Application Instructions MSA NOFO May 2023.docx

Notice of Funding Opportunity Proposal Submission Instructions Opportunity #: USDOT-OST-OSDBU-SBTRCMSA-2023-1

Table of Contents

A. Program Description and Goals

1. Program/Recipient Requirements

2. Office of Small and Disadvantaged Business Utilization Responsibilities B. Federal Award Information C. Eligibility Information

1. Eligible Applicants

2. Cost Sharing D. Application and Submission Information

1. Address to Request Application Package

2. Content and Form of Application Submission

3. Unique Entry Identifier and System for Award Management (SAM)

4. Submission Dates and Times

5. Funding Restrictions E. Application Review Information

1. Selection Criteria

a. Approach and Strategy

b. Linkages

c. Organizational Capability

d. Staff Capabilities and Experience

e. Cost Proposal (Budget)

f. Proof of Tax-Exempt Status

2. Review and Selection Process F. Federal Award Administration Information

1. Federal Award Notices

2. Administrative and National Policy Requirements

3. Reporting G. Federal Awarding Agency Contacts H. Protection of Confidential Business Information

A. Program Description and Goals

1. Program/Recipient Requirements

a. Business Analyses, Market Research

Assess small businesses in the SBTRC region to determine their training and technical assistance needs, and use information that is available at no cost, to structure programs and services that will enable small businesses to become better prepared to compete for and receive transportation-related contract awards.

Contact other federal, state and local governmental agencies, such as the MBDA; SBA; and regional, state, and local highway departments, airports, transit, and port authorities to identify relevant and current information that may support the assessment of the regional small business transportation community needs.

Identify current and future federally funded projects in the region. Partner with state and local governments, organizations, and prime-contractors involved with the projects to provide outreach and technical assistance to the small business community in the region.

b. General Management, Technical Assistance, Training

Utilize the OSDBU-provided Customer Relationship Management (CRM) database software to track, report, and document all activities. The CRM is used to maintain the official record of all client types and client activities performed by the SBTRC. This includes counseling hours, tracking technical assistance provided, all outreach activities, contract awards, and any other services and activities performed by the SBTRC.

Utilize the CRM to report and document activities. OSDBU will extract a report on a quarterly basis that will be used as part of the annual evaluation process of the SBTRC to analyze performance, program goals, outreach efforts, businesses served, success stories, and other deliverables. Upon request by OSDBU, the SBTRC will provide a narrative in support of this report.

Utilize the CRM database to maintain client records. These records list each small business assisted by the SBTRC, date of assistance, type of small business, and type(s) of service(s) provided. The information and documentation that are not placed in the CRM, due to limited space, must be maintained in electronic files.

Make available and distribute an array of information to the small business community inclusive of Small Disadvantaged Businesses (SDBs) and DBEs, such as DOT materials, OSDBU literature and materials, brochures, and other documents, that are designed to provide information regarding DOT, OSDBU, and SBTRC programs, services, and opportunities.

Participate in local, state, regional, and national conferences, seminars, and other events on behalf of OSDBU in each state located in the SBTRC region.

Coordinate with OSDBU and its partners to administer the OSDBU programs, including the BEP, WITI, and any other applicable programs to eligible participants in the region.

Regularly check in with the OSDBU Regional Assistance Division team to provide updates on actions and to seek guidance when needed.

c. Business Counseling

Collaborate with agencies, such as regional, state, and local transportation Government agencies; SBA and its resource partner network including SBDCs and SCORE; MBDA Centers; and PTACs/APEX Accelerators to offer a broad range of counseling services to transportation-related small business enterprises.

Coordinate with other technical assistance providers to create a technical assistance plan that will provide each counseled participant with the knowledge and skills necessary to improve the management of their small business transportation-related contracts and subcontracts portfolio.

Report all collaboration and coordination activities in the OSDBU-provided CRM database in a timely manner.

