# Transportation Marketplace Conferences and Seminars Announcement of Request for Proposals

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URL: https://www.frixlaw.com/law-library/documents/fr%3A96-69

## Record

- **Collection:** Federal Register
- **Document type:** Notice
- **Published:** January 3, 1996
- **Citation:** 61 FR 214

## Text

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,

[[Page 216]]
the Secretary's representatives, the DBE Liaison Officers and
contracting officers from the Department. Because of the expense of
traveling to Washington, D.C. to market their products, many SDBs were
financially unable to spend quality time in the national offices of
DOT. The Marketplace Conferences provide information relative to all
modes of transportation and to potential contract possibilities. Also,
the OSDBU's Minority Business Resource Center's regulations require
that this office work with Trade Associations and/or Chambers of
Commerce to serve our constituency. The goal is accomplished by the
OSDBU working closely with Chambers of Commerce and trade associations
to:
(1) Establish a communications link between DOT, its grantees,
recipients, contractors, subcontractors and the small and disadvantaged
business community.
(2) Increase awareness of DOT contracting opportunities and
financial assistance programs by disseminating DOT marketing materials
and relevant information at selected conferences, seminars and
marketplace events.
(3) Identify local and regional official who work directly with
small businesses and ensure their attendance and participation at the
Marketplace Conferences which reinforces their commitment to the small,
minority and women business community for potential contracting
opportunities.
(4) Increase awareness of programs by providing DOT representation
at selected conferences, seminars and marketplace events and by
providing DOT ads and articles in organizations' newsletters.
(5) Develop and maintain databases of transportation-related DBEs
as potential participants in DOT procurement and/or financial
assistance programs that register and attend the Transportation
Marketplace Conferences.
(6) Have responsibility for logistics involved in each conference,
including hotel arrangements and securing facilities replete with
sizeable rooms and quality sound systems.
(7) Complete a Customer-Service follow-up activity after each
conference in order to receive feed-back from participants after
session has ended.

1.3 Description of Competition

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

1.4 Duration of Agreement

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

1.5 Authority

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

1.6 Eligibility Requirements

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

2. Program Requirements

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

2.1 Recipient Responsibilities

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

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

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

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

3. Submission of Proposals

3.1 Content and Format for Proposals

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

3.2 Address; Number of Copies; Deadlines for Submission

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

4. Selection Criteria

4.1 General Criteria

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

1. Approach (20 points)

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

2. Linkages (15 points)

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

B. Organizational Capability (20 Points)

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

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C. Staff Capability and Experience (30 Points)

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

D. Cost (15 Points)

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

4.2 Scoring of Applications

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Attachment 2--Assurances

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

[[Page 219]]

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

Assurances--Signature

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

Organization Name
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Project Name

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Name and Title of Authorized Representative

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Signature

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Date

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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

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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

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Source: Frix Law Library, https://www.frixlaw.com/law-library/documents/fr%3A96-69. Public record. Not legal advice.