[Federal Register Volume 76, Number 113 (Monday, June 13, 2011)]
[Notices]
[Pages 34278-34279]
[FR Doc No: 2011-14516]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-64614; File No. SR-CBOE-2011-053]

Self-Regulatory Organizations; Chicago Board Options Exchange,
Incorporated; Notice of Filing and Immediate Effectiveness of Proposed
Rule Change Relating to Option Expiration Months Open for Trading on
the Exchange

June 7, 2011.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act'') \1\ and Rule 19b-4 thereunder,\2\ notice is hereby given
that, on June 3, 2011, the Chicago Board Options Exchange, Incorporated
(the ``Exchange'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as described in Items I and
II below, which Items have been prepared by the Exchange. The Exchange
has designated the proposed rule change as constituting a non-
controversial rule change under Rule 19b-4(f)(6) under the Act,\3\
which renders the proposal effective upon filing with the Commission.
The Commission is publishing this notice to solicit comments on the
proposed rule change from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ 17 CFR 240.19b-4(f)(6).
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange proposes to amend its rules to permit the Exchange to
list additional expiration months if such expiration months are listed
on another exchange. The text of the rule proposal is available on the
Exchange's Web site (http://www.cboe.org/legal), at the Exchange's
Office of the Secretary and at the Commission's Public Reference Room.

II. Self-Regulatory Organization's Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule Change

    In its filing with the Commission, the self-regulatory organization
included statements concerning the purpose of and basis for the
proposed rule change and discussed any comments it received on the
proposed rule change. The text of those statements may be examined at
the places specified in Item IV below. The Exchange has prepared
summaries, set forth in sections A, B, and C below, of the most
significant parts of such statements.

A. Self-Regulatory Organization's Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule Change

1. Purpose
    The purpose of the proposed rule change is to amend CBOE's Rules to
permit the Exchange to list additional expiration months if such
expiration months are listed on another exchange. This filing is based
on a filing previously submitted by NASDAQ OMX PHLX, Inc. (``PHLX'')
\4\ and by International Securities Exchange, LLC (``ISE'').\5\
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    \4\ See Securities Exchange Act Release No. 63700 (January 11,
2011) 76 FR 2931 (January 18, 2011) (SR-PHLX-2011-04).
    \5\ See Securities Exchange Act Release No. 64343 (April 26,
2011), 76 FR 24546 (May 2, 2011) (SR-ISE-2011-26).
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    Pursuant to Interpretation and Policy .03 to Rule 5.5, the Exchange
typically opens four (4) expiration months for each class of options
open for trading on the Exchange: The first two being the two nearest
months, regardless of the quarterly cycle on which that class trades;
the third and fourth being the next two months of the quarterly cycle
previously designated by the Exchange for that specific class. For
example, if the Exchange listed, in late April, a new stock option on a
January-April-July-October quarterly cycle, the Exchange would list the
two nearest term months (May and June) and the next two expiration
months of the cycle (July and October). When the May series expires,
the Exchange would add January series. When the June series expires,
the Exchange would add August series as the next month, and would not
add April.
    In 2010, for competitive reasons, the Exchange established a pilot
program pursuant to which CBOE would list up to an additional two
expiration months, for a total of six expiration months for each class
of options open for trading on the Exchange (the ``Additional
Expiration Months Pilot'').\6\
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    \6\ See Securities Exchange Act Release No. 63185 (October 27,
2010), 75 FR 67419 (November 2, 2010) (SR-CBOE-2010-97). As stated
in footnote 5 at page 67419, CBOE does not believe that Rule 5.5.03
limits the maximum number of expiration months that may be listed.
Rule 5.5(a) and 5.5(c) provide CBOE with the flexibility to add
additional expiration months, which the Exchange has previously
done. By establishing the Additional Series Pilot Program, CBOE did
not limit its existing ability.
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    PHLX submitted a proposal to adopt rules that permit it to list an
unlimited number of expiration months and series for each class of
standard options opened for trading on that exchange. Specifically,
PHLX amended its rules so that it can open ``at least one expiration
month'' for each class of standard options open for trading on that
exchange. CBOE does not believe that its Additional Expiration Months
Pilot restricts the total number expirations that CBOE may list under
its Rules. However, at least one other exchange (ISE), which has
adopted a similar Additional Expiration Months Pilot has filed to
expressly permit the listing of additional series if such series are
listed on at least one other registered national securities exchange.
    For competitive reasons, CBOE proposes to add new Interpretation
and Policy .19 to Rule 5.5 and new Interpretation and Policy .12 to
Rule 24.9 to permit the Exchange to list additional expiration months
on options classes opened for trading on the Exchange if such
expiration months are opened for trading on at least one other national
securities exchange. This proposed rule change will allow CBOE to match
the listing of expiration months that other exchanges list.
    The Exchange notes that the proposed rule change affords additional
flexibility in that it will permit the exchange to list those
additional expiration months that have an actual demand from market
participants thereby potentially reducing the proliferation of classes
and series. The Exchange believes the proposed rule change is proper,
and indeed necessary, in light of the need to have rules that permit
the listing of identical expiration months across exchanges for
products that multiply-listed and fungible with one another. The
Exchange believes that the proposed rule change should encourage

