NOFO 920R000018 Support for Probation Services for DWI Offenders.pdf

Notice of Funding Opportunity (NOFO)

Federal Agency United States Department of Transportation (U.S. DOT)

National Highway Traffic Safety Administration (NHTSA)

Funding Opportunity Title Support for Probation Services for DWI Offenders

Announcement Type Initial Announcement

NHTSA NOFO Number

693JJ920R000018

Assistance Listing Program Number (formerly CFDA)

20.614 - National Highway Traffic Safety Administration (NHTSA) Discretionary Safety Grants

Key Dates NOFO Posted Date: April 23, 2020

NOFO Questions Due Date: May 4, 2020

Application Due Date: May 25, 2020

NHTSA Notice of Funding Opportunity (NOFO) No. 693JJ920R000018

Title: Support for Probation Services for DWI Offenders

TABLE OF CONTENTS

SECTION TITLE

N/A PROGRAM SUMMARY INFORMATION

A. Federal Agency Name

B. Funding Opportunity Title

C. Announcement Type

D. Funding Opportunity Number

E. Assistance Listing Program Number (formerly CFDA)

F. Key Dates

N/A MISSION

A PROGRAM DESCRIPTION

A.1 Purpose and Objective

A.2 Program Authority

A.3 Background

B FEDERAL AWARD INFORMATION

B.1 Awarding Agency

B.2 Funding and Type of Award

B.3 Period of Performance

B.4 Acronyms

B.5 Statement of Responsibilities

B.6 Deliverables (D) and Milestones (M)

B.7 Place of Delivery

C ELIGIBILITY INFORMATION

C.1 Eligible Applicants

C.2 Cost Sharing or Matching

D APPLICATION AND SUBMISSION INFORMATION

D.1 Address to Request Application Package

D.2 Content and Form of Application Submission

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

D.4 Submission Dates and Times

D.5 Funding Restrictions

D.6 Other Submission Requirements

E APPLICATION REVIEW INFORMATION

E.1 Criteria

E.2 Review and Selection Process

E.3 System for Award Management Review

E.4 Anticipated Announcement and Federal Award Dates

F FEDERAL AWARD ADMINISTRATION INFORMATION

F.1 Federal Award Notices

F.2 Administrative and National Policy Requirements

F.3 Reporting

G FEDERAL AWARDING AGENCY CONTACTS

H OTHER INFORMATION

H.1 Disclosure of Information

H.2 Limited Use of Data

H.3 Payment for Unauthorized Work

H.4 Place of Performance

H.5 Seat Belt Use Policies and Programs

H.6 Protection of Human Subjects

H.7 Disputes

SECTION TITLE

H.8 Termination

H.9 Encouraging Policies to Ban Text Messages while Driving

H.10 NHTSA Review of Announcements or Publications

H.11 Recertification

H.11 Conflict of Interest

Appendix A NHTSA General Provisions

Appendix B Standard Forms and Certifications

PROGRAM SUMMARY INFORMATION

A. FEDERAL AGENCY NAME

U.S. Department of Transportation (DOT)

B. FUNDING OPPORTUNITY TITLE

Support for Probation Services for DWI Offenders

C. ANNOUNCEMENT TYPE

Initial Announcement

D. FUNDING OPPORTUNITY NUMBER

693JJ920R000018

E. ASSISTANCE LISTING PROGRAM NUMBER (formerly CFDA)

20.614 - National Highway Traffic Safety Administration (NHTSA) Discretionary Safety Grants

F. KEY DATES

NOFO Posted Date: April 23, 2020

NOFO Questions Due Date: May 4, 2020

Application Due Date: May 25, 2020

MISSION

The mission of the United States (U.S.) Department of Transportation (DOT) is to serve the U.S.

by ensuring a fast, safe, efficient, accessible and convenient transportation system. The Mission of the National Highway Traffic Safety Administration (NHTSA), an operating mode of DOT, is to save lives, prevent injuries and reduce economic costs due to road traffic crashes, through education, research, safety standards and enforcement activity. To accomplish this, NHTSA awards grants to state and local governments, not-for-profit organizations, and other entities in support of motor vehicles and road traffic safety initiatives.

