[Federal Register Volume 62, Number 148 (Friday, August 1, 1997)]
[Notices]
[Pages 41463-41474]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-20376]


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DEPARTMENT OF TRANSPORTATION

Office of the Secretary


Regional Liaison Outreach and Services Program (LOSP) 
Announcement of Request for Proposals

AGENCY: Office of the Secretary, (DOT).

ACTION: Notice of request for proposals.

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SUMMARY: The Department of Transportation's Office of Small and 
Disadvantaged Business Utilization (OSDBU) is responsible for the 
Department's implementation and execution of the functions and duties 
under sections eight (8) and fifteen (15) of the Small Business Act (15 
U.S.C. 637) for developing policies and procedures consistent with 
Federal statutes to provide policy direction for minority, women-owned, 
small and disadvantaged business (S/DBE) participation in the 
Department's procurement and Federal financial assistance activities. 
The office is also responsible for implementing and monitoring the 
Department's goals for minority, women-owned and small and 
disadvantaged businesses. The Secretary of Transportation has 
encouraged DOT operating administrations to expand opportunities for 
these entrepreneurs to participate fully in all DOT-funded procurements 
and assisted programs. This request solicits competitive proposals from 
organizations classified as trade associations and/or Chambers of 
Commerce for participation under OSDBU's Liaison Outreach and Services 
Program (LOSP). Eligible applicants must be registered with the 
Internal Revenue Service as 501 C(6) tax-exempt organizations. OSDBU 
will enter into Cooperative Agreements with these organizations to 
provide liaison services between the DOT, its grantees, recipients, 
contractors, subcontractors, and minority, women-owned, small and 
disadvantaged business enterprises. This Announcement of Requests for 
Proposals contains information concerning: (1) The principal objectives 
of the competition, eligible applicants, activities and factors for an 
award; (2) the application process, including how to apply and the 
criteria used for selection; and (3) a checklist of application 
submission requirements.

DATES: Proposals must be received at the above location by August 29, 
1997, 4 p.m., Eastern Standard Time. Proposals received after the 
deadline will be considered non-responsive and not reviewed. DOT plans 
to give notice of awards on all applications by September 26, 1997.

FOR FURTHER INFORMATION CONTACT: Mrs. Marie Hendricks or Mr. Art 
Jackson, Office of Small and Disadvantaged Business Utilization, U.S. 
Department of Transportation, 400 7th Street, SW., Room 9414, 
Washington, DC, 20590, Tel. 202-366-2852 or 800-532-1169.

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

    Dated: July 23, 1997.
Luz A. Hopewell,
Director, Office of Small and Disadvantaged Business Utilization.

Table of Contents

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

[[Page 41464]]

1. Introduction

1.1  Background

    The United States Department of Transportation (DOT) established 
the Office of Small and Disadvantaged Business Utilization (OSDBU) in 
accordance with Public Law 95-507, an amendment to the Small Business 
Act and the Small Business Investment Act of 1958. The OSDBU 
administers the Department's Small and Disadvantaged Business 
Enterprise (DBE) Program which is designed to ensure that small 
businesses, including small disadvantaged and minority firms, have an 
equitable opportunity to participate in DOT's procurement and Federal 
financial assistance programs and that they receive a fair share of the 
resulting contract awards. Because DOT's policy is to encourage and 
increase S/DBE participation in the contracts and programs that it 
funds, during FY 1996, S/DBEs received $1.8 billion of DOT's direct 
procurements and DBEs received over $2.9 billion or 15 percent of 
highway, transit, air and rail contracts from DOT-assisted State and 
local transportation agencies.
    OSDBU develops Department-wide policy and administers a number of 
programs and activities to implement the OSDBU's Congressional mandate 
expanding the level of participation of S/DBEs in the Federal financial 
assistance and direct contracting programs of all modal administrations 
of DOT and DOT-assisted State and local transportation agencies. The 
OSDBU is responsible for the development and implementation of an 
effective program of activities directed at ensuring S/DBE 
participation in the Department's direct procurement and Federal 
financial assistance activities. The OSDBU monitors all DOT procurement 
activities that involve the participation of S/DBEs, including the goal 
settings and procurement practices of DOT financial assistance 
recipients, namely, State and local transportation agencies. The OSDBU 
also serves an important role in assisting firms in their marketing of 
the Department and all of its operating administrations. The OSDBU is 
also responsible for developing and administering programs to 
encourage, stimulate, promote and assist S/DBEs to obtain and manage 
transportation-related contracts, subcontracts and projects. The OSDBU 
administers the Short Term Lending Program (STLP) and the Bonding 
Assistance Program, two financial assistance efforts which provide 
assistance in obtaining short-term working capital and bonding for S/
DBEs. Under the STLP, lines of credit up to $500,000 are available at 
prime interest rates to finance accounts receivable for transportation-
related contracts. The Bonding Assistance Program enables DBEs to apply 
for bid, performance and payment bonds on contracts up to $1,000,000.