competition and be beneficial to traders and market participants by
providing them with a means to trade on the Exchange securities that
are listed and traded on other exchanges.
2. Statutory Basis
    The Exchange believes the proposed rule change is consistent with
the Act \7\ and the rules and regulations thereunder and, in
particular, the requirements of Section 6(b) of the Act.\8\
Specifically, the Exchange believes the proposed rule change is
consistent with the Section 6(b)(5) \9\ requirements that the rules of
an exchange be designed to promote just and equitable principles of
trade, to prevent fraudulent and manipulative acts, to remove
impediments to and to perfect the mechanism for a free and open market
and a national market system, and, in general, to protect investors and
the public interest. In particular, the proposed rule change will
permit the Exchange to accommodate requests made by its Trading
Privilege Holders and other market participants to list the additional
expiration months and thus encourage competition without harming
investors or the public interest.
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    \7\ 15 U.S.C. 78s(b)(1).
    \8\ 15 U.S.C. 78f(b).
    \9\ 15 U.S.C. 78f(b)(5).
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B. Self-Regulatory Organization's Statement on Burden on Competition

    CBOE does not believe that the proposed rule change will impose any
burden on competition not necessary or appropriate in furtherance of
the purposes of the Act.

C. Self-Regulatory Organization's Statement on Comments on the Proposed
Rule Change Received From Members, Participants, or Others

    No written comments were solicited or received with respect to the
proposed rule change.

III. Date of Effectiveness of the Proposed Rule Change and Timing for
Commission Action

    Because the foregoing proposed rule change does not significantly
affect the protection of investors or the public interest, does not
impose any significant burden on competition, and, by its terms, does
not become operative for 30 days from the date on which it was filed,
or such shorter time as the Commission may designate, it has become
effective pursuant to Section 19(b)(3)(A) of the Act \10\ and Rule 19b-
4(f)(6) thereunder.\11\
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    \10\ 15 U.S.C. 78s(b)(3)(A).
    \11\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6)(iii)
requires the Exchange to give the Commission written notice of the
Exchange's intent to file the proposed rule change, along with a
brief description and text of the proposed rule change, at least
five business days prior to the date of filing of the proposed rule
change, or such shorter time as designated by the Commission. The
Commission has waived the five-day prefiling requirement in this
case.
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    The Exchange has requested that the Commission waive the 30-day
operative delay. The Commission believes that waiver of the operative
delay is consistent with the protection of investors and the public
interest because the proposal should promote competition by allowing
the Exchange, without undue delay, to list and trade option series that
are trading on other options exchanges. Therefore, the Commission
designates the proposal operative upon filing.\12\
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    \12\ For purposes only of waiving the 30-day operative delay,
the Commission has considered the proposed rule's impact on
efficiency, competition, and capital formation. See 15 U.S.C.
78c(f).
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    At any time within 60 days of the filing of the proposed rule
change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is necessary or
appropriate in the public interest, for the protection of investors, or
otherwise in furtherance of the purposes of the Act.

IV. Solicitation of Comments

    Interested persons are invited to submit written data, views, and
arguments concerning the foregoing, including whether the proposed rule
change is consistent with the Act. Comments may be submitted by any of
the following methods:

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an e-mail to<EMAIL_ADDRESS>Please include
File Number SR-CBOE-2011-053 on the subject line.

Paper Comments

     Send paper comments in triplicate to Elizabeth M. Murphy,
Secretary, Securities and Exchange Commission, 100 F Street, NE.,
Washington, DC 20549-1090.

All submissions should refer to File Number SR-CBOE-2011-053. This file
number should be included on the subject line if e-mail is used. To
help the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's Internet Web site (http://www.sec.gov/rules/sro.shtml). Copies of the submission, all subsequent amendments, all
written statements with respect to the proposed rule change that are
filed with the Commission, and all written communications relating to
the proposed rule change between the Commission and any person, other
than those that may be withheld from the public in accordance with the
provisions of 5 U.S.C. 552, will be available for website viewing and
printing in the Commission's Public Reference Room, 100 F Street, NE.,
Washington, DC 20549, on official business days between the hours of 10
a.m. and 3 p.m. Copies of the filing also will be available for
inspection and copying at the principal office of the Exchange. All
comments received will be posted without change; the Commission does
not edit personal identifying information from submissions. You should
submit only information that you wish to make available publicly. All
submissions should refer to File Number SR-CBOE-2011-053 and should be
submitted on or before July 5, 2011.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\13\
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    \13\ 17 CFR 200.30-3(a)(12).
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Cathy H. Ahn,
Deputy Secretary.
[FR Doc. 2011-14516 Filed 6-10-11; 8:45 am]
BILLING CODE 8011-01-P