SECTION A - PROGRAM DESCRIPTION

A.1 PURPOSE AND OBJECTIVE

The purpose of the Cooperative Agreement (CA) is to develop and measure the effectiveness of a probation program that supervises Driving While Impaired (DWI) offenders to reduce recidivism. Specifically, NHTSA will provide assistance to support training, technical assistance, information sharing, and development among community supervision professionals.

This support will be used to assist the Recipient in demonstrating the effectiveness of tools such as in-person and web-based education and training, and other activities to the probation community related to the following topics:

• Best practices for State and local community supervision providers in managing DWI offenders;

• Promotion of empirically supported tools and products aimed at improving assessment, treatment, rehabilitation, integration, and the reduction of recidivism of DWI offenders;

• The collection of alcohol and drug impaired driving recidivism data;

• Significant and emerging issues related to supervision of DWI offenders; and

• The identification of future needs of the supervision community as it relates to DWI offenders.

Additionally, the Recipient will offer insight on the community supervision perspective at meetings with impaired driving stakeholders by remaining engaged with criminal justice professionals such as law enforcement, prosecutors, judges, pretrial, probation, and parole officers.

A.2 PROGRAM AUTHORITY

NHTSA may enter into an assistance agreement with a State or local agency, authority, association, institution, or person to carry out highway safety research and development activities authorized under 23 U.S.C. § 403.

A.3 BACKGROUND

In 2018, there were 36,550 motor vehicle fatalities and 29 percent of them involved an alcohol-impaired driver with a blood alcohol concentration (BAC) of .08 grams per deciliter or more.1

Alcohol-impaired drivers involved in fatal crashes are 4.5 times more likely to have prior convictions for driving while impaired (DWI) than those with no alcohol.2 It’s estimated that a drunk driver will operate a vehicle 80 times under the influence of alcohol before their first arrest and, thereafter, DWI offenders have shown a recidivism prevalence of 31 percent for arrests and

31.5 percent for convictions.3,4 Additionally, in NHTSA’s most recent National Roadside

Survey conducted in 2013 and 2014, 22 percent of drivers surveyed tested positive for potentially impairing drugs.5

NHTSA supports law enforcement to deter, detect, and arrest DWI offenders. NHTSA has developed programs that also focus on the role that prosecutors and judges play in reducing impaired diving. Recently, NHTSA has supported demonstration projects in post-conviction programs (probation, parole, and community-based corrections) to evaluate whether they may reduce recidivism among impaired driving offenders. These programs are staffed by professionals that this NOFO will refer to as “community supervision providers.”

Community supervision providers offer a unique position in the surveillance, rehabilitation and the reintegration of DWI offenders. Specifically, community supervision entities have the capability to utilize the Impaired Driving Assessment (IDA) tool to assess DWI offenders for risk of recidivism and refer them to proper treatment when necessary. Community supervision members can also serve as a liaison to other key criminal justice entities such as state and local probation organizations and correctional facilities. This criminal justice network can be leveraged to educate the greater probation community on the intricacies and issues regarding the supervision of DWI offenders.

1 National Center for Statistics and Analysis. (2019, October). 2018 fatal motor vehicle crashes: Overview. (Traffic Safety Facts Research Note.

Report No. DOT HS 812 826). Washington, DC: National Highway Traffic Safety Administration 2 National Center for Statistics and Analysis. (2017, October). Alcohol impaired driving: 2016 data (Traffic Safety Facts. Report No. DOT

HS 812 450). Washington, DC: National Highway Traffic Safety Administration 3 Centers for Disease Control. “Vital Signs: Alcohol-Impaired Driving Among Adults — United States, 2010.” Morbidity and Mortality Weekly

Report. October 4, 2011 4 Warren-Kigenyi, N., & Coleman, H. (2014). DWI recidivism in the United States: An examination of state-level driver data and the effect of look-back periods on recidivism prevalence (No. DOT HS 811 991).

5 Berning, A., Compton, R., & Wochinger, K. (2015, February). Results of the 2013–2014 National Roadside Survey of alcohol and drug use by drivers. (Traffic Safety Facts Research Note. Report No.DOT HS 812 118). Washington, DC: National Highway Traffic Safety Administration.

SECTION B - FEDERAL AWARD INFORMATION

B.1 AWARDING AGENCY:

Department of Transportation (DOT)

B.2 FUNDING AND TYPE OF AWARD

A total of $650,000.00 is available to fund up to one (1) discretionary Cooperative

Agreement. NHTSA will only accept one (1) application from each eligible applicant

(see Section C.1). Submission of an application is not a guarantee of award.