Provide a minimum of 25 hours of individual or group counseling sessions to small businesses per month which may include in-person meetings as well as virtual meetings (i.e. conference calls and video conferences).

d. Regional Planning Committee

Establish a Regional Planning Committee (RPC) consisting of at least a State DOT representative from each state in the SBTRC region, and also including other representatives from each state within the SBTRC region. Members should be relevant officials/experts within Federal, regional, state, and local transportation agencies. The highway, airport, transit, and port authorities for the SBTRC region should be represented within the planning committee.

The committee shall be established no later than 60 days after the execution of the Cooperative Agreement between the OSDBU and the selected SBTRC.

A list of the committee members, along with their titles, contact information, and organization affiliations, must be provided via email to OSDBU no later than 60 days after execution of the Cooperative Agreement between the OSDBU and the selected SBTRC.

Utilize planning committee member expertise and recommendations to effectively administer DOT OSDBU programs in conjunction with regional projects and events.

Conduct quarterly planning committee meetings; provide meeting summaries to include attendees and action items to OSDBU within 15 calendar days of the meeting; and retain copies in the planning committee’s electronic file.

e. Outreach Services, Conference Participation

Utilize the services of the System for Awards Management (SAM) and other sources to identify firms (100-150) that have the capacity and capabilities, and are ready, willing, and able to participate in DOT contracts and subcontracts immediately. This control group will receive ample resources from the regional SBTRC (i.e., access to working capital, bonding assistance, business counseling, management assistance, and direct referrals to DOT agencies) at the state and local levels, and to prime contractors as effective subcontractor firms.

Utilize these firms to match opportunities identified through the planning committee forum; Sam.gov, a web-based system for posting solicitations and other Federal procurement-related documents on the Internet; and other sources for eligible small businesses.

This control group of firms will be managed by the SBTRC and their information will be maintained in the OSDBU-provided CRM database and electronic file(s) where necessary.

Identify national, regional, state and local conferences (in-person, virtual, and hybrid) where a significant number of small businesses with transportation-related capabilities are expected to be in attendance; Maintain and submit a list of those events to the OSDBU through the monthly reporting process; Identity the events designated for SBTRC participation and include recommendations for OSDBU participation with advance notification. This is required to be tracked and reported as part of the budget approval process.

Conduct outreach and disseminate information to small businesses at national, state, regional, and local transportation-related conferences, seminars, and workshops. If the SBTRC is requested to participate in an event, the SBTRC is required to utilize the provided OSDBU banner and other marketing materials at the event.

Record event participation in the designated areas of the OSDBU-provided CRM in a timely manner.

Upon approval by OSDBU, coordinate efforts with DOT's recipients and DOT’S subrecipients at the State and/or local levels to sponsor or cosponsor an OSDBU transportation-related conference in the region.

Perform targeted outreach activities to inform small businesses about contracting opportunities with DOT and all other DOT OSDBU programs, such as BEP and WITI.

f. Loan and Bond Assistance

Work with regional financial institutions including Community Development Financial Institutions (CDFIs) to deliver a minimum of five (5) seminars/workshops per year on building/establishing strong financial health for SBTRC clients who operate in the transportation-related small business community; and document in CRM in a timely manner.

The workshops should provide basic information on understanding credit, how financial institutions rate credit worthiness, differences between prime and subprime lenders, and overview of lending programs that support assisting small businesses as they grow their businesses.

The workshops may include other organizations that assist small businesses in developing a prescriptive plan to address any specific issues and provide a personalized approach to fixing issues that can be barriers to obtaining necessary financing.

Work with SBA-approved, local bond producers/agents in the region to deliver a minimum of two (2) BEP series to include a minimum of ten (10) training hours for each. A minimum of ten (10) small businesses per BEP is required. The SBTRC shall implement the BEP as defined by the DOT OSDBU BEP Policy.

The SBTRC shall submit a justification, implementation plan, and budget with each request to conduct a BEP. This request should come before planning any activities in a local market:

Justification: The justification should include a list of transportation-related projects, key project stakeholders, and the identification of the small disadvantaged business community bonding needs in the requested market;

Implementation Plan: The implementation plan is an outline and timeline of the program’s components, workshops, and technical assistance the SBTRC will offer the local market;

Budget: The budget is a spreadsheet that overviews the costs associated with the BEP, including any potential consultants/speaker hourly rates, expected hours, and their resumes.