RobertJ Wayland/ RTP/ USEPA/ US 04/ 14/ 2006 03: 33 PM To etoy@ omb. eop. gov cc Walt Stevenson/ RTP/ USEPA/ US@ EPA, Cathy Coats/ RTP/ USEPA/ US@ EPA, Teresa Clemons/ RTP/ USEPA/ US@ EPA, Brian Shrager/ RTP/ USEPA/ US@ EPA, garrett. pamela@ epa. gov@ EPA Subject Revised Version of the Large MWC Package Edmond

Attached below is the version of Large MWC package which we submitted today to DC for formal submittal through ROCIS to OMB. I've also attached a redline document off of the the version we sent you on 4/ 5/ 06. Please let me know you have any questions. Also, this should be coming via ROCIS mid next week, if you could let me know when it arrives that would help me know if I need to apply any pressure on my end to get it there!

Have a great weekend!

thanx!

bob


[Federal Register: October 29, 2007 (Volume 72, Number 208)]
[Rules and Regulations]
[Page 61059]
[DOCID:fr29oc07-8]

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DEPARTMENT OF HOMELAND SECURITY

Coast Guard

33 CFR Part 117

[CGD08-07-031]
RIN 1625-AA09

Drawbridge Operation Regulation; Rigolets Pass, Mile 6.2, Between
Orleans and St. Tammany Parishes, LA

AGENCY: Coast Guard, DHS.

ACTION: Notice of temporary deviation from regulations.

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SUMMARY: The Commander, Eighth Coast Guard District, has issued a
temporary deviation from the regulation governing the operation of the
U.S. 90 Swing Bridge across Rigolets Pass, mile 6.2, between Orleans
and St. Tammany Parishes, Louisiana. This deviation will allow the draw
of the U.S. 90 Swing Bridge to remain in the closed to navigation
position until January 15, 2007.

DATES: This deviation is effective from October 16, 2007 until January
15, 2007.

ADDRESSES: Materials referred to in this document are available for
inspection or copying at Eighth Coast Guard District, Bridge
Administration Branch, Hale Boggs Federal Building, Room 1313, 500
Poydras Street, New Orleans, Louisiana, 70130-3310, between 7 a.m. and
3 p.m., Monday through Friday, except Federal holidays. The telephone
number is<PHONE_NUMBER>. The Eighth Coast Guard District, Bridge
Administration Branch, maintains the public docket for this temporary
deviation.

FOR FURTHER INFORMATION CONTACT: Bart Marcules, Bridge Administration
Branch, telephone<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION: The U.S. 90 Swing Bridge located on Rigolets
Pass at mile 6.2 between Orleans and St. Tammany Parishes, Louisiana
has a vertical clearance of 9 feet above mean high water, elevation 2.0
feet Mean Sea Level (MSL) in the closed position and unlimited in the
open position. The U.S. 90 Swing Bridge opens on signal as required by
33 CFR 117.5, and this operating schedule has been in effect since
1927.
    Due to the fact that a replacement bridge is in the final stages of
construction and will be open to traffic shortly the significant costs
and time to repair the U.S. 90 Swing Bridge is prohibitive. The repairs
will take several months to complete and the new bridge will be open to
traffic in three months. The cost of repair is estimated at $250,000 to
$500,000 which is an excessive burden on the taxpayers for one month's
use of the U.S. 90 Swing Bridge before it is taken out of service.
Thus, the Louisiana Department of Transportation and Development has
requested that a Temporary Deviation be granted until the new bridge is
open for traffic.
    The deviation period will be from October 16, 2007 until January
15, 2007, and the U.S. 90 Swing Bridge will be allowed to stay in the
closed to navigation position. Small boats can still transit under the
U.S. 90 Swing Bridge in the closed to navigation position. This bridge
will not be able to open for emergencies.
    Since mariners can use the Chef Menteur Pass to access the Gulf of
Mexico from Lake Pontchartrain with minimal difference in transit time
there are no expected impacts.
    In accordance with 33 CFR 117.35(e), the drawbridge must return to
its regular operating schedule immediately at the end of the designated
time period. This deviation from the operating regulations is
authorized under 33 CFR 117.35.

    Dated: October 16, 2007.
David M. Frank,
Bridge Administrator.
[FR Doc. E7-21242 Filed 10-26-07; 8:45 am]

BILLING CODE 4910-15-P


[Federal Register Volume 81, Number 25 (Monday, February 8, 2016)]
[Notices]
[Pages 6578-6584]
[FR Doc No: 2016-02368]

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DEPARTMENT OF TRANSPORTATION

Office of the Secretary of Transportation

Notice of Funding Availability for the Small Business
Transportation Resource Center Program

AGENCY: Office of Small and Disadvantaged Business Utilization (OSDBU),
Office of the Secretary of Transportation. (OST), Department of
Transportation (DOT).

ACTION: Notice of Funding Availability for the Southwest Region SBTRC.