B.3 TYPE OF APPLICATION

NHTSA will accept only new applications under this Notice of Funding Opportunity.

B.4 PERIOD OF PERFORMANCE

All work required hereunder including preparation, submission, review, and acceptance of the final reports shall be completed within sixty (60) months of the effective date of the Cooperative Agreement. NHTSA currently anticipates the start date for new Federal awards to be in August 2020.

B.5 ACRONYMS

The acronyms listed below are used during the performance of this project. If the

Recipient is currently using or has used any of the acronyms listed below differently, the

Recipient will use the acronym listed below as defined under the Assistance Agreement only.

ACOR (AA) Alternate Contracting Officer Representative (Assistant

Agreement)

APPA Association of Probation and Paroles

BAC Blood Alcohol Concentration

CO Contracting Officer

CS Contract Specialist

COR (AA) Contacting Officer Representative (Assistance Agreement)

CA Cooperative Agreement

DOT Department of Transportation

DWI Driving While Impaired

IACP International Association of Chiefs of Police

IDA Impaired Driving Assessment

NHTSA National Highway Traffic Safety Administration

RCAM Recipient’s Cooperative Agreement Manager

As used in this NOFO:

“COR (AA)” means “Contracting Officer’s Representative (Assistance Agreements.)”

This individual is assigned by the Contracting Officer and designated in writing to serve as the government’s liaison with the recipient for technical and administrative matters regarding the Cooperative Agreement.

“Contracting Officer” refers to that federal government employee who possesses a warrant authorizing him/her to obligate the government financially. The Contracting

Officer is the only individual who is authorized, on behalf of the federal government, to execute the Cooperative Agreement.

“RCAM” means the “Recipient’s Cooperative Agreement Manager.” This individual is identified as the Recipient’s liaison with the federal government for technical and administrative matters concerning the Cooperative Agreement.

B.6 STATEMENT OF RESPONSIBILITIES

A. Under the Cooperative Agreement NHTSA will:

1. Designate a professionally qualified staff member, designated as the Contracting

Officer's Representative (COR) (AA), to provide liaison and coordination between the Recipient and NHTSA;

2. Provide all essential background information and technical assistance from government sources, available resources as determined appropriate by the NHTSA

COR (AA);

3. Provide liaison with other government/private organizations (as appropriate);

4. Maintain on-going contact with the Recipient regarding conduct of this Assistance

Agreement;

5. Stimulate the exchange of ideas and information among recipients of related projects through periodic meetings; and

6. Reserve the right to terminate this agreement at any time, prior to its conclusion, for reason(s) that are in the best interest of either party.

B. Under the Cooperative Agreement, the Recipient will meet the following conditions:

1. Carry out the project as described in the Recipient’s technical proposal and detailed final work plan, as coordinated with the NHTSA COR (AA);

2. Advise the NHTSA COR (AA) of any problems or issues involved in the implementation or progress of the Cooperative Agreement;

3. Adhere to the procedures or objectives specified in the Cooperative Agreement unless logical and feasible deviations are submitted to the NHTSA COR (AA) and approved in writing by the Contracting Officer (CO); and

4. For the period of performance set forth in B.3, “Period of Performance,” furnish personnel, equipment, and facilities and otherwise perform all things necessary to complete the work required to accomplish the Cooperative Agreement’s objective as specified.

C. Conditions for the Cooperative Agreement

As a condition of the Cooperative Agreement, the Recipient will adhere to the following conditions:

Condition 1: Conduct Kick-Off Meeting

Within one (1) month of award, the Recipient will meet with NHTSA’s Contracting

Officer (CO), NHTSA’s COR (AA), and other interested NHTSA personnel either in

Washington, D.C. at NHTSA Headquarters or via teleconference to discuss: 1) the administration of the Assistance Agreement: 2) the Assistance Agreement objectives, planned course of action, schedule, milestones and deliverables; and 3) to begin finalizing the work plan for the project which was submitted as part of the application. This meeting will serve as a forum to resolve any variances between NHTSA and the

Recipient’s approach.