Once the above-mentioned documentation has been submitted, the SBTRC must receive written approval from the OSDBU to move forward with the given BEP. Any costs associated with BEP activities that have not been approved by the OSDBU will not be reimbursed.

Once a justification is approved, the SBTRC will create a BEP event in the OSDBU-provided CRM and manage the implementation and on-going process until the BEP has concluded.

Additionally, CRM client data will be updated to reflect participation, graduation, and any bonding/contracts achieved.

The BEPs will be funded separately and in addition to the amount listed in the solicitation.

g. Women and Girls in Transportation Initiative (WITI) Program

The SBTRC shall administer the WITI Program in their geographical region. The SBTRC shall implement the WITI Program as defined by the DOT WITI Policy.

The WITI Program is designed to identify, educate, attract, and retain women and girls in the transportation industry. The SBTRC shall also be responsible for outreach activities in the implementation and advertising of the WITI Program to all colleges and universities and transportation entities in their region. The WITI Program shall be developed in conjunction with the skill needs of DOT, state and local transportation agencies, and appropriate private sector transportation-related participants including small businesses inclusive of Women-Owned Small Businesses and DBEs, and women organizations involved in transportation. Emphasis shall be placed on establishing partnerships with transportation-related businesses. The SBTRC will be required to host one (1) WITI event and attend at least five (5) events as a presenter and/or to market the WITI Program to various types of businesses and groups.

The SBTRC will establish a regional Women in Transportation Advisory Committee. The committee will be comprised of the Project Director of the SBTRC Region, a small business owner, a prime contractor, and a state/local government representative. The committee will have a minimum of five (5) members and meet on a quarterly basis; and the SBTRC will provide meeting summaries to include attendees and action items to OSDBU within 15 calendar days of the meeting and will also retain copies in the planning committee’s electronic file.

The SBTRC will administer the WITI internship component as requested by the OSDBU. This component may consist of utilizing the availability of stipend funds to pay for student internships within transportation-oriented businesses, organizations, and/or agencies within the region.

2. Office of Small and Disadvantaged Business Utilization (OSDBU) Responsibilities

Responsibilities include:

a. Provide consultation and technical assistance in planning, implementing, and evaluating activities under this announcement.

b. Provide orientation and training to the applicant organization.

c. Monitor the SBTRC activities, cooperative agreement compliance, and overall SBTRC performance.

d. Assist the SBTRC to develop or strengthen its relationships with Federal, State, and local transportation authorities, other technical assistance organizations, and DOT Recipients.

e. Facilitate the exchange and transfer of successful program activities and information among all SBTRC regions.

f. Provide the SBTRC with DOT OSDBU materials and other relevant transportation-related information for dissemination.

g. Maintain effective communication with the SBTRC and inform them of transportation news and contracting opportunities to share with small businesses in their region.

h. Provide all required forms to be used by the SBTRC for reporting purposes under the program.

i. Perform an annual performance evaluation of the SBTRC at the end of the Period of Performance. Satisfactory performance is a condition of continued participation of the organization as an SBTRC and execution of all option years.

j. Conduct annual site visit at SBTRC location by the Regional Assistance Division to review agreement performance, quality of delivery, program files, and the database of businesses served.

k. Provide updated Line of Accounting (LOA) and Purchase Order (PO) Number information to SBTRC.

l. Provide CRM database to SBTRC.

B. Federal Award Information

The Regional Assistance Division of OSDBU, through the SBTRC program, allows OSDBU to partner with local organizations to offer a comprehensive delivery system of business training, technical assistance, and dissemination of information targeted towards small business transportation enterprises in their regions. The SBTRCs are established and funded through Cooperative Agreements between eligible applicants and OSDBU. The SBTRCs function as regional offices of OSDBU and fully execute the mission of the OSDBU nationally.

