the activities to achieve the goals of the

Transportation Marketplace Conferences and Seminars, the recipient

shall be responsible for implementing the activities under 2.1 and 2.2

below. The OSDBU shall be responsible for conducting activities under

2.3.

2.1 Recipient Responsibilities

1. Each participant shall:

(a) Establish a toll free telephone line to be made available to

small business interested in securing information regarding

Transportation Marketplace Conferences in their areas and how they can

participate in various workshops and seminars on procurement,

certification, bonding and lending program.

(b) Identify hotels and other facilities where the conferences/

seminars will be held and provide costs associated with these events.

(c) Whenever and wherever possible, the Contractor shall retain the

services of local small, minority or women-owned businesses or non-

profit organizations to assist with local in-put and involvement to

make the events more acceptable to the general community. The local

representative should have credibility with the community and have

demonstrated expertise in working with conferences.

(d) Identify and contact individual businesses and business

representative groups in the area and vicinity utilizing mailing lists

provided by OSDBU's National Information Clearinghouse (NIC) as well as

the Contractor's own mailing list.

(e) Coordinate with hotel management to insure that all

arrangements for conferences are completed (block of guest rooms,

conference rooms, etc).

(f) Handle set up and break-down of DOT OSDBU exhibit booths;

handle details for planned luncheons; and assemble conference materials

and brochures using information supplied by DOT/OSDBU.

(g) Idenfity Federal, State and local transportation and other

agencies, in consultation with OSDBU, to be invited to participate in

each conference. Also prepare tentative and final conference agendas

and prepare all letters for the OSDBU Director's signature, inviting

agencies and individuals to participate.

(h) Make follow-up phone calls with top agency officials to confirm

their participation.

(i) Secure media, both print and broadcast, regarding the

conferences and provide for a photographer throughout the entire

conference

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shedule. Advertisements should be published in local newspapers and in

minority periodicals no later than two (2) weeks prior to the scheduled

date.

(j) Set up registration, both pre and at the door, and prepare

identification badges and distribut informational kits provided by DOT/

OSDBU.

(k) Make a survey of the proposed conference site and the

surrounding metropolitan area to ensure that there are no major small

or minority or women business conferences being held that would

conflict with the scheduled OSDBU conference.

(l) Provide a weekly status report on the conference preparations

and submit two (2) copies of a final report and one version on diskette

in MS word or compatible format for WINDOWS on each conference no later

than 30 days after the conference. The report should include, but not

limited to, specific procedures utilized to implement the conference, a

complete listing of participants, recommendations regarding

improvements, and results from conference evaluations completed by

participants.

(m) Develop and implement an on-going evaluation plan for

activities under the Cooperative Agreement that will provide

qualitative and quantative data for effective monitoring the program.

(n) Furnish all labor, facilities and equipment to perform the

services described in this announcement.

2.2 Office of Small and Disadvantaged Business Utilization (OSDBU)

Responsibilities

The OSDBU shall perform the following roles as its contribution to

the attainment of Program objectives:

1. Provide orientation and training to applicant awarded funding

for participation in the Transportation Marketplace Conference and

Seminar project.

2. Monitor performance of successful applicant's activities and

program compliance.

3. Provide for DOT materials and other information to be

disseminated to small, minority and women-owned businesses that

participate in one or more of the Transportation Marketplace

Conferences.

4. Facilitate the exchange and transfer of successful conference

activities and program information among Federal, state, local and

private business officials.

3. Submission of Proposals

3.1 Content and Format for Proposals

Each proposal submitted to DOT must be in the format and must

contain the information set forth in the application form attached as

Appendix A to this announcement.

3.2 Address; Number of Copies; Deadlines for Submission

Any eligible organization (as defined in Section 1.6 of this

announcement) shall submit only one proposal for consideration by DOT.

As specified in Appendix A, applications should be double spaced,

and printed in a font size not smaller than 12 points. One unbound copy

of the proposal with original signatures suitable for reproduction,

plus five bound copies, should be submitted. All pages should be

numbered at the top of each page. ALL DOCUMENTS, ATTACHMENTS, OR OTHER

INFORMATION PERTINENT TO THE APPLICATION MUST BE INCLUDED IN A SINGLE

SUBMISSION, NOT TO EXCEED 35 PAGES.