1.2  Program Description and Goals

    An area where the OSDBU has focused considerable efforts has been 
that of increasing S/DBE access to DOT financial assistance programs 
and contracting opportunities through the Liaison Outreach and Services 
Program (LOSP). This nation-wide program utilizes Cooperative 
Agreements with a number of Chambers of Commerce and trade associations 
to provide liaison services between DOT, its grantees, recipients, 
contractors, subcontractors and S/DBEs. The LOSP includes activities 
such as information dissemination, outreach services, conference and 
seminar participation and referrals to technical assistance agencies 
(i.e., Minority Business Development Centers (MBDCs), Small Business 
Development Centers (SBDCs) and State DOT highway supportive services 
contractors) which offer management and technical assistance in 
financial assistance, marketing and other business areas. In addition, 
the LOSP participants include DOT and other transportation-related 
information in their monthly or quarterly newsletters and provide one-
on-one business counseling to S/DBEs currently doing business or that 
has the potential for doing business with DOT at the Federal, State or 
local levels.
    Information dissemination and outreach include the distribution of 
the following DOT marketing materials: DOT Bonding Assistance Program 
information; DOT Short-Term Lending Program information; Procurement 
Forecasts; DOT Small Business Subcontracting Opportunities Directory; 
and Contracting with the United States Department of Transportation 
Booklets. A compilation of these materials is available in the DOT's 
Marketing Information Package, a comprehensive document which serves as 
a resource and reference tool.
    Participating LOSP organizations make referrals to technical 
assistance agencies offering assistance to DBEs in the completion and 
submission of Short-Term Lending and Bonding Assistance Program 
applications.
    The LOSP was established by the OSDBU in May 1992 in response to 
the continuing need to outreach to the small and disadvantaged business 
community and increases their participation in DOT contracting and 
financial assistance programs. To address this need, the LOSP seeks to 
increase the number of small businesses and DBEs that enter into 
transportation-related contracts and that receive DOT STLP lines of 
credit and bonding assistance. This goal is accomplished by the OSDBU 
working closely with LOSP participating Chambers of Commerce and trade 
associations to:
    (1) Establish a communications link between DOT, its grantees, 
recipients, contractors, subcontractors and the small and disadvantaged 
business community.
    (2) Increase awareness of DOT contracting opportunities and 
financial assistance programs by disseminating DOT marketing materials 
and relevant information at selected conferences, seminars and 
marketplace events.
    (3) Develop and/or strengthen linkages with State DOTs, local 
transportation agencies, transportation prime contractors, State 
highway's supportive services contractors, MBDCs, SBDCs and other 
Chambers of Commerce and trade associations to encourage S/DBE 
participation in DOT programs.
    (4) Stimulate referrals of S/DBEs to obtain technical assistance 
from Federal, State and local agencies such as MBDCs, SBDCs and State 
DOT highway supportive services contractors for management and other 
business-related assistance including completion and submission of DOT 
Short-Term Lending Program and Bonding Assistance Program application 
packages.
    (5) Increase awareness of DOT programs by providing DOT 
representation at selected conferences, seminars and marketplace events 
and by providing DOT ads and articles in organizations' newsletters.
    (6) Develop and maintain databases of transportation-related S/DBEs 
as potential participants in DOT procurement and/or financial 
assistance programs.
    (7) Establish business operations and procedures which are results 
oriented, and implement the principles set forth in the Government 
Performance and Results Act (GPRA) of 1993. This Act focuses on 
ensuring programs and budget decisions are linked with program 
performance. GPRA establishes a framework for results-oriented 
management and promotes a new way of doing business, a common sense 
approach that focuses on getting results through performance-based 
goals and accountability. Each organization will put forth every effort 
in complying with the GPRA and report on achievements of performance.

[[Page 41465]]

    (8) Each participant will establish outreach and information 
dissemination activities which provide information to and encourages 
partnerships with Federal, state and local government, private sector 
organizations and businesses, including small and disadvantaged 
businesses, concerning the Welfare to Work Initiative and the Garrett 
A. Morgan Technology and Transportation Futures Program. Such efforts 
should focus on existing transportation programs that use innovative 
strategies to assist individuals make the transition from welfare to 
work and on working with partners in the educational community to 
strengthen transportation-related learning and educational initiatives.
    (9) Each organization will increase awareness of matching small 
businesses and S/DBEs with contracting opportunities from major prime 
contractors and DOT-assisted state and local transportation agencies. 
This awareness will be through dissemination of procurement 
opportunities through synopses in the mail or by electronic data 
transfers.

1.3  Description of Competition

    The purpose of this RFP is to solicit proposals from eligible 
national and regional Chambers of Commerce and trade associations to 
participate in the Liaison and Outreach Services Program (LOSP). The 
LOSP will enable the OSDBU to establish a regional presence by 
assisting small businesses and DBEs in securing information on DOT 
procurement opportunities, Financial Assistance Programs and the Short-
Term Lending and Bonding Assistance Programs to increase the number of 
DBEs that enter into transportation-related contracts. The LOSP is 
intended to increase collaboration between OSDBU, Chambers of Commerce 
and trade associations to strengthen and enhance their ability to 
provide liaison services between DOT, its grantees, recipients, 
contractors, subcontractors and DBEs. As the program requirements and 
selection criteria indicate, the OSDBU also intends that the LOSP is 
multidimensional; that is, the selected organizations must have the 
capacity to effectively access and provide supportive services to the 
broad range of small business and DBE clients within their respective 
geographical areas and must be able to coordinate and establish 
effective networks with DOT grant recipients and local/regional 
technical assistance agencies to maximize resources and avoid 
duplication of effort.
    Cooperative agreement awards will be up to $100,000.00. It is 
OSDBU's intent to fund one agreement in each of ten (10) regions, and 
one agreement for the following State: Texas. However, OSDBU reserves 
the option to make multiple awards, if warranted. The geographical 
distribution of DOT regions is shown, in map form, in Attachment 1. The 
DOT regions, with states and territories comprising each, are listed 
below:

Region 1: Connecticut, Maine, New Hampshire, Rhode Island, Vermont, 
Massachusetts
Region 2: New Jersey, New York, Puerto Rico, Virgin Islands
Region 3: Delaware, District of Columbia, Maryland, Pennsylvania, 
Virginia, West Virginia
Region 4: Alabama, Florida, Georgia, Kentucky, Mississippi, North 
Carolina, South Carolina, Tennessee
Region 5: Illinois, Indiana, Michigan, Minnesota, Ohio, Wisconsin
Region 6: Arkansas, Louisiana, New Mexico, Oklahoma
Region 7: Iowa, Kansas, Missouri, Nebraska
Region 8: Colorado, Montana, North Dakota, South Dakota, Utah, Wyoming
Region 9: Arizona, Guam, Hawaii, Nevada
Region 10: Alaska, Idaho, Oregon, Washington
Along with the State Texas.