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SUMMARY: The Department of Transportation (DOT), Office of the
Secretary (OST), Office of Small and Disadvantaged Business Utilization
(OSDBU) announces the opportunity for; (1) business centered community-
based organizations; (2) transportation-related trade associations; (3)
colleges and universities; (4) community colleges or; (5) chambers of
commerce, registered with the Internal Revenue Service as 501C(6) or
501C(3) tax-exempt organizations, to compete for participation in
OSDBU's Small Business Transportation Resource Center (SBTRC) program
in the Southwest Region (California, Nevada, Arizona, and Hawaii).
    OSDBU will enter into Cooperative Agreements with these
organizations to provide outreach to the small business community in
their designated region and provide financial and technical assistance,
business training programs, business assessment, management training,
counseling, marketing and outreach, and the dissemination of
information, to encourage and assist small businesses to become better
prepared to compete for, obtain, and manage DOT funded transportation-
related contracts and subcontracts at the federal, state and local
levels. Throughout this notice, the term ``small business'' will refer
to: 8(a), small disadvantaged businesses (SDB), disadvantaged business
enterprises (DBE), women owned small businesses (WOSB), HubZone,
service disabled veteran owned businesses (SDVOB), and veteran owned
small businesses (VOSB). Throughout this notice, ``transportation-
related'' is defined as the maintenance, rehabilitation, restructuring,
improvement, or revitalization of any of the nation's modes of
transportation.
    Funding Opportunity Number: USDOT-OST-OSDBU/SBTRCSOUTHWEST-2016-1.
    Catalog of Federal Domestic Assistance (CFDA) Number: 20.910
Assistance to Small and Disadvantaged Businesses.
    Type of Award: Cooperative Agreement Grant.
    Award Ceiling: $160,000.
    Award Floor: $145,000.
    Program Authority: DOT is authorized under 49 U.S.C. 332(b)(4), (5)
& (7) to design and carry out programs to assist small disadvantaged
businesses in getting transportation-related contracts and
subcontracts; develop support mechanisms, including management and
technical services, that will enable small disadvantaged businesses to
take advantage of those business opportunities; and to make
arrangements to carry out the above purposes.

DATES: Complete Proposals must be electronically submitted to OSDBU via
email on or before March 25, 2016, 6:00 p.m. Eastern Standard Time
(EST). Proposals received after the deadline will be considered non-
responsive and will not be reviewed. The applicant is advised to
request delivery receipt notification for email submissions. DOT plans
to give notice of award for the competed region on or before April 4,
2016, by 6:00 p.m. (EST).

ADDRESSES: Applications must be electronically submitted to OSDBU via
email at<EMAIL_ADDRESS>and the OSDBU Regional Assistance Division
Manager, Michelle Harris, at<EMAIL_ADDRESS>(copied).

FOR FURTHER INFORMATION CONTACT: For further information concerning
this notice, contact Mr. Adam Dorsey, Program Analyst, U.S. Department
of Transportation, Office of Small and Disadvantaged Business
Utilization, 1200 New Jersey Avenue SE., Washington, DC 20590.
Telephone:<PHONE_NUMBER>. Email<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

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 Office of Small and Disadvantaged Business Utilization
Responsibilities
3. Submission of Proposals
    3.1 Format for Proposals
    3.2 Address, Number of Copies, Deadline for Submission
4. Selection Criteria
    4.1 General Criteria
    4.2 Scoring of Applications
    4.3 Conflicts of Interest
Format for Proposals--Appendix A

Full Text of Announcement

1. Introduction

1.1 Background

    The DOT established OSDBU in accordance with Public Law 95-507, an
amendment to the Small Business Act and the Small Business Investment
Act of 1958. The mission of OSDBU at DOT is to ensure that the small
and disadvantaged business policies and goals of the Secretary of
Transportation are developed and implemented in a fair, efficient and
effective manner to serve small and disadvantaged businesses throughout
the country. The OSDBU also administers the provisions of Title 49,
Section 332, the Minority Resource Center (MRC) which includes the
duties of advocacy, outreach and financial services on behalf of small
and disadvantaged business and those certified under CFR 49 parts 23
and or 26 as Disadvantaged Business Enterprises (DBE) and the
development of programs to encourage, stimulate, promote and assist
small businesses to become better prepared to compete for, obtain and
manage transportation-related contracts and subcontracts.
    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.