Proposals should be submitted to: Arthur D. Jackson, Office of

Small and Disadvantaged, Business Utilization, S-40, Department of

Transportation, 400 7th Street, S.W., Room 9410, Washington, D.C.

20590.

Proposals must be received by DOT/OSDBU no later than February 2,

1996, 4:00 p.m., EST.

4. Selection Criteria

4.1 General Criteria

DOT will use the following criteria to rate and rank applications

received in response to this announcement. Applications will be

evaluated on a point system (maximum number of points = 100). The

following five (5) maximum weighted categories will constitute DOT's

selection criteria:

A. Approach (20 points)

B. Linkages (15 points)

C. Organizational Capability (20 points)

D. Staff Capabilities and Experience (30 points)

E. Costs (15 points)

1. Approach (20 points)

The application must describe the activities proposed to be

implemented under the cooperative agreement and how the work will be

accomplished throughout the year. Present a well-constructed plan of

action. DOT will consider the extent to which the proposed objectives

are specific, measurable, time-phased, consistent with OSDBU goals and

the proposed activities are consistent with the applicant

organization's overall mission. DOT will give priority consideration to

applicants that demonstrate innovation and creativity of approach in

increasing the ability of small, minority and women businesses to

access information on DOT contracting opportunities and financial

assistance programs as a result of the Transportation Marketplace

Conference and Seminars. DOT will also rate the quality of the

applicant's plan for conducting program activities and the likelihood

that the proposed methods will be successful in achieving proposed

objectives.

2. Linkages (15 points)

DOT will consider innovative aspects of the applicant's approach

which build upon the applicant's strength(s) and facilitate and

encourage linkages to existing resources available within the

geographical area for the Transportation Marketplace Conferences. The

applicant should describe support and intended collaboration on

conference activities from DOT grantees, prime contractors,

subcontractors, State DOTs, State highway supportive services

contractors, SBDCs, MBDCs. In areas where colleges and universities

such as; Historically black Colleges and Universities (HBCUs), Hispanic

Association of Colleges and Universities' affiliations (HACUs) and

Tribal-Affiliated Colleges and Universities (TACUs) are located,

linkages should be established with these entities. DOT will also rate

the effectiveness of the applicant's strategy to outreach to a

substantial number of small businesses that can participate in DOT

conferences. In rating this factor, DOT will consider the extent to

which the applicant demonstrates ability to effectively access small

and minority business networks that produce a broad and diverse range

of small firms that can benefit from a transportation-related

conference and/or seminar.

B. Organizational Capability (20 Points)

The applicant organization must have outreach resources and

relevant experience in carrying out the purposes of the Transportation

Marketplace Conferences and Seminars. In rating this factor, DOT will

consider the extent to which the applicant's organization has recent,

relevant and successful experience in coordinating and managing a

transportation-related conference(s) and/or seminar for small, minority

and women-owned business, either locally or nationally. The applicant

must also describe technical and administrative resources it plans to

use in achieving proposed objectives (i.e., computer facilities,

voluntary staff time, space and financial resources).

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C. Staff Capability and Experience (30 Points)

The applicant organization should provide a list of proposed

personnel for the project with salaries, educational levels and

previous experience delineated. The applicant's project team must be

well-qualified and knowledgeable (ensuring diversity) which shows

evidence of the ability to deal effectively with the broad range of

small and small DBE clients to be served. Resumes must be submitted for

all proposed key personnel, outside consultants and subcontractors.

Experience of key personnel in providing services similar in scope and

nature to the proposed effort must be presented in detail. The Project

Director will serve as the responsible individual for the project. He/

she must be designated in the proposal and his/her resume must reflect

appropriate knowledge of the industry and must have supervisory

experience. DOT will consider the extent to which (a) the applicant's

proposed management plan clearly delineates staff responsibilities and

accountability for all work required and presents a work plan with a

clear and feasible schedule for conducting all project tasks.