1.4  Duration of Agreements

    Cooperative agreements will be awarded for a period of 12 months 
(one year) with an option for four (4) additional years. Continuation 
funding will be contingent upon satisfactory performance and the 
availability of funds in subsequent fiscal years.

1.5  Authority

    DOT is authorized under 49 U.S.C. 322 (Pub.L. 97-449), to develop 
by Cooperative Agreements, support mechanisms including liaison and 
assistance programs, that will increase the opportunities for small 
businesses and DBEs to access transportation-related contracts.

1.6  Eligibility Requirements

    An eligible applicant organization will be:
    An established, nonprofit, Chamber of Commerce or trade association 
which has the documented experience and capacity necessary to 
successfully operate and administer a coordinated, regional liaison 
outreach effort within a region of the United States.
    In addition, to be eligible, a Chamber of Commerce or trade 
association must:
    (A) Be an established 501 C(6) tax-exempt organization (provide 
documentation as verification);
    (B) Have at least one year of documented and continuous experience 
prior to the date of application in providing advocacy, management and 
marketing assistance services and referrals to technical assistance 
agencies to S/DBEs within the LOSP regional service area or State in 
which proposed services will be provided; and
    (C) Has an office physically located within the LOSP regional 
service area.
    No application will be accepted without proof of tax-exempt status.
    An eligible applicant organization can submit not more than two (2) 
proposals. If two (2) proposals are submitted, each proposal must be 
for a different regional area and each proposal submitted will be 
reviewed and evaluated on its own merits and with the other proposals 
submitted for the same region. If an eligible applicant submits two (2) 
proposals, the second proposal must be submitted for a regional area 
where at least one of the states located in that regional area 
physically adjoins the regional area where the eligible applicant has 
an office physically located as specified in 1.6(c). For example, if an 
eligible applicant has an office physically located in Oregon and 
submits a proposal for Region 10 and a second proposal for Region 8, 
the second proposal would be considered because the state of Idaho 
which is in Region 10 physically adjoins the state of Utah which is in 
Region 8. If, however, an eligible applicant with an office located in 
Texas, submits an application for the state of Texas and also submits a 
second application for Region 1, the application submitted for Region 1 
would not be considered as acceptable because the state of Texas does 
not physically adjoin any of the states comprising Region 1.

2. Program Requirements

    In conducting the activities to achieve the goals of the LOSP, the 
recipient will be responsible for implementing the activities under 2.1 
and 2.2 below. The OSDBU will be responsible for conducting activities 
under 2.3.

2.1  Recipient Responsibilities

    1. Each LOSP participant will:
    (A) Collaborate with and coordinate on programs, activities, 
services and technical assistance with other Federal, State and local 
organizations and agencies serving transportation-related small 
businesses and DBEs, particularly State DOTs and DOT grantees.
    (B) Initiate, develop and maintain interagency referral 
arrangements with agencies offering specialized management and 
technical assistance including DOT/state supportive services

[[Page 41466]]

contractors, MBDCs, SBDCs and other appropriate programs.
    (C) Establish a transportation advisory committee comprising of 
members who have demonstrated expertise in the serving of S/DBE 
community and the preparation of financial statements and bid/proposal 
development to advise on the development and implementation of LOSP 
activities.
    (D) Develop structured, consultative relationships with key 
constituent groups within the region to help build and reinforce 
collaboration. Such relationships will ensure that DOT non-minority and 
minority prime contractors as well as Chambers of Commerce and trade 
associations facilitate awareness and utilization of LOSP services.
    (E) Implement information dissemination and education activities 
and strategies to maximize outreach regarding DOT procurement 
opportunities and the Short-Term Lending and Bonding Assistance 
Programs.
    (F) Conduct an ongoing evaluation of activities funded through this 
cooperative agreement. Evaluation will quantitatively and qualitatively 
describe LOSP activities, the services and the recipients of services. 
Each applicant must develop and implement an ongoing evaluation plan 
which incorporates the privileges of GPRA.
    (G) Develop structured, consultative relationships with the private 
sector financial community and Federal, State, regional and local 
agencies which provide specialized financial technical assistance 
services to S/DBEs.
    (H) Establish and maintain an 800-toll free line to be made 
available to S/DBEs interested in transportation-related procurements 
and information on the application process for the DOT Short Term 
Lending and Bonding Assistance Programs. Referral services to technical 
assistance providers will be provided, as appropriate.
    (I) Furnish all labor, facilities and equipment to perform the 
services described in this announcement.
    (J) Establish criteria to be used in calculating the results of 
achievements accomplished for reporting under the Government 
Performance and Results Act (GPRA). These results will link program 
performance with the LOSP budget submittal.
    (K) Establish outreach and information dissemination activities 
which provide information to and encourages partnerships with Federal, 
state and local governments, private sector organizations and 
businesses, including small and disadvantaged businesses, concerning 
the Welfare to Work Initiative and the Garrett A. Morgan Technology and 
Transportation Futures Program. Such efforts should focus on existing 
transportation programs that use innovative strategies to assist 
individuals make the transition from welfare to work and on working 
with partners in the educational community to strengthen 
transportation-related learning and educational initiatives.
    (L) Implement a bid matching mechanism whereby synopses would be 
sent to qualified small businesses and DBEs regarding contracting 
opportunities from major DOT prime contractors and DOT-assisted state 
and local transportation agencies.