OSDBU enters into Cooperative Agreements with recipients to establish and fund a regional SBTRC. Under the Cooperative Agreement, OSDBU will be substantially involved with the overall operations of the SBTRC. This involvement includes directing SBTRC staff to travel and represent OSDBU on panels and events. OSDBU will make one (1) award under this announcement. Award ceiling for this announcement is $187,000. It is anticipated that the recipient will begin performing on the award on September 1, 2023, and the period of performance (POP) will be September 1, 2023 to August 31, 2024. This is a one-year grant with an option to renew for two (2) additional years, at the discretion of U.S. DOT.

Cooperative agreement awards will be distributed to the region(s) as follows:

Cooperative agreement awards by region are based upon an analysis of DBEs, certified Small Businesses, and U.S. DOT transportation dollars in each region. The Mid-South Atlantic Region supports small businesses in Georgia, South Carolina, and Tennessee.

C. Eligibility Information

1. Eligible Applicants

To be eligible, an organization must be an established, nonprofit, community-based organization, transportation-related trade association, chamber of commerce, college or university, community college, or any other qualifying transportation-related non-profit organization that has the documented experience and capacity necessary to successfully operate and administer a coordinated delivery system that provides access for small businesses to prepare and compete for transportation-related contracts.

In addition, to be eligible, the applicant organization must:

a. Be an established 501 C (3) or 501 C (6) tax-exempt organization and provide documentation as verification. No application will be accepted without proof of tax-exempt status.

b. Have at least one year of documented and continuous experience prior to the date of application in providing advocacy, outreach, and technical assistance to small businesses within the region in which proposed services will be provided. Prior performance providing services to the transportation community is preferable.

c. Have an office physically located within the proposed city in the designated headquarters state, in the region for which they are submitting the proposal, that is readily accessible to the public.

2. Cost Sharing

OSDBU's intent is to maximize the benefits received by the small business transportation community through the SBTRC. Funding will reimburse a Project Director for 100% of salary plus fringe benefits, a Project Coordinator for 100% of salary plus fringe benefits, an Executive Director for 20% of salary plus fringe benefits, the cost of designated SBTRC space, other direct costs, and all other general and administrative expenses. Selected recipients will be expected to provide in-kind administrative support. Submitted proposals must contain an alternative funding source with which the SBTRC will fund administrative support costs. Preference will be given to proposals containing in-kind contributions for the Project Director, the Project Coordinator, the Executive Director, cost of designated SBTRC space, other direct costs, and all other general and administrative expenses. The SBTRC will furnish all labor, facilities, and equipment to perform the services described in this notice of funding opportunity.

D. Application and Submission Information

1. Address to Request/Submit Application Package Applications are located on Grants.gov and each proposal must be submitted electronically to Grants.gov.

2. Content and Form of Application Submission

a. Application – Any eligible organization, as defined in Section C of this announcement, will submit only one proposal per region for consideration by OSDBU. The application must follow the format set forth in the application form attached as Appendix A to this announcement. Applicants should consult section E.1 of this NOFO to ensure the content of applications is responsive to the criteria on which OSDBU will evaluate applications. Applications must be:

· Double-spaced, and printed in a font size not smaller than 12 points.

· Applications will not exceed 35 single-sided pages, not including any requested attachments.

· All pages shall 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.

· Proposal packages must be submitted electronically to Grants.gov.

b. Financial Statements – Each application must include the most recent two years of the applying organization's financial statements. Audited financial statements are preferred, but reviewed financial statements are acceptable.

c. Conflicts of Interest – Applicants must submit signed statements by key personnel and all organization principals indicating that they, or members of their immediate funded transportation project, do not have any relationships with local or State transportation agencies that may have the appearance of a conflict of interest.

Applications will not be accepted if they do not include all required information.

3. Unique Entity Identifier and System for Award Management (SAM) Each applicant must (i) be registered in SAM before submitting application; (ii) provide a valid Unique Entity Identifier with the proposal; and (iii) continue to maintain an active SAM registration with current information, at all times, during which it has an active Federal award or application or plan under consideration by a Federal awarding agency. DOT may not make a Federal award to an applicant until the applicant has complied with all applicable Unique Entity Identifiers and SAM requirements; and if an applicant has not fully complied with the requirements by the time the Federal awarding agency is ready to make a Federal award, the DOT may determine that the applicant is not qualified to receive a Federal award and use that determination as a basis for making a Federal award to another applicant.