D. Cost (15 Points)

The budget is the applicant's estimate of the total cost of

establishing and administering its participation in the Transportation

Marketplace Conferences and Seminars. At this time, the OSDBU has not

finalized its location for conferences during 1996, however it is

anticipated that a total of four (4) will be held during the year. The

tentative locations are New Orleans, San Francisco, North Carolina and

Minneapolis. The applicant's budget should reflect direct costs since

the conference locations are subject to change for support of

personnel. However costs directly related to each conference, i.e.

costs of hotel facilities, travel and per diem, will be added to the

agreement on a cost incurred basis and should not be included as part

of the applicant's proposal. Applicants are encouraged to provide in-

kind costs and other innovative cost approaches.

4.2 Scoring of Applications

A review panel will score each application based upon the

evaluation criteria listed above. Points will be given for each

evaluation criteria category not to exceed the maximum number of points

allowed for each category. Applications which are not responsive to the

established criteria above will be disqualified.

Appendix A--Application Form for Proposals for the Department of

Transportation; Transportation Marketplace Conferences and Seminars

Proposals for the DOT Transportation Marketplace Conferences and

Seminars should contain all of the following information and should be

submitted in the following format.

Applications should be double spaced and printed in a font size not

smaller than 12 points. One unbound copy of the proposal with original

signatures suitable for reproduction, plus five bound copies, should be

submitted. Applications, including attachments, will be limited to 35

pages. All pages should be numbered at the top of each page. All

documentation, attachments, or other information pertinent to the

application should be included in a single submission, forwarded

directly to the address listed below. Proposals should be submitted to:

Arthur D. Jackson, Office of Small and Disadvantaged Business

Utilization, Department of Transportation, 400 7th Street, S.W., Room

9410, Washington, D.C. 20590.

Proposals Must Be Received by DOT/OSDBU No Later Than February 2,

1996, 4:00 P.M. EST.

All applications must contain the following sections in the

following order.

1. Table of Contents

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

2. Application Summary Page

--Provide a one page overview of the following:

--The applicant's proposed activities including key elements of the

plan of action/methodology to achieve project objectives.

--The applicant's relevant organizational experience and capabilities.

3. Understanding of the Work

--Provide a narrative which contains specific project information as

follows:

--The applicant will describe its understanding of the goals for the

Transportation Marketplace Conferences and Seminars and the role of the

applicant's proposal in advancing the applicant's goals.

4. Approach/Methodology

--Describe the applicant's methodology or plan of action for conducting

the project in terms of the tasks to be performed.

--Describe the specific services or activities to be performed and how

these services/activities will be implemented.

--Describe innovative and/or creative approaches to be implemented to

increase the ability of small , and small DBES to access information on

DOT contracting opportunities and financial assistance programs.

5. Linkages

--Describe or indicate evidence of linkages or collaborations developed

or to be developed with State DOTs, DOT grantees, DOT prime

contractors, Chambers of Commerce as well as trade associations and

technical assistance agencies including DOT/FHWA supportive services

contractors, MBDCs and SBDCs and minority institutions including HBCUs,

HACUs and TACUs.

6. Organizational Capabilities

--Describe recent, relevant and successful experience in coordinating

and managing a transportation-related conference(s) and/or seminar for

small, minority and women businesses either locally or nationally.

--Describe technical and administrative resources it plans to use in

achieving proposed objectives (i.e. computer facilities, voluntary

staff time, space and financial resources).

7. Staff Capabilities

--Describe the qualifications and relevant experience, in relation to

project requirements, of the key personnel to be used in the project.

8. Management Plan

--Describe how personnel are to be organized in the project and how

they will be used to accomplish project objectives. Outline staff

responsibilities, accountability and a schedule for conducting all

project tasks.

9. Budget Narrative

--Outline all proposed budget/cost information in detail.

10. Assurances Signature Form

--Complete the attached form identified as Attachment 2.

11. Certification Signature Form

--Complete the attached form identified as Attachment 3.