2.2  Work Requirements

    Each LOSP participant must perform work in the following functional 
areas:
    (a) Information Dissemination and Outreach.
    (b) Conference and Seminar Participation.
    (c) Referrals to Technical Assistance Agencies.
    (d) Database Development.
    (e) Government Performance and Results Act (GPRA).
    (f) Welfare-to-Work and Garrett A. Morgan Technology and 
Transportation Futures Program.
    (g) Bid Matching Services.
a. Information Dissemination and Outreach
    Each LOSP program director will meet with OSDBU officials to become 
familiar with DOT materials and literature to disseminate appropriate 
documents to S/DBEs at conferences, seminars, workshops, and to those 
interested in and have the capacity to perform transportation-related 
projects. This LOSP ``core service'' includes distribution of general 
information on DOT's overall S/DBE program, specific information on 
DOT's Short-Term Lending and Bonding Assistance Programs; and 
information and assistance on DOT's procurement opportunities. 
Materials to be disseminated will include, but are not limited to, fact 
sheets, Short-Term Lending and Bonding Assistance program applications, 
and reports and advertisements which are directed toward the S/DBE 
communities in each region.
    The LOSP participant will publish stories/articles and features in 
the recipient's newsletter which contain information regarding the 
accessibility to procurement opportunities within DOT, and the Short-
Term Lending and Bonding Assistance programs. The Director, OSDBU, will 
approve all stories, articles, and special features prior to their 
publication in the recipient's monthly or quarterly newsletter.
b. Conference and Seminar Participation
    The LOSP participant will participate in regional, state and local 
procurement conferences on behalf of the OSDBU and disseminate DOT 
procurement information, Short-Term Lending and Bonding Assistance 
program literature and other materials. The conferences/seminars will 
be transportation-related and each will be approved by the Director, 
OSDBU, prior to participation. The LOSP participant will identify 
regional, state and local conferences where a significant number of S/
DBEs with transportation-related capabilities are expected to be in 
attendance. The LOSP participant will maintain the DOT booth at 
transportation-related conferences/seminars. A conference report will 
be submitted to OSDBU no later than 30 days after participation at the 
conference. A list of proposed S/DBE conferences and seminars being 
considered for participation under the Cooperative Agreement will be 
forwarded to OSDBU for review and approval. A conference report will be 
submitted to OSDBU no later than 30 days after participation at the 
conference.
c. Referrals to Technical Assistance Agencies
    Each LOSP participant will provide technical assistance services by 
referring S/DBEs to agencies that offer assistance in the preparation 
of DOT procurement documents and applications for loans and bonds for 
submission on transportation-related projects. In addition, specific 
referrals will be made to agencies that certify DBEs using DOT 
guidelines.
d. Database Development
    Each LOSP participant will develop a comprehensive data base of 
firms within its regional service area that have the capability to 
perform transportation-related contracts.
e. Government Performance and Results Act
    Each LOSP participant will keep documentation as to achievements 
attained for reporting under the GPRA within their respective region.
f. Welfare-to-Work Initiative and the U.S. Department of Transportation 
Garrett A. Morgan Technology and Transportation Futures Program
    Each LOSP participant will establish outreach and information 
dissemination activities which provide information to

[[Page 41467]]

and encourages partnerships with Federal, state and local governments, 
private sector organizations and businesses, including small and 
disadvantaged businesses, concerning the Welfare to Work Initiative and 
the Garrett A. Morgan Technology and Transportation Futures Program. 
Such efforts should focus on existing transportation programs that use 
innovative strategies to assist individuals to make the transition from 
welfare to work and on working with partners in the educational 
community to strengthen transportation-related learning and educational 
initiatives.
g. Bid Matching Services
    Each LOSP participant will provide bid matching services to 
qualified small businesses and DBEs. These services will provide them 
with a synopsis of contracting opportunities available to them from 
major DOT prime contractors and DOT-assisted state and local 
transportation agencies.

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

    The OSDBU will perform the following roles as its contribution to 
the attainment of LOSP objectives:
    1. Provide consultation and technical assistance in planning, 
implementing and evaluating activities under this announcement.
    2. Provide orientation and training, as appropriate, to applicants 
awarded funding for participation in the LOSP.
    3. Systematically monitor the performance of successful applicants' 
activities and program compliance.
    4. Assist successful applicants in collaborating and developing or 
strengthening linkages with State DOTs, technical assistance agencies 
and DOT grantees within regional geographical areas served.
    5. Facilitate the exchange and transfer of successful LOSP 
activities and program information among regional LOSP participants.

3. Submission of Proposals

3.1  Content and Format for Proposals

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

3.2  Address; Number of Copies; Deadlines for Submission

    Any eligible organization (as defined in Section 1.6 of this 
announcement) will submit only one proposal for consideration by DOT.
    Applications should be double spaced, and printed in a font size 
not smaller than 12 points. One unbound copy of the proposal with 
original signatures suitable for reproduction, and four bound copies, 
should be submitted.
    All pages should be numbered at the top of each page. All 
documentation, attachments, or other information pertinent to the 
application must be included in a single submission.
    Proposals should be submitted to: Mrs. Marie A. Hendricks, Office 
of Small and Disadvantaged Business Utilization (S-40), Department of 
Transportation, 400 7th Street, SW., (Rm. 9414), Washington, DC 20590.
    Proposals must be received by DOT/OSDBU no later than August 29, 
1997, 4 p.m., EST.

4. Selection Criteria

4.1  General Criteria

    DOT will use the following criteria to rate and rank applications 
received in response to this announcement for the applicant's region. 
Applications will be evaluated for each region on a point system 
(maximum number of points = 100).
    The following five (5) maximum weighted categories will constitute 
DOT's selection criteria:

--Approach (25 points)
--Linkages (25 points)
--Organizational Capability (25 points)
--Staff Capabilities and Experience (15 points)
--Cost (10 points)
A. Approach and Linkages (50 Points)
1. Approach (25 Points)
    The applicant must describe the activities proposed to be 
implemented under the cooperative agreement and how the work will be 
accomplished across the LOSP regional area. DOT will consider the 
extent to which the proposed objectives are specific, measurable, time-
phased, consistent with LOSP goals and the proposed activities are 
consistent with the applicant organization's overall mission. DOT will 
give priority consideration to applicants that demonstrate innovation 
and creativity of approach in increasing the ability of S/DBEs to 
access information on DOT contracting opportunities and financial 
assistance programs. DOT will also consider the quality of the 
applicant's plan for conducting program activities and the likelihood 
that the proposed methods will be successful in achieving proposed 
objectives.
2. Linkages (25 Points)
    DOT will consider innovative aspects of the applicant's approach 
which build upon the applicant's strength(s) and facilitate and 
encourage linkages to existing resources available within the region. 
The applicant's structure for linking urban and rural S/DBEs to the 
LOSP should be outlined. The applicant should describe support and 
intended collaboration on LOSP activities from DOT grantees, prime 
contractors, subcontractors, State DOTs, State highway supportive 
services contractors, SBDCs, MBDCs and colleges and universities 
including Minority Educational Institutions (Historically Black 
Colleges and Universities (HBCUs), Hispanic Serving Institutions (HSIs) 
and Tribal-Affiliated Colleges and Universities (TACUs)). DOT will also 
rate the effectiveness of the applicant's strategy to provide outreach, 
networking and liaison activities to the regional area to be served. In 
rating this factor, DOT will consider the extent to which the applicant 
demonstrates ability to effectively access and network supportive 
services to the broad and diverse range of S/DBEs within the 
applicant's regional service area. Emphasis will also be placed on the 
extent to which the applicant identifies a clear outreach strategy 
related to identified needs that can be successfully carried out within 
the period of this agreement and a plan for forming and involving an 
internal transportation advisory committee in the execution of that 
strategy.
B. Organizational Capability (25 Points)
    The applicant organization must have outreach resources and 
relevant experience in carrying out the purposes of the LOSP. In rating 
this factor, DOT will consider the extent to which the applicant's 
organization has recent, relevant and successful experience in 
advocating for and addressing the needs of small and DBE businesses in 
general, and transportation-related S/DBEs in particular. The applicant 
must also describe technical and administrative resources it plans to 
use in achieving proposed objectives (i.e., computer facilities, 
voluntary staff time, space and financial resources).
C. Staff Capability and Experience (15 Points)
    The applicant organization should provide a list of proposed 
personnel for the project with salaries, educational levels and 
previous experience delineated. The applicant's project team must be 
well-qualified, knowledgeable

[[Page 41468]]

and diverse which shows evidence of the ability to deal effectively 
with the broad range of S/DBE clients to be served. Resumes must be 
submitted for all proposed key personnel, outside consultants and 
subcontractors. Experience of key personnel in providing services 
similar in scope and nature to the proposed effort must be presented in 
detail. The Project Director will serve as the responsible individual 
for the project a minimum of 50 percent of his/her time. The resume of 
the proposed Project Director must be included in the applications 
submitted and his/her resume must reflect appropriate knowledge of the 
regional area and customer-service related experience.
    DOT will consider the extent to which the applicant's proposed 
management plan (a) clearly delineates staff responsibilities and 
accountability for all work required and (b) presents a work plan with 
a clear and feasible schedule for conducting all project tasks.
D. Cost (15 Points)
    The budget is the applicant's estimate of the total cost of 
establishing and administering its participation in the LOSP for a 12 
month period. The applicant's budget must be adequate to support the 
project and costs must be reasonable in relation to project objectives. 
The budget submitted can not include more than $100,000.00 which is 
DOT/OSDBU funding. The recipient's overhead should not exceed 15 
percent. Applicants are encouraged to provide in-kind costs and other 
innovative cost approaches.

4.2  Scoring of Applications

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

``Appendix A''--Application Form for Submission of Proposals for 
Department of Transportation Regional Liaison Outreach and Services 
Program (LOSP)

    Proposals for the DOT Regional Liaison Outreach and Services 
Program (LOSP) should contain all of the following information and 
should be submitted in the following format.
    Applications should be double spaced and printed in a font size 
not smaller than 12 points. One unbound copy of the proposal with 
original signatures suitable for reproduction, and four bound 
copies, should be submitted. Applications will not exceed 35 single-
sided pages. All pages should be numbered at the top of each page. 
All documentation, attachments, or other information pertinent to 
the application should be included in a single submission, forwarded 
directly to the address listed below. Proposals should be submitted 
to: Mr. Marie A. Hendricks, Office of Small and Disadvantaged 
Business Utilization (S-40), Department of Transportation, 400 7th 
Street, SW., Room 9414, Washington, DC 20590.
    Proposals must be received by DOT/OSDBU no later than August 29, 
1997, 4 p.m. EST.
    Applications submitted must contain the following 12 sections 
and be organized in the following order and cannot exceed 35 single-
sided pages.

1. Table of Contents

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

2. Application Summary

--Provide a summary overview of the following:
--The applicant's proposed LOSP, its related activities including 
key elements of the plan of action/methodology to achieve project 
objectives.
--The applicant's relevant organizational experience and 
capabilities.

3. Understanding of the Work

--Provide a narrative which contains specific project information as 
follows:
--The applicant will describe its understanding of the LOSP, program 
goals and the role of the applicant's proposed LOSP in advancing the 
applicant's goals.
--The applicant will describe specific outreach needs of 
transportation-related S/DBEs in the region or state to be served 
and how the LOSP will address the identified needs.

4. Approach/Methodology

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

5. Linkages

--Describe outreach activities and linkages to be implemented to 
ensure that rural small and disadvantaged businesses participate in 
LOSP activities.
--Describe or indicate evidence of linkages or collaborations 
developed or to be developed with State DOTs, DOT grantees, DOT 
prime contractors, other Chambers of Commerce and trade associations 
and technical assistance agencies including DOT/FHWA supportive 
services contractors, MBDCs and SBDCs and educational institutions 
including HBCUs, HSIs and TACUs.

6. Organizational Capabilities

--Describe recent, relevant and successful experience in advocating 
for and addressing the needs of small and disadvantaged businesses 
in general and transportation-related S/DBEs in particular.
--Describe relevant experience in working or collaborating with 
Chambers of Commerce and trade associations, DOT grantees, State 
DOTs, technical assistance agencies including DOT/FHWA supportive 
services contractors, MBDCs, SBDCs and educational institutions 
including HBCUs, HSIs and TACUs.
--Describe internal resources available to use in successfully 
performing/completing the work.