1.2 Program Description and Goals

    The national SBTRC program utilizes Cooperative Agreements with
chambers of commerce, trade associations, educational institutions and
business-centered community based organizations to establish SBTRCs to
provide business training, technical assistance and information to DOT
grantees and recipients, prime contractors and subcontractors. In order
to be effective and serve their target audience, the SBTRCs must be
active in the local transportation community in order to identify and
communicate opportunities and provide the required technical
assistance. SBTRCs must already have, or demonstrate the ability to,
establish working relationships with the state and local transportation
agencies and technical assistance agencies (i.e. The U.S. Department of
Commerce's Minority Business Development Centers (MBDCs), Small
Business Development Centers (SBDCs), and Procurement Technical
Assistance Centers (PTACs), SCORE and State DOT highway supportive
services contractors in their region. Utilizing these relationships and
their own expertise, the SBTRCs are involved in activities such as
information dissemination, small business counseling, and technical
assistance with small businesses currently doing business with public
and private entities in the transportation industry.
    Effective outreach is critical to the success of the SBTRC program.
In order for their outreach efforts to be effective, SBTRCs must be
familiar with DOT's Operating Administrations, its funding sources, and
how funding is awarded to DOT grantees, recipients, contractors,
subcontractors, and its financial assistance programs. SBTRCs must
provide outreach to the regional small business transportation
community to disseminate information and distribute DOT-published
marketing materials, such as Short Term Lending Program (STLP)
Information, Bonding Education Program (BEP) information, SBTRC
brochures and literature, DOT Procurement Forecasts; Contracting with
DOT booklets, Women and Girls in Transportation Initiative (WITI)
information, and any other materials or resources that DOT or OSDBU may
develop for this purpose. To maximize outreach, the SBTRC may be called
upon to participate in regional and national conferences and seminars.
Quantities of DOT publications for on-hand inventory and dissemination
at conferences and seminars will be available upon request from the
OSDBU office.

1.3 Description of Competition

    The purpose of this Request For Proposal (RFP) is to solicit
proposals from transportation-related trade associations, chambers of
commerce, community based entities, colleges and universities,
community colleges, and any other qualifying transportation-related
non-profit organizations with the desire and ability to partner with
OSDBU to establish and maintain an SBTRC.
    It is OSDBU's intent to award a Cooperative Agreement to one
organization in the Southwest Region, from herein referred to as
``region'', in this solicitation. However, if warranted, OSDBU reserves
the option to make multiple awards to selected partners. OSDBU also
reserves the right to modify geographical area covered by the Southwest
Region SBTRC. Proposals submitted for a region must contain a plan to
service the states throughout the Southwest Region (California,
Arizona, Nevada, and Hawaii), not just the state or immediate local
geographical area where the SBTRC is headquartered. The SBTRC
headquarters must be established in one of the designated states within
the Southwest Region (California, Arizona, Nevada, and Hawaii).
SBTRC Region Competed in This Solicitation:
Southwest Region (California, Arizona, Nevada, and Hawaii)
    Program requirements and selection criteria, set forth in Sections
2 and 4 respectively, indicate that the OSDBU intends for the SBTRC to
be multidimensional; that is, the selected organization must have the
capacity to effectively access and provide supportive services to the
broad range of

small businesses within the respective geographical region. To this
end, the SBTRC must be able to demonstrate that they currently have
established relationships within each state in the geographic region
with whom they may coordinate and establish effective networks with DOT
grant recipients and local/regional technical assistance agencies to
maximize resources.
    Cooperative agreement awards will be distributed to the region(s)
as follows:

Southwest Region
    Ceiling: $160,000 per year
    Floor: $145,000 per year

    Cooperative agreement awards by region are based upon an analysis
of DBEs, Certified Small Businesses, and US DOT transportation dollars
in each region.
    It is OSDBU's intent to maximize the benefits received by the small
business transportation community through the SBTRC. Funding will
reimburse an on-site Project Director for 100% of salary plus fringe
benefits, an on-site Executive Director up to 20% of salary plus fringe
benefits, up to 100% of a Project Coordinator salary plus fringe
benefits, the cost of designated SBTRC space, other direct costs, and
all other general and administrative expenses. Selected SBTRC partners
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 Executive Director, the Project Coordinator, 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 announcement.

1.4 Duration of Agreements

    The cooperative agreement will be awarded for a period of 12 months
(one year) with options for two (2) additional one year periods, at the
discretion of OSDBU. OSDBU will notify the SBTRC of our intention to
exercise an option year or not to exercise an option year 30 days in
advance of expiration of the current year. Upon exercising the first
option year of the Cooperative Agreement, OSDBU will renew the SBTRC
with a 3% funding increase. Upon exercising the second option year,
OSDBU will renew the SBTRC with a 1% increase from the first option
year.

Authority

    DOT is authorized under 49 U.S.C.Sec.  332(b)(4), (5) & (7) to
design and carry out programs to assist small disadvantaged businesses
in getting transportation-related contracts and subcontracts; develop
support mechanisms, including management and technical services, that
will enable small disadvantaged businesses to take advantage of those
business opportunities; and to make arrangements to carry out the above
purposes.