12. Standard Form 424

--(Request for Federal Assistance). Complete the attached Standard Form

424 identified as Attachment 4.

Please be sure that all forms have been signed by an authorized

official who can legally represent the organization.

Attachment 2--Assurances

All recipients of Federal funding are required to assure that

the recipient:

Has the legal authority to apply for Federal

assistance, and the institutional,

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managerial, and financial capability (including funds sufficient to

pay the non-Federal share of project costs) to ensure proper

planning, management, and completion of the project described in

this application.

Will give the awarding agency, the Comptroller General

of the United States, and, if appropriate, the State, through any

authorized representative, access to and the right to examine all

records, books, papers, or documents related to the award; and will

establish a proper accounting system in accordance with generally

accepted accounting standards or agency directives.

Will establish safeguards to prohibit employees from

using their position for a purpose that constitutes or presents the

appearance of personal or organizational conflict of interest, or

personal gain.

Will initiate and complete the work within the

applicable time frame after receipt of approval of the awarding

agency.

Will comply with the Intergovernmental Personnel Act of

1970 (42 U.S.C. 4728-4763) relating to prescribed standards for

merit systems for programs funded under one of the nineteen statutes

or regulations specified in Appendix A of OPM's Standards for a

Merit System of Personnel Administration (5 CFR 900; Subpart F).

Will comply with all Federal statutes relating to

nondiscrimination. These include but are not limited to: (a) Title

VI of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits

discrimination on the basis of race, color, or national origin; (b)

Title IX of the Education Amendments of 1972, as amended (20 U.S.C.

1681-1683, and 1685-1686), which prohibits discrimination on the

basis of sex; (c) Section 504 of the Rehabilitation Act of 1973, as

amended (29 U.S.C. 794), which prohibits discrimination on the basis

of disability; (d) The Age Discrimination Act of 1975, as amended

(42 U.S.C. 6101-6107), which prohibits discrimination on the basis

of age; (e) The Drug Abuse Office and Treatment Act of 1972 (P.L.

92-255), as amended, relating to nondiscrimination on the basis of

drug abuse; (f) The Comprehensive Alcohol Abuse and Alcoholism

Prevention, Treatment and Rehabilitation Act of 1970 (P.L. 91-616),

as amended, relating to nondiscrimination on the basis of alcohol

abuse or alcoholism; (g) 523 and 527 of the Public Health Service

Act of 1912 (42 U.S.C. 290dd-3 and 290ee-3), as amended, relating to

confidentiality of alcohol and drug abuse patient records; (h) Title

VIII of the Civil Rights Act of 1968 (42 U.S.C. 3601 et seq.), as

amended, relating to nondiscrimination in the sale, rental or

financing of housing; (i) any other nondiscrimination provisions in

the National and Community Service Act of 1990, as amended; and (j)

the requirements of any other nondiscrimination statute(s) which may

apply to the application.

Will comply, or has already complied, with the

requirements of Titles II and III of the Uniform Relocation

Assistance and Real Property Acquisition Policies Act of 1970 (P.L.

91-646) which provide for fair and equitable treatment of persons

displaced or whose property is acquired as a result of Federal or

Federally assisted programs. These requirements apply to all

interests in real property acquired for project purposes regardless

of Federal participation in purchases.

Will comply with the provisions of the Hatch Act (5

U.S.C. 1501-1508 and 7324-7328) which limit the political activities

of employees whose principal employment activities are funded in

whole or in part with Federal funds.

Will comply, as applicable, with the provisions of the

Davis-Bacon Act (40 U.S.C. 276a and 276a-77), the Copeland Act (40

U.S.C. 276c and 18 U.S.C. 874), and the Contract Work Hours and

Safety Standards Act (40 U.S.C. 327-333), regarding labor standards

for Federally assisted construction sub-agreements.

Will comply, if applicable, with flood insurance

purchase requirements of Section 102(a) of the Flood Disaster

Protection Act of 1973 (P.L. 93-234) which requires the recipients

in a special flood hazard area to participate in the program and to

purchase flood insurance if the total cost of insurable construction

and acquisition is $10,000 or more.