During the kick-off meeting, the Recipient will first conduct a short briefing describing the Recipient’s planned approach to support this Project. After the Recipient’s prepared briefing, the Recipient, NHTSA COR (AA) and other NHTSA personnel will discuss specific details of the project to resolve any differences in approach and/or expected goals.

Condition 2: Work Plan

Within two (2) months after the Kick-Off Meeting, the Recipient will submit the Final

Work plan to the NHTSA COR (AA). The plan shall detail and describe how the

Recipient will identify programmatic needs (e.g. research, financial, training, testing) of community supervision professionals that supervise DWI offenders, how the Recipient will develop and demonstrate to the community the resources to address those needs, and how the Recipient will evaluate the effectiveness of the Project. Resources may include, but are not limited to, in-person or web-based education and training courses, direct technical assistance, and guidance on the supervision of DWI offenders to the greater criminal justice and community supervision field. Prior to finalizing the work plan, the

Recipient and the NHTSA COR (AA) will ensure it meets the overall objectives of the agreement, including establishing specific tasks and proposed timelines for the development, demonstration and evaluation of resources developed.

The plan shall include specific (step-by-step) tasks, the roles of the staff and a timeline for resources development, demonstration and evaluation. The Recipient will include in the final work plan details associated with meeting project objectives, project tasks and timelines. The Recipient will submit the final work plan to the NHTSA COR (AA) for review.

Within two (2) week of receipt of the draft Final Work Plan, the NHTSA COR (AA) will review the Final Work Plan and may provide questions and/or comments to the Recipient for consideration.

Condition 3: Identify Programmatic Needs

The Recipient will identify programmatic needs (e.g. training, financial, testing, research gaps) within community supervision as it relates to the supervision of DWI offenders.

Condition 4: Implement Demonstration Activities

The Recipient will implement the demonstration activities that it developed to address the needs identified in the Final Work Plan. All activities should be implemented according to the established timeline.

Condition 5: Attend Stakeholders’ National, Regional, and State Meetings

The Recipient will present community supervision related educational opportunities at relevant national conferences, such as the Association of Probation and Paroles (APPA)

Winter and Summer Institute; International Association of Chiefs of Police’s (IACP)

Drug, Alcohol, and Impaired Driving Conference; Lifesavers Conference; and

American Judges Association Conference. In addition, they will present on impaired driving offender supervision at regional and State level community supervision and probation conferences. At these events, the Recipient will emphasize the importance of the community supervision’s role in reducing DWI offender recidivism using proven supervision programs and techniques. Recipient will present at a minimum of ten (10) events annually.

Condition 6: Evaluation

The Recipient will evaluate the effectiveness of each demonstration activity it develops and implements. The evaluation at a minimum will include a description of the activity and if in print form (i.e. curriculum, guidance, report, etc.) a copy, participant evaluations of the activity/document, results of any pre-and post-tests, the number and type of participant (i.e., probation officer, community supervision manager, judge, prosecutor, law enforcement officer, etc.). The evaluation should include any data that the Recipient relied upon to evaluate the effectiveness of each activity.

Condition 7: Final Briefing

The Recipient will participate in a final briefing in Washington, DC no later than sixty

(60) months after award, to discuss the resulting project deliverables, challenges and issued encountered. In preparation for this meeting, the Recipient will prepare a presentation that summarizes their work, including but not limited to a presentation of the guideline recommendations, relevant performance measure, and plans for guideline dissemination and implementation. The final briefing shall last no longer than ninety

(90) minutes

B.6 DELIVERABLES (D) AND MILESTONES (M)

The deliverables and milestones shall be established and defined within the Cooperative

Agreement issued under the authority listed within Section A.2 of this NOFO.

The deliverable schedule and descriptions are provided below. With final deliverables, the

Recipient will provide a table detailing how each Government comment was addressed.

Deliverables must be in electronic format and printable, with the exception of those required in hard copy.

ITEM

NO.

COND

NO.