7. Staff Capabilities

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

8. Management Plan

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

9. Budget Narrative

--Outline proposed budget/cost information in detail.

10. Assurances Signature Form

--Complete the attached form identified as Attachment 2.

11. Certification Signature Form

--Complete the attached form identified as Attachment 3.

12. Standard Form 424

--(Request for Federal Assistance). Complete the attached Standard 
Form 424 identified as Attachment 4.

    Please be sure that all forms have been signed by an authorized 
official whom can legally represent the organization.
    Thank you for submitting an application to be a participant in 
the U. S. Department of Transportation's Liaison Outreach and 
Services (LOSP) Program.

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BILLING CODE 4910-62-C

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Attachment 2--Assurances

    All recipients of Federal funding are required to assure that 
the recipient:

--Has the legal authority to apply for Federal assistance, and the 
institutional, managerial, and financial capability (including funds 
sufficient to pay the non-Federal share of project costs) to ensure 
proper planning, management, and completion of the project described 
in this application.
--Will give the awarding agency, the Comptroller General of the 
United States, and if appropriate, the State, through any authorized 
representative, access to and the right to examine all records, 
books, papers, or documents related to the award; and will establish 
a proper accounting system in accordance with generally accepted 
accounting standards or agency directives.
--Will establish safeguards to prohibit employees from using their 
position for a purpose that constitutes or presents the appearance 
of personal or organizational conflict of interest, or personal 
gain.
--Will initiate and complete the work within the applicable time 
frame after receipt of approval of the awarding agency.
--Will comply with the Intergovernmental Personnel Act of 1970 (42 
U.S.C. 4728-4763) relating to prescribed standards for merit systems 
for programs funded under one of the nineteen statutes or 
regulations specified in Appendix A of OPM's Standards for Merit 
System of Personnel Administration (5 CFR 900; Subpart F).
--Will comply with all Federal statutes relating to 
nondiscrimination. These include but are not limited to: (a) Title 
VI of the Civil Rights Act of 1964 (Pub. L. 88-352) which prohibits 
discrimination on the basis of race, color, or national origin; (b) 
Title IX of the Education Amendments of 1972, as amended (20 U.S.C. 
1681-1683, and 1685-1686), which prohibits discrimination on the 
basis of sex; (c) Section 504 of the Rehabilitation Act of 1973, as 
amended (29 U.S.C. 794), which prohibits discrimination on the basis 
of disability; (d) The Age Discrimination Act of 1975, as amended 
(42 U.S.C. 6101-6107), which prohibits discrimination on the basis 
of age; (e) The Drug Abuse Office and Treatment Act of 1972 (Pub. L. 
92-255), as amended, relating to nondiscrimination on the basis of 
drug abuse; (f) The Comprehensive Alcohol Abuse and Alcoholism 
Prevention, Treatment and Rehabilitation Act of 1970 (Pub. L. 91-
616), as amended, relating to nondiscrimination on the basis of 
alcohol abuse or alcoholism; (g) 523 and 527 of the Public Health 
Service Act of 1912 (42 U.S.C. 290dd-3 and 390ee-3), as amended, 
relating to confidentiality of alcohol and drug abuse patient 
records; (h) Title VIII of the Civil Rights Act of 1968 (42 U.S.C. 
3601 et seq.), as amended, relating to nondiscrimination in the 
sale, rental or financing of housing; (I) any other 
nondiscrimination provisions in the National and Community Service 
Act of 1990, as amended; and (j) the requirements of any other 
nondiscrimination statute(s) which may apply to the application.
--Will comply, or has already complied, with the requirements of 
Titles II and III of the Uniform Relocation Assistance and Real 
Property Acquisition Policies Act of 1970 (Pub.L. 91-646) which 
provide for fair and equitable treatment of persons displaced or 
whose property is acquired as a result of Federal or Federally 
assisted programs. These requirements apply to all interests in real 
property acquired for project purposes regardless of Federal 
participation in purchases.
--Will comply with the provisions of the Hatch Act (5 U.S.C. 1501-
1508 and 7324-7328), which limit the political activities of 
employees whose principal employment activities are funded in whole 
or in part with Federal funds.
--Will comply, as applicable, with the provisions of the David-Bacon 
Act (40 U.S.C. 276a and 276a-77), the Copeland Act (40 U.S.C. 276c 
and 28 U.S.C. 874), and the Contract Work Hours and Safety Standards 
Act (40 U.S.C. 327-333), regarding labor standards for Federally 
assisted constructions subagreements.
--Will comply, if applicable, with flood insurance purchase 
requirements of Section 201(a) of the Flood Disaster Protection Act 
of 1973 (Pub. L. 93-234) which required the recipients in a special 
flood hazard area to participate in the program and to purchase 
flood insurance if the total cost of insurable construction and 
acquisition is $10,000 or more.
--Will comply with environmental standards which may be prescribed 
pursuant to the following (a) institution of environmental quality 
control measures under the National Environmental Policy Act of 1969 
(Pub.L. 91-190) and Executive Order (EO) 11514; (b) notification of 
violating facilities pursuant to EO 11738; (c) protection of 
wetlands pursuant to EO 11990; (d) evaluation of flood hazards in 
flood plains in accordance with EO 11988; (e) assurance of project 
consistency with the approved state management program developed 
under the Coastal Zone Management Act of 1972 (16 U.S.C. 1451 et 
seq.); (f) conformity of Federal actions to State (Clean Air) 
Implementation Plans under Section 176(c) of the Clean Air Act of 
1955, as amended (42 U.S.C. 7401 et seq.); (g) protection of 
underground sources of drinking water under the Safe Drinking Water 
Act of 1974, as amended (Pub. L. 93-523); and (h) protection of 
endangered species under the Endangered Species Act of 1973, as 
amended (Pub. L. 93-205).
--Will comply with the Wild and Scenic Rivers Act of 1968 (16 U.S.C. 
1271 et seq.) Related to protecting components or potential 
components of the national wild and scenic rivers system.
--Will assist the awarding agency in assuring compliance with 
Section 106 of the National Historic Preservation Act of 1966, as 
amended (16 U.S.C. 470), EO 11593 (identification and protection of 
historic properties), and the Archaeological and Historic 
Preservation Act of 1974 (16 U.S.C. 469a-1 et seq.).
--Will comply with Pub. L. 93-348 regarding the protection of human 
subjects involved in research, development, and related activities 
supported by this award of assistance.
--Will comply with the Laboratory Animal Welfare Act of 1966 (Pub. 
L. 89-544, as amended, 7 U.S.C. 2131 et seq.) Pertaining to the 
care, handling, and treatment of warm blooded animals held for 
research, teaching, or other activities supported by this award of 
assistance.
--Will comply with the Lead-Based Pain Poisoning Prevention Act (42 
U.S.C. 4301 et seq.) Which prohibits the use of lead based paint in 
construction or rehabilitation of residence structures.
--Will cause to be performed the required financial and compliance 
audits in accordance with the Single Audit Act of 1984 or OMB 
Circular A-133. Audits of Institutions of Higher Learning and other 
Non-profit Institutions.
--Will comply with all applicable requirements of all other Federal 
laws, executive orders, regulations, and policies governing this 
program.