1.5 Eligibility Requirements

    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, and any
other qualifying transportation-related non-profit organization which
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 501C(3) or 501C(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, but not
required; and
    (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. Program Requirements

2.1 Recipient Responsibilities

(A) Assessments, Business Analyses
    1. Conduct an assessment of 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.
    2. Contact other federal, state and local government agencies, such
as the U.S. Small Business Administration (SBA), state and local
highway agencies, state and local airport authorities, and transit
authorities to identify relevant and current information that may
support the assessment of the regional small business transportation
community needs.
(B) General Management & Technical Training and Assistance
    1. Utilize OSDBU's Intake Form to document each small business
assisted by the SBTRC and type of service(s) provided. A complete list
of businesses that have filled out the form shall be submitted as part
of the SBTRC report, submitted via email to the Regional Assistance
Division on a regular basis (using the SBTRC Report). This report will
detail SBTRC activities and performance results. The data provided must
be supported by the narrative (if asked).
    2. Ensure that an array of information is made available for
distribution to the small business transportation community that is
designed to inform and educate the community on DOT/OSDBU services and
opportunities.
    3. Coordinate efforts with OSDBU in order to maintain an on-hand
inventory of DOT/OSDBU informational materials for general
dissemination and for distribution at transportation-related
conferences and other events.
(C) Business Counseling
    1. Collaborate with agencies, such as State, Regional, and Local
Transportation Government Agencies, SBA, U.S. Department of Commerce's
Minority Business Development Centers (MBDCs), Service Corps of Retired
Executives (SCORE), Procurement Technical Assistance Centers (PTACs),
and Small Business Development Centers (SBDCs), to offer a broad range
of counseling services to transportation-related small business
enterprises.
    2. Create a technical assistance plan that will provide each
counseled participant with the knowledge and skills necessary to
improve the management of their own small business to expand their
transportation-related contracts and subcontracts portfolio.
    3. Provide a minimum of 20 hours of individual or group counseling
sessions to small businesses per month. This counseling includes in-
person meetings or over the phone, and does not include any time taken
to do email correspondence.
(D) Planning Committee
    1. Establish a Regional Planning Committee consisting of at least
10 members that includes representatives from the regional community
and federal, state, and local agencies. The

highway, airport, and transit authorities for the SBTRC's headquarters
state must have representation on the planning committee. This
committee shall be established no later than 60 days after the
execution of the Cooperative agreement between the OSDBU and the
selected SBRTC.
    2. Provide a forum for the federal, state, and local agencies to
disseminate information about upcoming DOT procurements and SBTRC
activities.
    3. Hold either monthly or quarterly meetings at a time and place
agreed upon by SBTRC and planning committee members (conference calls
and/or video conferences are acceptable).
    4. Use the initial session hosted by the SBTRC to explain the
mission of the committee and identify roles of the staff and the
members of the group.
    5. Responsibility for the agenda and direction of the Planning
Committee should be handled by the SBTRC Project Director or his/her
designee.
(E) Outreach Services/Conference Participation
    1. Utilize the services of the System for Award Management (SAM)
and other sources to construct a database of regional small businesses
that currently or may in the future participate in DOT direct and DOT
funded transportation related contracts, and make this database
available to OSDBU, upon request.
    2. Utilize the database of regional transportation-related small
businesses to match opportunities identified through the planning
committee forum, FedBiz Opps (a web-based system for posting
solicitations and other Federal procurement-related documents on the
Internet), and other sources to eligible small businesses and inform
the small business community about those opportunities.
    3. Develop a ``targeted'' database of 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 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.
    4. Identify regional, state and local conferences 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 Regional Assistance Division for review and
posting on the OSDBU Web site on a regular basis. Clearly identify the
events designated for SBTRC participation and include recommendations
for OSDBU participation. This information can be submitted as part of
the SBTRC Report.
    5. Conduct outreach and disseminate information to small businesses
at regional transportation-related conferences, seminars, and
workshops. In the event that the SBTRC is requested to participate in
an event, the OSDBU will send DOT materials, the OSDBU banner and other
information that is deemed necessary for the event.
    6. Submit a conference summary report within the `Events' section
of the SBTRC Report. The conference summary report should summarize the
activity, contacts made, outreach results, and recommendations for
continued or discontinued participation in future similar events
sponsored by that organization.
    7. Upon request by OSDBU, coordinate efforts with DOT's grantees
and recipients at the state and/or local levels to sponsor or cosponsor
an OSDBU transportation related conference in the region (commonly
referred to as ``Small Business Summits''.
    8. Participate in the SBTRC monthly teleconference call, hosted by
the OSDBU Regional Assistance.
(F) Short Term Lending Program (STLP)
    1. Work with STLP participating banks and if not available, other
lending institutions to deliver a minimum of five (5) seminars/
workshops per year on the STLP, and/or other financial assistance
programs, to the transportation-related small business community.
Seminars/workshops must cover the entire STLP/loan process, from
completion of STLP/loan applications and preparation of the loan
package.
    2. Provide direct support, technical support, and advocacy services
to potential STLP applicants to increase the probability of STLP loan
approval and generate a minimum of four (4) completed STLP applications
per year.
    3. Provide direct support, technical support, and advocacy services
to Small and Disadvantaged Businesses interested in obtaining a loan
from another type of Government Lending Program. Government Lending
Programs include Federal, State, and Local level programs. The SBTRC
will be required to generate a minimum of three (3) completed
Government Lending Program applications per year.
(G) Bonding Education Program (BEP)
    Work with OSDBU, bonding industry partners, local small business
transportation stakeholders, and local bond producers/agents in your
region to deliver a minimum of two (2) complete Bonding Education
Programs and secure at least 3% of the total DBE contract value for
each transportation project. The BEP consists of the following
components; (1) the stakeholder's meeting; (2) the educational
workshops component; (3) the bond readiness component; and (4) follow-
on assistance to BEP participants to provide technical and procurement
assistance based on the prescriptive plan determined by the BEP. For
each BEP event, work with the local bond producers/agents in your
region and the disadvantaged business participants to deliver a minimum
of ten (10) disadvantaged business participants in the BEP with either
access to bonding or an increase in bonding capacity. The programs will
be funded separately and in addition to the amount listed in section
1.3 of this solicitation.
(H) Women and Girls in Transportation Initiative (WITI)
    (A) Pursuant to Executive Order 13506, and 49 U.S.C. 332(b)(4) &
(7), the SBTRC shall administer the WITI in their geographical region.
The SBTRC shall implement the DOT WITI program as defined by the DOT
WITI Policy. The WITI program is designed to identify, educate,
attract, and retain women and girls from a variety of disciplines in
the transportation industry. The SBTRC shall also be responsible for
outreach activities in the implementation of this program and
advertising 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 the USDOT, state and
local transportation agencies and appropriate private sector
transportation-related participants including, S/WOBs/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 1 WITI event and attend at least 5
events where WITI is presented and marketed.
    (B) Each region will establish a Women in Transportation Advisory
Committee. The committee will provide a forum to identify and provide
workable solutions to barriers that women-owned businesses encounter in
transportation-related careers. The committee will have 5 members
(including the SBTRC Project Director) with a 1 year membership.
Meetings