MILESTONE (M) / DELIVERABLE (D) DUE DATE

1 1 Kick off Meeting (M) Within 1 month of award

2 2 Submit Final Work Plan (D) Within 2 months of Kick-Off meeting

3 2 COR (AA) Review and Provide Feedback for Consideration (M)

Within 2 weeks of receipt

4 3 Identify Needs (M) Ongoing

5 4 Implement Demonstration Activities (M) Ongoing

6 5 Attend Stakeholders’ National, Regional, and State Meetings (M)

Annually

7 6 Evaluation (M) Annually

8 7 Final Briefing (M) Within 60 months of award

9 F.3.1 Submit Quarterly Progress Reports (D) 15th of the month following the end of the quarter.

10 F.3.2 Submit Annual Reports (D) Annually, 10th month of the year

11 F.3.2 COR (AA) Review and Provide Feedback for Consideration (M)

Within 2 weeks of receipt

12 F.3.3 Submit Final Report (D) No later than 59 months of award

13 F.3.3 COR (AA) Review and Provide Feedback for Consideration (M)

Within 2 weeks of receipt

14 F.3.4 Submit Federal Financial Report (SF-425)

(D)

Annually by

October 1

B.7 PLACE OF DELIVERY

All deliverables of items shall be delivered to the following addresses in the numbers of copies specified below:

Item no. Address

2, 9, 10, 12

& 14

Department of Transportation

National Highway Traffic Safety Administration

1200 New Jersey Avenue, SE, NPD-110

Washington, DC 20590

Room: TBD

Attn: TBD

Email Address: TBD

Telephone: TBD

9 & 14

Department of Transportation

National Highway Traffic Safety Administration

Office of Acquisition Management

NFO-300, W44-127

1200 New Jersey Avenue, SE

Washington, DC 20590

Attn: David Larson

Email: David.Larson@dot.gov

Telephone: 202-366-4843 mailto:David.Larson@dot.gov

SECTION C - ELIGIBILITY INFORMATION

C.1 ELIGIBLE APPLICANTS

This NOFO is limited to organizations that demonstrate that they have the infrastructure in place, as well as the necessary staff and support to carry out the responsibilities of administering, coordinating, and implementing the conditions of this NOFO. Only organizations capable of fulfilling the criteria listed within this NOFO will be considered for an award.

To be eligible to participate in the Cooperative Agreement, applicants shall meet the following requirements:

• Experienced staff that understands the responsibilities of community supervision providers and has knowledge of the challenges faced in supervising DWI

Offenders;

• Demonstrated capacity to provide assistance to community supervision providers during normal work hours, Monday through Friday in the eastern, central, mountain and pacific time zones;

• Demonstrated experience in developing and providing training to community supervision providers; and

• Expertise in impaired driving laws, challenges, and limitations in each State and nationwide.

Interested applicants are advised that no fee or profit will be allowed.

C.2 COST SHARING OR MATCHING

Cost-sharing or matching requirements are not required under this NOFO. While not mandatory, applicants are encouraged to seek funds from other Federal, State, local, and private sources to augment those Federal funds available under this NOFO. Preference may be given to applicants with cost sharing or in-kind contributions identified in their applications/proposals.

SECTION D - APPLICATION AND SUBMISSION INFORMATION

D.1 ADDRESS TO REQUEST APPLICATION PACKAGE

A copy of this NOFO, including all application forms, can be received by submitting an email request to NHTSAOAM@dot.gov using the following information:

• Keyword(s): Support for Probation Services for DWI Offenders

• Opportunity Number: 693JJ920R000018

• CFDA Number: 20.614

If obtaining an electronic copy of the NOFO is not accessible, paper copies of materials may be requested by mail to the following address:

Office of Acquisition Management (NFO-300)

Attn: David Larson

1200 New Jersey Avenue, S.E., W53-411

Washington, DC 20590

D.2 CONTENT AND FORM OF APPLICATION SUBMISSION

Each application package must include the following required documents:

• The application shall not exceed twenty (20) pages (not including resumes or appendices). The application must be in English.

• No cost/price data shall be included in the Technical Application.

• Be written in electronic format (e.g., using MS Office 2016) in APA Style, (6th edition where appropriate -especially for citations and references);

• Cost data will be provided in excel format; and

• NHTSA cannot receive email messages containing a ZIP attachment. The file will be removed, as all ZIP files are blocked. Other file types (e.g. Word, PowerPoint, PDF, etc.) can be received.

• If submitting the application in hardcopy or digital storage media format: OMB Standard

Form (SF) 424 (including 424 “Application for Federal Assistance,” 424A “Budget

Information for Non-Construction Programs,” and 424B “Assurances for Non-

Construction Programs”), with the required information filled in and certified assurances signed. These forms can be accessed by going to https://www.grants.gov/web/grants/forms/forms-repository.html. These forms are available in Appendix B.