4. Submission Dates and Times Proposals must be received in Grants.gov no later than July 22, 2023, 6:00 pm Eastern Time (ET). Late applications will not be considered.

5. Funding Restrictions All costs under this award must be eligible, allowable, and allocable, consistent with the cost principles set forth in 2 C.F.R. Part 200 Subpart E. Any costs incurred prior to a signed cooperative agreement are not eligible for reimbursement. Any costs incurred after award announcement, but before a signed cooperative agreement, are not eligible for reimbursement without the express written consent of DOT, consistent with pre-award authority under 2 C.F.R. 200.458.

E. Application Review Information

1. Selection Criteria

OSDBU will award the cooperative agreement on a best value basis, using the following criteria to evaluate applications:

a. Approach and Strategy

b. Linkages

c. Organizational Capability

d. Staff Capabilities and Experience

e. Cost Proposal

f. Proof of Tax-Exempt Status

a. Approach and Strategy The applicant must describe their strategy to achieve the overall mission of the SBTRC, as described in this solicitation, and service the small business community in their entire geographic regional area. The applicant must also describe how the specific activities, outlined in Section C, will be implemented and executed in the organization's regional area. OSDBU will consider the extent to which the proposed objectives are specific, measurable, time specific, and consistent with OSDBU goals and the applicant organization's overall mission. OSDBU will give priority consideration to applicants that demonstrate innovation and creativity in their approach to assist small businesses to become successful transportation contractors and increase their ability to access DOT contracting opportunities and financial assistance programs. Applicants must also submit the estimated direct costs, other than labor, to execute their proposed strategy. OSDBU will 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 at the proposed cost.

b. Linkages

The applicant must describe their established relationships within their geographic region and demonstrate their ability to coordinate and establish effective networks with DOT grant recipients and local/regional technical assistance agencies to maximize resources. OSDBU will consider innovative aspects of the applicant's approach and strategy to build upon their existing relationships and establish networks with existing resources in their geographical area. The applicant should describe their strategy to obtain collaboration with the SBTRC from DOT grantees and recipients, transportation prime contractors and subcontractors, SBA, U.S. Department of Commerce's MBDA Centers, DoD PTACs/APEX Accelerators, State DOTs, and State Highway supportive services contractors. In rating this factor, OSDBU will consider the extent to which the applicant demonstrates ability to be multidimensional.

The applicant must demonstrate that they can access a broad range of supportive services to effectively serve a broad range of transportation-related small businesses within their respective geographical region. Emphasis will be placed on the extent to which the applicant identifies a clear outreach strategy related to the identified needs that can be successfully carried out within the period of this agreement and a plan for involving the Regional Planning Committee in the execution of that strategy.

c. Organizational Capability

The applicant must demonstrate that they have the organizational capability to meet the program requirements set forth in Section C. The applicant organization must have sufficient resources and past performance experience to successfully provide outreach to transportation-related small businesses in their geographical area and carry out the mission of the SBTRC. In rating this factor, OSDBU 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 businesses. Applicants will be given points for demonstrated past transportation-related performance. The applicant must also describe technical and administrative resources it plans to use in achieving proposed objectives. In their description, the applicant must describe their physical and technological resources and capabilities and a plan for sufficient matching of alternative financial resources to fund the general and administrative costs of the SBTRC. The applicant must also describe their administrative and financial staff. It will be the responsibility of the successful candidate to not only provide the services outlined herein to small businesses in the transportation industry, but to also successfully manage and maintain their internal financial, payment, and invoicing process with their financial management offices. OSDBU will place an emphasis on capabilities of the applicant's financial management staff. Additionally, a site review may be required prior to award for those candidates that are being strongly considered. A member of the OSDBU team will contact those candidates to schedule the site reviews prior to the award of the agreement if determined to be necessary by the OSDBU.

d. Staff Capabilities and Experience The applicant organization must provide a list of proposed personnel for the project, with salaries, fringe benefit burden factors, education levels, and previous experience clearly delineated. The applicant's project team must be well-qualified, knowledgeable, and able to effectively serve the diverse and broad range of small businesses in their geographical region.