will be conducted on a quarterly basis at an agreeable place and time.

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

    (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 SBTRC activities, cooperative agreement compliance, and
overall SBTRC performance.
    (D) Assist SBTRC to develop or strengthen its relationships with
federal, state, and local transportation authorities, other technical
assistance organizations, and DOT grantees.
    (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.
Satisfactory performance is a condition of continued participation of
the organization as an SBTRC and execution of all option years.

3. Submission of Proposals

3.1 Format for Proposals

    Each proposal must be submitted to DOT's OSDBU in the format 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 per region for
consideration by OSDBU.
    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 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. Proposal packages must be submitted electronically
to OSDBU at<EMAIL_ADDRESS>and to the Regional Assistance Division
Manager, Michelle Harris, at<EMAIL_ADDRESS>    The applicant is advised to turn on request delivery receipt
notification for email submission. Proposals must be received by DOT/
OSDBU no later than March 25, 2016, 6:00 p.m. Eastern Standard Time
(EST).

4. Selection Criteria

4.1 General Criteria

    OSDBU will award the cooperative agreement on a best value basis,
using the following criteria to rate and rank applications:
    Applications will be evaluated using a point system (maximum number
of points = 100);

 Approach and strategy (25 points)
 Linkages (25 points)
 Organizational Capability (25 points)
 Staff Capabilities and Experience (15 points)
 Cost Proposal (10 points)

(A) Approach and Strategy (25 Points)
    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 2.1 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 (25 Points)
    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 established
networks with existing resources in their geographical area. The
applicant should describe their strategy to obtain support and
collaboration on SBTRC activities from DOT grantees and recipients,
transportation prime contractors and subcontractors, the SBA, U.S.
Department of Commerce's Minority Business Development Centers (MBDCs),
Service Corps of Retired Executives (SCORE), Procurement Technical
Assistance Centers (PTACs), Small Business Development Centers (SBDCs),
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 have the ability to 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 also 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 Planning Committee in
the execution of that strategy.
(C) Organizational Capability (25 Points)
    The applicant must demonstrate that they have the organizational
capability to meet the program requirements set forth in Section 2. The
applicant organization must have sufficient resources and past
performance experience to successfully provide outreach to the small
business transportation resources 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 facilities, computer and technical
facilities, ability to tap into volunteer staff time, and a plan for
sufficient matching alternative financial resources to fund the general
and administrative costs of the SBTRC. The applicant must also describe
their

administrative and financial management 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 visit may
be required prior to award for those candidates that are being strongly
considered. If necessary, a member of the OSDBU team will contact those
candidates to schedule the site visits prior to the award of the
agreement.
(D) Staff Capability and Experience (15 Points)
    The applicant organization must provide a list of proposed
personnel for the project, with salaries, fringe benefit burden
factors, educational 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 must
be submitted for all proposed key personnel and outside consultants and
subcontractors. 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. 100% of the Project Director's
time must be dedicated to the SBTRC. Both the Executive Director and
the Project Director must be located on-site. In this element, OSDBU
will consider the extent to which the applicant's proposed Staffing
Plan; (a) clearly meets the education and experience requirements to
accomplish the objectives of the cooperative agreement; (b) delineates
staff responsibilities and accountability for all work required and;
(c) presents a clear and feasible ability to execute the applicant's
proposed approach and strategy.
(E) Cost Proposal (10 Points)
    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 1.3: Description of Competition
of this RFP per fiscal year. 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. Proposals which are deemed non-
responsive, do not meet the established criteria, or incomplete at the
time of submission will be disqualified.
    OSDBU will perform a responsibility determination of the
prospective awardee in the region, which may include a site visit,
before awarding the cooperative agreement.