• If submitting the application in hardcopy or digital storage media format: OMB Standard

Form (SF) 424 (including 424 “Application for Federal Assistance,” 424A “Budget

Information for Non-Construction Programs,” and 424B “Assurances for Non-

Construction Programs”), with the required information filled in and certified assurances signed. These forms can be accessed by going to https://www.grants.gov/web/grants/forms/forms-repository.html. These forms are available in Appendix B.

mailto:NHTSAOAM@dot.gov https://www.grants.gov/web/grants/forms/forms-repository.html https://www.grants.gov/web/grants/forms/forms-repository.html

• Certification Regarding Debarment, Suspension, And Other Responsibility Matters--primary Covered Transactions (49 CFR Part 29 - Appendix A); Certification Regarding

Debarment, Suspension, Ineligibility, and Voluntary Exclusion--Lower Tier Covered

Transactions (49 CFR Part 29 - Appendix B); and Certification Regarding Drug-free

Workplace Requirements (49 CFR Part 29 - Appendix C). These forms are available in

Appendix B.

• SFLLL: Disclosure of Lobbying Activities. This form can be accessed by going to https://www.gsa.gov/forms-library/disclosure-lobbying-activities.

• The applicant must provide a detailed breakdown of the proposed costs, as well as any in-kind costs, by year. This cost breakdown shall not only identify cost categories but shall also identify specific sub-categories (and associated costs). For example, Labor Costs should include labor categories, associated levels of effort, and rates; Direct Materials costs including itemized equipment and supplies costs; Travel and transportation costs, including projected trips and number of people traveling; Subcontractor/ Sub-recipient costs with similar detail, if known; and overhead. The applicant must also justify each proposed cost by explaining how each cost was calculated and determined to be fair and reasonable. Finally, the applicant should also include copies of any supporting documentation it may have (i.e. indirect cost rate agreements, etc.) as part of the budget package.

• Non-Federal funding sources are encouraged. Since activities may be performed with a variety of financial resources, applicants need to fully identify all project costs and their funding sources in the proposed budget. The proposed budget must identify all funding sources in sufficient detail to demonstrate that the overall objectives of the project will be met. All other factors being equal, preference may be given to those that have proposed cost-sharing strategies and/or other proposed funding sources in addition to those in this announcement.

• Addressing the deteriorating conditions and disproportionately high fatality rates on our rural transportation infrastructure is of critical interest to the Department, as rural transportation networks face unique challenges in safety, infrastructure condition, and passenger and freight usage. Consistent with the R.O.U.T.E.S. Initiative, the Department encourages applicants to consider how the project will address the challenges faced by rural areas.

• Applicants should state whether the project is located in a Qualified Opportunity Zone designated pursuant to 26 U.S.C. § 1400Z-1.

• Technical Application: The application/proposal shall fully describe the scope of the project, providing a project plan detailing the activities and costs for which funding is being requested. The technical application shall be separated from the cost application

– no cost information shall be included or referenced in the technical application.

Also, applications for this program must include the following information in the program narrative statement:

o A table of contents page that provides an easy method to identify the major sections of the Technical Application;

o Background – Describe experience working with The National Highway Traffic

Safety Administration behavioral issues including work done in partnership with

NHTSA;

o Objective –Specify objectives that will be met under this agreement;

https://www.gsa.gov/forms-library/disclosure-lobbying-activities o Activities – Provide a detailed work plan of the proposed activities with distinct step by step tasks;

o Technical Approach - Must be clear, complete, reasonable and realistic; Proposals must include how the applicant will complete the tasks outlined Statement of

Work and must describe their technical capability and experience.

o Schedule of milestones and deliverables;

o Qualifications - Provide the resumes of proposed staff;

o Past-Performance- provide a list of previously funded projects (grants, cooperative agreements, or contracts) with a point of contact at the funding agency to demonstrate satisfactory efforts to complete the project, timeliness of deliverables, and financial accountability.

• Commitment and Support: When other sources and organizations are required to complete the proposed effort, the applicant shall provide proof of their commitment to the agreement effort. Such proof can be a letter of support or buy-in indicating what the organization will provide to the applicant.