Will comply with environmental standards which may be

prescribed pursuant to the following: (a) institution of

environmental quality control measures under the National

Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order

(EO) 11514; (b) notification of violating facilities pursuant to EO

11738; (c) protection of wetlands pursuant to EO 11990; (d)

evaluation of flood hazards in floodplains in accordance with EO

11988; (e) assurance of project consistency with the approved state

management program developed under the Coastal Zone Management Act

of 1972 (16 U.S.C. 1451 et seq.); (f) conformity of Federal actions

to State (Clean Air) Implementation Plans under Section 176(c) of

the Clean Air Act of 1955, as amended (42 U.S.C. 7401 et seq.); (g)

protection of underground sources of drinking water under the Safe

Drinking Water Act of 1974, as amended (P.L. 93-523); and (h)

protection of endangered species under the Endangered Species Act of

1973, as amended (P.L. 93-205).

Will comply with the Wild and Scenic Rivers Act of 1968

(16 U.S.C. 1271 et seq.) related to protecting components or

potential components of the national wild and scenic rivers system.

Will assist the awarding agency in assuring compliance

with Section 106 of the National Historic Preservation Act of 1966,

as amended (16 U.S.C. 470), EO 11593 (identification and protection

of historic properties), and the Archaeological and Historic

preservation Act of 1974 (16 U.S.C. 469a-1 et seq.).

Will comply with P.L. 93-348 regarding the protection

of human subjects involved in research, development, and related

activities supported by this award of assistance.

Will comply with the Laboratory Animal Welfare Act of

1966 (P.L. 89-544, as amended, 7 U.S.C. 2131 et seq.) pertaining to

the care, handling, and treatment of warm blooded animals held for

research, teaching, or other activities supported by this award of

assistance.

Will comply with the Lead-Based Paint Poisoning

Prevention Act (42 U.S.C. Secs. 4801 et seq.) which prohibits the

use of lead based paint in construction or rehabilitation of

residence structures.

Will cause to be performed the required financial and

compliance audits in accordance with the Single Audit Act of 1984 or

OMB Circular A-133. Audits of Institutions of Higher Learning and

other Non-profit Institutions.

Will comply with all applicable requirements of all

other Federal laws, executive orders, regulations, and policies

governing this program.

In addition, all recipients of Corporation assistance under this

application are required to assure that the recipient:

Will keep such records and provide such information to

the Corporation with respect to the program as may be required for

fiscal audits and program evaluation.

Will not use the assistance to replace State and local

funding streams that had been used to support programs of the type

eligible to receive Corporation support. For any given program, this

condition will be satisfied if the aggregate non-Federal expenditure

for that program in the fiscal year that support is to be provided

is not less than the previous fiscal year.

Will use the assistance only for a program that does

not duplicate, and is in addition to, an activity otherwise

available in the locality of the program.

Will comply with the Notice, Hearing, and Grievance

Procedures found in Sec. 176 of the Act.

Will comply with the nondisplacement rules found in

Sec. 177(b) of the Act. Specifically, an employer shall not

displace an employee or position, including partial displacement

such as reduction in hours, wages, or employment benefits, as a

result of the employer using an AmeriCorps participant; a service

opportunity shall not be created that will infringe on the

promotional opportunity of an employed individual; an AmeriCorps

participants shall not perform any services or duties or engage in

activities that (1) would otherwise be performed by an employee as

part of the employee's assigned duties, (2) will supplant the hiring

of employed workers, (3) are services or duties with respect to

which an individual has recall rights pursuant to a collective

bargaining; agreement or applicable personnel procedures; or (4)

have been performed by or were assigned to any presently employed

worker, an employee who recently resigned or was discharged, an

employee who is on leave, an employee who is on strike or is being

locked out, or an employee who is subject to a reduction in force or

has recall rights subject to a collective bargaining agreement or

applicable personnel procedure.

Assurances--Signature

By signing this assurances page, the applicant certifies that it

will agree to perform all actions and support all intentions stated

in the attached Assurances.

NOTE: This form must be signed and included in the application.