4.3 Conflicts of Interest

    Applicants must submit signed statements by key personnel and all
organization principals indicating that they, or members of their
immediate families, do not have a personal, business or financial
interest in any DOT-funded transportation project, nor any
relationships with local or state transportation agencies that may have
the appearance of a conflict of interest.

APPENDIX A

Format for Proposals for the Department of Transportation Office of
Small and Disadvantaged Business Utilization's Small Business
Transportation Resource Center (SBTRC) Program

    Submitted proposals for the DOT, Office of Small and
Disadvantaged Business Utilization's Small Business Transportation
Resource Center Program must contain the following 12 sections and
be organized in the following order:

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 SBTRC region and city and key
elements of the plan of action/strategy to achieve the SBTRC
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
OSDBU's SBTRC program mission and the role of the applicant's
proposed SBTRC in advancing the program goals.
     The applicant will describe specific outreach needs of
transportation-related small businesses in the applicant's region
and how the SBTRC will address the identified needs.

4. Approach and Strategy

     Describe the applicant's plan of action/strategy for
conducting the program 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 creative approaches to assist
small businesses to become successful transportation contractors and
increase their ability to access DOT contracting opportunities and
financial assistance programs.
     Estimated direct costs, other than labor, to execute
the proposed strategy.

5. Linkages

     Describe established relationships within the
geographic region and demonstrate the ability to coordinate and
establish effective networks with DOT grant recipients and local/
regional technical assistance agencies.
     Describe the strategy to obtain support and
collaboration on SBTRC activities from DOT grantees and recipients,
transportation prime contractors and subcontractors, the SBA, U.S.
Department of Commerce's Minority Business Development Centers
(MBDCs), Service Corps of Retired Executives (SCORE), Procurement
Technical Assistance Centers (PTACs), Small Business Development
Centers (SBDCs), State DOTs, and State highway supportive services
contractors.
     Describe the 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 Planning
Committee in the execution of that strategy.

6. Organizational Capability

     Describe recent and relevant past successful
performance in addressing the needs of small businesses,
particularly with respect to transportation-related small
businesses.
     Describe internal technical, financial management, and
administrative resources.
     Propose a plan for sufficient matching alternative
financial resources to fund the general and administrative costs of
the SBTRC.

7. Staff Capability and Experience

     List proposed key personnel, their salaries and
proposed fringe benefit factors.
     Describe the education, qualifications and relevant
experience of key personnel. Attach detailed resumes.
     Proposed staffing plan. Describe how personnel are to
be organized for the program and how they will be used to accomplish
program objectives. Outline staff responsibilities, accountability
and a schedule for conducting program tasks.

8. Cost Proposal

     Outline 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. Clearly identify the portion of the costs funded
by OSDBU.
     Provide a brief narrative linking the cost proposal to
the proposed strategy.

9. Proof of Tax Exempt Status

10. Assurances Signature Form

    Complete the attached Standard Form 424B ASSURANCES-NON-
CONSTRUCTION PROGRAMS identified as Attachment 1.

11. Certification Signature Forms

    Complete form DOTF2307-1 DRUG-FREE WORKPLACE ACT CERTIFICATION
FOR a GRANTEE OTHER THAN AN INDIVIDUAL identified as attachment 2
and Form DOTF2308-1 CERTIFICATION REGARDING LOBBYING FOR CONTRACTS,
GRANTS, LOANS, AND COOPERATIVE AGREEMENTS identified as Attachment
3.

Signed Conflict of Interest Statements

    The statements must say that they, or members of their immediate
families, do not have a personal, business or financial interest in
any DOT-funded transportation projects, nor any relationships with
local or state transportation agencies that may have the appearance
of a conflict of interest.

12. Standard Form 424

    Complete Standard Form 424 Application for Federal Assistance
identified as Attachment 4.
    PLEASE BE SURE THAT ALL FORMS HAVE BEEN SIGNED BY AN AUTHORIZED
OFFICIAL WHO CAN LEGALLY REPRESENT THE ORGANIZATION.

    Issued in Washington, DC, January 20, 2016.
Brandon Neal,
Director, Office of Small and Disadvantaged Business Utilization,
Office of the Secretary, U.S. Department of Transportation.

[FR Doc. 2016-02368 Filed 2-5-16; 8:45 am]
BILLING CODE 4910-9X-P