    In addition, all recipients of Corporation assistance under this 
application are required to assure that the recipient:

--Will keep such records and provide such information to the 
Corporation with respect to the program as may be required for 
fiscal audits and program evaluation.
--Will not use the assistance to replace State and local funding 
streams that had been used to support programs of the type eligible 
to receive Corporation support. For any given program, this 
condition will be satisfied if the aggregate non-Federal expenditure 
for that program in the fiscal year that support is to be provided 
is not less than the previous fiscal year.
--Will use the assistance only for a program that does not 
duplicate, and is in addition to, an activity otherwise available in 
the locality of the program.
--Will comply with the Notice, Hearing, and Grievance Procedures 
found in section 176 of the Act.
--Will comply with the nondisplacement rules found in section 177(b) 
of the Act;. Specifically, an employer shall not displace an 
employee or position, including partial displacement such as 
reduction hours, wages, or employment benefits, as a result of the 
employer using an AmeriCorps participant; a service opportunity 
shall not be created that will infringe on the promotional 
opportunity of an employed individual; an AmeriCorps participants 
shall not perform any services or duties or engage in activities 
that (1) would otherwise be performed by an employee as part of the 
employee's assigned duties, (2) will supplant the hiring of employed 
workers, (3) are services or duties with respect to which an 
individual has recall rights pursuant to a collective bargaining 
agreement; or applicable personnel procedures; or (4) have been 
performed by or were assigned to any presently employed worker, an 
employee who recently resigned or was discharged, an employee who is 
on leave, an employee who is on strike or is being locked out, or an 
employee who is subject to a reduction in force or has recall rights 
subject to a collective bargaining agreement or applicable personnel 
procedure.

[[Page 41471]]

Assurances--Signature

    By signing this assurances page, the applicant certifies that it 
will agree to perform all actions and support all intention stated 
in the attached Assurances.

    Note: This form must be signed and included in the application.
----------------------------------------------------------------------
Organization Name
----------------------------------------------------------------------
Project Name
----------------------------------------------------------------------
Name and Title of Authorized Representative
----------------------------------------------------------------------
Signature
----------------------------------------------------------------------
Date
----------------------------------------------------------------------

ATTACHMENT 3--CERTIFICATIONS

    Before completing certification, please read Certification 
Instructions.

Certification--Debarment, Suspension, and Other Responsibility Matters

    This certification is required by the regulations implementing 
Executive Order 12549, Debarment and Suspension, 34 CFR Part 85, 
Sec. 85.510, Participants' responsibilities. The regulations were 
published as Part VII of the May 26, 1988 Federal Register (pages 
19160-19211).
    (1) The applicant certifies to the best of its knowledge and 
belief, that it and its principals:
    (a) Are not presently debarred, suspended, proposed for 
debarment, declared ineligible, or voluntarily excluded from covered 
transactions by any Federal department of agency,
    (b) Have not within a three-year period preceding this proposal 
been convicted of or had a civil judgment rendered against them for 
commission of fraud or a criminal offense in connection with 
obtaining, attempting to obtain, or performing a public (Federal, 
State or local) transaction or contract under a public transaction; 
violation of Federal or State anti-trust statutes or commission of 
embezzlement, theft, forgery, bribery, falsification or destruction 
of records, making false statements, or receiving stolen property,
    (c) Are not presently indicted for or otherwise criminally or 
civilly charged by a governmental entity (Federal, State or local) 
with commission of any of the offenses enumerated in paragraph 
(1)(b) of this certification, and
    (d) Have not within a three-year period preceding this 
application proposal had one or more public transactions (Federal, 
State or local) terminated for cause of default;
    (2) Where the applicant is unable to certify to any of the 
statements in this certification, such applicant shall attach an 
explanation to this application.