Organization Name

----------------------------------------------------------------------

Project Name

[[Page 220]]

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Name and Title of Authorized Representative

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Signature

----------------------------------------------------------------------

Date

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

ATTACHMENT 3--Certifications

Before completing certification, please read Certification

Instructions on the following page.

Certification--Debarment, Suspension, and Other Responsibility

Matters. This certification is required by the regulations

implementing Executive Order 12549, Debarment and Suspension, 34 CFR

Part 85, Section 85.510, Participants' responsibilities. The

regulations were published as Part VII of the May 26, 1988 Federal

Register (pages 19160-19211).

(1) The applicant certifies to the best of its knowledge and

belief, that it and its principals:

(a) Are not presently debarred, suspended, proposed for

debarment, declared ineligible, or voluntarily excluded from covered

transactions by any Federal department or agency.

(b) Have not within a three-year period preceding this proposal

been convicted of or had a civil judgment rendered against them for

commission of fraud or a criminal offense in connection with

obtaining, attempting to obtain, or performing a public (Federal,

State or local) transaction or contract under a public transaction;

violation of Federal or State anti-trust statutes or commission of

embezzlement, theft, forgery, bribery, falsification or destruction

of records, making false statements, or receiving stolen property,

(c) Are not presently indicted for or otherwise criminally or

civilly charged by a governmental entity (Federal, State or local)

with commission of any of the offenses enumerated in paragraph

(1)(b) of this certification, and

(d) Have not within a three-year period preceding this

application proposal had one or more public transactions (Federal,

State or local) terminated for cause or default;

(2) Where the applicant is unable to certify to any of the

statements in this certification, such applicant shall attach an

explanation to this application.

Certification--Drug-Free Workplace. This certification is

required by the regulations implementing the Drug-Free Workplace Act

of 1988, 34 CFR Part 85, Subpart F. The regulations, published in

the January 31, 1989 Federal Register, require certification by

grantees, prior to award, that they will maintain a drug-free

workplace. The certification set out below is a material

representation of fact upon which reliance will be placed when the

agency determines to award the grant. False certification or

violation of the certification shall be grounds for suspension of

payments, suspension or termination of grants, or government-wide

suspension or debarment (see 34 CFR Part 85, Section 85.615 and

85.620). The grantee certifies that it will provide a drug-free

workplace by:

(1) Publishing a statement notifying employees that the unlawful

manufacture, distribution, dispensing, possession or use of a

controlled substance is prohibited in the grantee's workplace and

specifying the actions that will be taken against employees for

violation of such prohibition;

(2) Establishing a drug-free awareness program to inform

employees about--

(a) the dangers of drug abuse in the workplace,

(b) the grantee's policy of maintaining a drug-free workplace,

(c) any available drug counseling, rehabilitation, and employee

assistance programs, and

(d) the penalties that may be imposed upon employees for drug

abuse violations occurring in the workplace;

(3) Making it a requirement that each employee to be engaged in

the performance of the grant be given a copy of the statement

required by paragraph (1);

(4) Notifying the employee in the statement required by

paragraph (1) that, as a condition of employment under the grant,

the employee will

(a) abide by the terms of the statement, and

(b) notify the employer of any criminal drug statute conviction

for a violation occurring in the workplace no later than five days

after such conviction;

(5) Notifying the Corporation within ten days after receiving

notice under subparagraph (4)(b) from an employee or otherwise

receiving actual notice of such conviction;

(6) Taking one of the following actions, within 30 days of

receiving notice under subparagraph (4)(b) with respect to any

employee who is so convicted--

(a) Taking appropriate personnel action against such an

employee, up to and including termination; or

(b) Requiring such employee to participate satisfactorily in a

drug abuse assistance or rehabilitation program approved for such

purposes by a Federal, State, or local health, law enforcement, or

other appropriate agency;

(7) Making a good faith effort to continue to maintain a drug-

free workplace through implementation of paragraphs (1), (2), (3),

(4), (5), and (6).