The Executive Director and the Project Director shall be deemed key personnel. Detailed resumes and position descriptions for each position must be submitted for all proposed key personnel. Agreements and contracts for all consultants and contractors must be included with the proposal. Proposed key personnel must have detailed demonstrated experience providing services similar in scope and nature to the proposed effort.

The proposed Project Director will serve as the responsible individual for the program. The Project Director must dedicate 100% of their time to the SBTRC. The Executive Director and Project Director must be located onsite, unless prior approval is obtained from the OSDBU Regional Assistance Division Manager. In this element, OSDBU will consider the extent to which the applicant's proposed Staffing Plan: (i) clearly meets the education and experience requirements to accomplish the objectives of the cooperative agreement; (ii) delineates staff responsibilities and accountability for all work required and; (iii) presents a clear and feasible ability to execute the applicant's proposed approach and strategy.

The proposal must include a narrative that describes, in detail, the duties of the Executive Director and the specific amount of time that the Executive Director’s 20% of a 40-hour work-week represent. In other words, based on a 40-hour work-week (with the Executive Director as a full-time employee of the host organization), describe how the Executive Director will account for their tasks and time between SBTRC and host organization tasks.

e. Cost Proposal

Applicants must submit the total proposed cost of establishing and administering the SBTRC in the applicant's geographical region for a 12-month period, inclusive of costs funded through alternative matching resources. The applicant's budget must be adequate to support the proposed strategy and costs must be reasonable in relation to project objectives. The portion of the submitted budget funded by OSDBU cannot exceed the ceiling outlined in Section B. Applicants are encouraged to provide in-kind costs and other innovative cost approaches. Applicants must include a cost narrative that provides details and methodologies on how all the proposed costs were determined.

f. Proof of Tax-Exempt Status All proposals must include a copy of the IRS Tax Exempt Status notification. Applications that do not include this will not be considered complete.

2. Review and Selection Process

A team of people will evaluate the proposals. Those proposals meeting the mandatory criteria will be assessed based on the above-mentioned criteria. The proposals demonstrating the organization's capacity to fully execute the requirements of this grant will be considered. A review panel will rate each application based upon the evaluation criteria listed above. A rating (“pass” or “fail”) will be given for each evaluation criteria category. Proposals that are deemed non-responsive, do not meet the established criteria, or are incomplete at the time of submission will be disqualified. DOT intends to award to an excellent and complete proposal. OSDBU will also perform a responsibility determination of the prospective awardee in the region, which may include a site visit, before awarding the cooperative agreement.

F. Federal Award Administration

1. Federal Award Notices Following the evaluation outlined in Section E, OSDBU will announce the awarded applicant with a written Notice of Funding Award. The notice will also include the cooperative agreement for signature.

2. Administrative and National Policy Requirements All awards will be administered pursuant to the Uniform Administrative Cost Principles and Audit Requirements for Federal Awards found in 2 CFR Part 200.

3. Reporting

G. Federal Awarding Agency Contacts

For further information regarding this notice, please contact the OSDBU program staff via email at sbtrc@dot.gov or Steronica Mattocks at steronica.mattocks@dot.gov. To ensure applicants receive accurate information about eligibility or the program, the applicant is encouraged to contact DOT directly, rather than through intermediaries or third parties, with questions.

H. Protection of Confidential Business Information All information submitted as part of or in support of any application, shall use publicly available data or data that can be made public and methodologies that are accepted by industry practice and standards, to the extent possible. If the application includes information the applicant considers to be a trade secret or confidential commercial or financial information, the applicant should do the following: (1) Note on the front cover that the submission "Contains Confidential Business Information (CBI)"; (2) Mark each affected page "CBI"; and (3) Highlight or otherwise denote the CBI portions. DOT protects such information from disclosure to the extent allowed under applicable law. In the event DOT receives a Freedom of Information Act (FOIA) request for the information, DOT will follow the procedures described in its FOIA regulation at 49 CFR 7.1 7. Only information that is ultimately determined to be confidential under that procedure will be exempt from disclosure under FOIA.