Certification--Drug-Free Workplace

    This certification is required by the regulations implementing 
the Drug-Free Workplace Act of 1988, 34 CFR Part 85, Subpart F. The 
regulations, published in the January 31, 1989 Federal Register, 
require certification by grantees, prior to award, that they will 
maintain a drug-free workplace. The certification set out below is a 
material representation of fact upon which reliance will be placed 
when the agency determines to award the grant. False certification 
or violation of the certification shall be grounds for suspension of 
payments, suspension or termination of grants, or government-wide 
suspension or debarment (see 34 CFR Part 85, Section 85.615 and 
85.620). The grantee certifies that it will provide a drug-free 
workplace by:
    (1) Publishing a statement notifying employees that the unlawful 
manufacture, distribution, dispensing, possession or use of a 
controlled substance is prohibited in the grantee's workplace and 
specifying the actions that will be taken against employees for 
violation of such prohibition;
    (2) Establishing a drug-free awareness program to inform 
employees about--
    (a) the dangers of drug abuse in the workplace,
    (b) the grantee's policy of maintaining a drug-free workplace,
    (c) any available drug counseling, rehabilitation, and employee 
assistance programs, and
    (d) the penalties that may be imposed upon employees for drug 
abuse violations occurring in the workplace;
    (3) Making it a requirement that each employee to be engaged in 
the performance of the grant be given a copy of the statement 
required by paragraph (1);
    (4) Notifying the employee in the statement required by 
paragraph (1) that, as a condition of employment under the grant, 
the employee will
    (a) abide by the terms of the statement, and
    (b) notify the employer of any criminal drug statute conviction 
for a violation occurring in the workplace no later than five days 
after such conviction;
    (5) Notifying the Corporation within ten days after receiving 
notice under subparagraph (4)(b) from an employee or otherwise 
receiving actual notice of such conviction;
    (6) Taking one of the following actions, within 30 days of 
receiving notice under subparagraph (4)(b) with respect to any 
employee who is so convicted--
    (a) Taking appropriate personnel action against such an 
employee, up to and including termination; or
    (b) Requiring such employee to participate satisfactorily in a 
drug abuse assistance or rehabilitation program approved for such 
purposes by a Federal, State, or local health, law enforcement, or 
other appropriate agency;
    (7) Making a good faith effort to continue to maintain a drug-
free workplace through implementation of paragraphs (1), (2), (3), 
(4), (5), and (6).

Certification Instructions

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

Signing the Certification Page

    1. Inability to Certify. The inability of a person to provide 
the certification required below will not necessarily result in 
denial of a grant. The applicant shall submit an explanation of why 
it cannot provide the certification set out below. The certification 
or explanation will be considered in connection with the Corporation 
determination whether to enter into this transaction. However, 
failure of the applicant to furnish a certification or an 
explanation shall disqualify such applicant for a grant.
    2. Erroneous Certification. The certification in this clause is 
a material representation of fact upon which reliance was placed 
when the Corporation determined to enter into this transaction. If 
it is later determined that the applicant knowingly rendered an 
erroneous certification, in addition to other remedies available to 
the Federal Government, the Corporation may terminate this 
transaction for cause or default.
    3. Notice of Error in Certification. The applicant shall provide 
immediate written notice to the Corporation to whom this proposal is 
submitted if at any time the applicant learns that its certification 
was erroneous when submitted or has become erroneous by reason of 
changes circumstances.
    4. Definitions. The terms ``covered transaction,'' ``debarred,'' 
``suspended.'' ``ineligible,'' ``lower tier covered transaction,'' 
``participant,'' ``person,'' ``primary covered transaction,'' 
``principal,'' ``proposal,'' and ``voluntarily excluded,'' as used 
in this clause, have the meanings set out in the Definitions and 
Coverage sections of the rules implementing Executive Order 12549. 
An applicant shall be considered a ``prospective primary participant 
in a covered transaction'' as defined in the rules implementing 
Executive Order 12549. You may contact the Corporation for 
assistance in obtaining a copy of those regulations.
    5. Certification Requirement for Subgrant Agreements. The 
applicant agrees by submitting this proposal that, should the 
proposed covered transaction be entered into, it shall not knowingly 
enter into any lower tier covered transaction with a person who is 
debarred, suspended, declared ineligible, or voluntarily excluded 
from participation in this covered transaction, unless authorized by 
the Corporation.
    6. Certification Inclusion in Subgrant Agreement. The applicant 
further agrees by submitting this proposal that it will include the 
clause titled ``Certification Regarding Debarment, Suspension, 
Ineligibility, and Voluntary Exclusion-Lower Tier Covered 
Transactions,'' provided by the Corporation, without modification, 
in all lower tier covered transactions and in all solicitations for 
lower tier covered transactions.
    7. Certification of Subgrant Principals. A grantee may rely upon 
a certification of a prospective participant in a lower-tier covered 
transaction that it is not debarred, suspended, ineligible, or 
voluntarily excluded from the covered transaction, unless it knows 
that the certification is erroneous. A grantee may decide the method 
and frequency by which it determines the eligibility of its 
principals. Each grantee may, but is not required to, check the 
Nonprocurement List.
    8. Prudent Person Standard. Nothing contained in the foregoing 
shall be construed to require establishment of a system of

[[Page 41472]]

records in order to render in good faith the certification required 
by this clause. The knowledge and information of a grantee is not 
required to exceed that which is normally possessed by a prudent 
person in the ordinary course of business dealings.
    9. Non-Certification in Subgrant Agreements. Except for 
transactions authorized under paragraph 6 of these instructions, if 
a grantee knowingly enters into a lower-tier covered transaction 
with a person who is suspended, debarred, ineligible, or voluntarily 
excluded from participation in this transaction, in addition to 
other remedies available to the Federal Government, the department 
or agency may terminate this transaction for cause or default.

Certification--Lobbying Activities

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

Certification--Signature

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

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

    Signature. By signing this Certification page, the applicant 
certifies that it will agree to perform all actions and support all 
intentions stated in the Certifications set forth above. The three 
Certifications are:

<bullet> Certification:  Debarment, Suspension, and Other 
Responsibility Matters
<bullet> Certification:  Drug-Free Workplace
<bullet> Certification:  Lobbying Activities

----------------------------------------------------------------------
Organization Name
----------------------------------------------------------------------
Project Name
----------------------------------------------------------------------
Name and Titled of Authorized Representative
----------------------------------------------------------------------
Signature
----------------------------------------------------------------------
Date
BILLING CODE 4910-62-U

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[FR Doc. 97-20376 Filed 7-31-97; 8:45 am]
BILLING CODE 4910-62-C