Certification--Lobbying Activities

As required by Section 1352, Title 31, of the US Code, the

applicant certifies that:

A. No Federal appropriated funds have been paid or will be paid,

by or on behalf of the undersigned, to any person for influencing or

attempting to influence an officer or employee of any agency, a

Member of Congress, an officer of Congress in connection with the

awarding of any Federal contract, the making of any Federal loan,

the entering into of any cooperative agreement, or modification of

any Federal contract, grant, loan, or cooperative agreement;

B. If any funds other than Federal appropriated funds have been

paid or will be paid to any person for influencing or attempting to

influence an officer or employee of any agency, a Member of

Congress, an officer or employee of Congress, or an employee of a

Member of Congress in connection with this Federal contract, grant,

loan, or cooperative agreement, the undersigned shall complete and

submit Standard Form-LLL. ``Disclosure Form to Report Lobbying,'' in

accordance with its instructions;

C. The undersigned shall require that the language of this

certification be included in the award documents for all

subcontracts at all tiers (including subcontracts, subgrants, and

contracts under grants, loans and cooperative agreements) and that

all subrecipients shall certify and disclose accordingly.

Certification--Signature

Before You Start. Before completing certification, please read

Certification Instructions.

Note: This form must be signed and included in the application.

Signature. By signing this Certification page, the applicant

certifies that it will agree to perform all actions and support all

intentions stated in the Certifications set forth above. The three

Certifications are:

Certification: Debarment, Suspension, and Other

Responsibility Matters

Certification: Drug-Free Workplace

Certification: Lobbying Activities

Organization Name

----------------------------------------------------------------------

Project Name

----------------------------------------------------------------------

Name and Titled of Authorized Representative

----------------------------------------------------------------------

Signature

----------------------------------------------------------------------

Date

----------------------------------------------------------------------

Certification Instructions

By signing the Certification Signature Page on the previous

page, the applicant certified that it will agree to perform all

actions and support all intentions stated in the Certifications.

Signing the Certification Page

1. Inability to Certify. The inability of a person to provide

the certification required below will not necessarily result in

denial of a grant. The applicant shall submit an explanation of why

it cannot provide the certification set out below. The certification

or explanation will be considered in connection with the Corporation

determination whether to enter into this transaction. However,

failure of the applicant to furnish a certification or an

explanation shall disqualify such applicant for a grant.

2. Erroneous Certification. The certification in this clause is

a material representation of fact upon which reliance was placed

when the Corporation determined to enter into this transaction. If

it is later determined that the applicant knowingly rendered an

erroneous certification, in addition to other remedies available to

the Federal Government, the Corporation may terminate this

transaction for cause or default.

3. Notice of Error in Certification. The applicant shall provide

immediate written notice to the Corporation to whom this proposal is

submitted if at any time the applicant learns that its certification

was erroneous when submitted or has become

[[Page 221]]

erroneous by reason of changed circumstances.

4. Definitions. The terms ``covered transactions,''

``debarred,'' ``suspended,'' ``ineligible,'' ``lower tier covered

transaction,'' ``participant,'' ``person,'' ``primary covered

transaction,'' ``principal,'' `` proposal,'' and ``voluntarily

excluded,'' as used in this clause, have the meanings set out in the

Definitions and Coverage sections of the rules implementing

Executive Order 12549. An applicant shall be considered a

``prospective primary participant in a covered transaction'' as

defined in the rules implementing Executive Order 12549. You may

contact the Corporation for assistance in obtaining a copy of those

regulations.

5. Certification Requirement for Subgrant Agreements. The

applicant agrees by submitting this proposal that, should the

proposed covered transaction be entered into, it shall not knowingly

enter into any lower tier covered transaction with a person who is

debarred, suspended, declared ineligible, or voluntarily excluded

from participation in this covered transaction, unless authorized by

the Corporation.

6. Certification Inclusion in Subgrant Agreements. The applicant

further agrees by submitting this proposal that it will include the

clause titled ``Certification Regarding Debarment, Suspension,

Ineligibility, and Voluntary Exclusion-Lower Tier Covered

Transactions,'' provided by the Corporation, without modification,

in all lower tier covered transactions and in all solicitations for

lower tier covered transactions.

7. Certification of Subgrant Principals. A grantee may rely upon

a certification of a prospective participant in a lower-tier covered

transaction that it is not debarred, suspended, ineligible, or

voluntarily excluded from the covered transaction, unless it knows

that the certification is erroneous. A grantee may decide the method

and frequency by which it determines the eligibility of its

principals. Each grantee may, but is not required to, check the

Nonprocurement List.

8. Prudent Person Standard. Nothing contained in the foregoing

shall be construed to require establishment of a system of records

in order to render in good faith the certification required by this

clause. The knowledge and information of a grantee is not required

to exceed that which is normally possessed by a prudent person in

the ordinary course of business dealings.

9. Non-Certification in Subgrant Agreements. Except for

transactions authorized under paragraph 6 of these instructions, if

a grantee knowingly enters into a lower-tier covered transaction

with a person who is suspended, debarred, ineligible, or voluntarily

excluded from participation in this transaction, in addition to

other remedies available to the Federal Government, the department

or agency may terminate this transaction for cause or default.

BILLING CODE 4910-62-P

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ATTACHMENT 4

[GRAPHIC] [TIFF OMITTED] TN03JA96.000

BILLING CODE 4910-62-C

[[Page 223]]

Instructions for the SF 424

This is a standard form used by applicants as a required

facesheet for preapplications and applications submitted for Federal

assistance. It will be used by Federal agencies to obtain applicant

certification that States which have established a review and

comment procedure in response to Executive Order 12372 and have

selected the program to be included in their process, have been

given an opportunity to review the applicant's submission.

Item and Entry

1. Self-explanatory.

2. Date application submitted to Federal agency (or State if

applicable) & applicant's control number (if applicable).

3. State use only (if applicable).

4. If this application is to continue or revise an existing

award, enter present Federal identifier number. If for a new

project, leave blank.

5. Legal name of applicant, name of primary organizational unit

which will undertake the assistance activity, complete address of

the applicant, and name and telephone number of the person to

contact on matters related to this application.

6. Enter Employer Identification Number (EIN) as assigned by the

Internal Revenue Service.

7. Enter the appropriate letter in the space provided.

8. Check appropriate box and enter appropriate letter(s) in the

space(s) provided:

--``New'' means a new assistance award.

--``Continuation'' means an extension for an additional funding/

budget period for a project with a projected completion date.

--``Revision'' means any change in the Federal Government's

financial obligation or contingent liability from an existing

obligation.

9. Name of Federal agency from which assistance is being

requested with this application.

10. Use the Catalog of Federal Domestic Assistance number and

title of the program under which assistance is requested.

11. Enter a brief descriptive title of the project, if more than

one program is involved, you should append an explanation on a

separate sheet. If appropriate (e.g., construction or real property

projects), attach a map showing project location. For

preapplications, use a separate sheet to provide a summary

description of this project.

12. List only the largest political entities affected (e.g.,

State, counties, cities).

13. Self-explanatory.

14. List the applicant's Congressional District and any

District(s) affected by the program or project.

15. Amount requested or to be contributed during the first

funding/budget period by each contributor. Value of in-kind

contributions should be included on appropriate lines as applicable.

If the action will result in a dollar change to an existing award,

indicate only the amount of the change. For decreases, enclose the

amounts in parentheses. If both basic and supplemental amounts are

included, show breakdown on an attached sheet. For multiple program

funding, use totals and show breakdown using same categories as item

15.

16. Applicants should contact the State Single Point of Contact

(SPOC) for Federal Executive Order 12372 to determine whether the

application is subject to the State intergovernmental review

process.

17. This question applies to the applicant organization, not the

person who signs as the authorized representative. Categories of

debt include delinquent audit disallowances, loans and taxes.

18. To be signed by the authorized representative of the

applicant. A copy of the governing body's authorization for you to

sign this application as official representative must be on file in

the applicant's office. (Certain Federal agencies may require that

this authorization be submitted as part of the application.)

[FR Doc. 96-69 Filed 1-2-96; 8:45 am]

BILLING CODE 4910-62-P