• Additional Cost Information o The Government reserves the right to request, at any time after the receipt of applications and before award, additional cost or price information necessary to perform an analysis. Regular invoicing (monthly or quarterly) is required. Irregular invoicing could result in a reduction of available funding for subsequent years.

o Given that an award may be made without negotiations and without any discussion, each Applicant shall document and support the proposed costs so thoroughly that no additional information is needed by NHTSA.

o Applicants shall ensure that all proposed costs, including non-federal contributions and contributions from other federal sources, are reasonable, allowable, and allocable according to the cost principles stated in 2 CFR Parts 200 and 1201.

• CERTIFICATION INFORMATION: The Applicant shall provide with its application signed certification forms covering the requirements in 49 CFR Part 20, U.S. Department of Transportation New Restrictions on Lobbying. This form is available in Appendix B.

D.3 UNIQUE ENTITY IDENTIFIER AND SYSTEM FOR AWARD MANAGEMENT

(SAM)

Each applicant is required to:

• Be registered in SAM before submitting its application;

• Provide a valid unique entity identifier in its application (e.g., DUNS Number); and

• Continue to maintain an active SAM registration with current information at all times during which it has an active Federal award or an application or plan under consideration by NHTSA.

NHTSA may not make an award to an applicant until the applicant has complied with all applicable DUNS and SAM requirements. If an applicant has not fully complied with the requirements by the time NHTSA is ready to make an award, NHTSA may determine that the applicant is not qualified to receive an award and use that determination as a basis for making an award to another applicant. NHTSA will review an applicant’s registration status to make a responsibility determination and to ensure that the applicant is responsible, current on all federal taxes, and is not on the list of parties excluded from federal awards.

D.4 SUBMISSION DATES AND TIMES

Application Due Date and Time

Applications must be submitted no later than 2:00 PM Eastern Time, on May 25, 2020.

Only complete packages received on or before the published due date will be considered.

Applications received after the due date will not be evaluated for consideration. Facsimile submission of proposals will not be accepted. NHTSA will only accept one (1) application from each applicant. NHTSA will provide acknowledgments of receipt of applications via email.

Questions Due Date and Time

General administrative and programmatic questions must be directed to David Larson, Contract

Specialist, at NHTSAOAM@dot.gov with a copy to David.Larson@dot.gov. To allow for sufficient time to address questions appropriately, all questions must be submitted via email no later than 2:00 PM Eastern Time on May 4, 2020.

D.5 FUNDING RESTRICTIONS

• Funds awarded under this Agreement cannot be used for any activity intended to or designed to lobby Congress or a State legislative body, or to urge a U.S., State or local legislator to favor or oppose the adoption of any specific legislative proposal pending before any State or local legislative body.

• All NHTSA awards are subject to the terms and conditions in the grant agreement or cooperative agreement and cost principles in 2 CFR Parts 200 and 1201.

• NHTSA will not reimburse applicants for pre-award costs.

D.6 OTHER SUBMISSION REQUIREMENTS

Each application should include:

• The NHTSA NOFO Number: 693JJ920R000018.

Application Submission:

Applications must be submitted to the attention of David Larson, Contract Specialist, via email at

NHTSAOAM@dot.gov with a copy to David.Larson@dot.gov, no later than 2:00 PM Eastern

Time, on May 25, 2020.

Important: The timely submission of application packages is the sole responsibility of the applicant. All prospective applicants are cautioned that, due to increased security concerns, documents transmitted via U.S. Mail can be delayed for several weeks. NHTSA recommends that when transmitting hardcopy or digital storage media applications methods other than U.S.

Mail be used (i.e. Federal Express delivery, UPS).

SECTION E - APPLICATION REVIEW INFORMATION

E.1 CRITERIA

NHTSA will evaluate the applications using the evaluation criteria below to score and select competing applications. Evaluation Factors 1 through 3 will be weighted, with

Factor 1 being weighted the most, and Factor 3 being weighted the least. Evaluation

Factor 4 will be evaluated but not scored.

Submission of an application is not a guarantee of award. NHTSA may, at its discretion, enter a cooperative agreement based on an application in its entirety, award only portions of an application, or not make an award.

For each factor, the agency will determine whether the applicant has provided an acceptable explanation of its qualifications.

a. EVALUATION FACTOR 1: Description/Technical Approach Work Plan and

Timeline.

• The clarity in describing how the applicant intends to achieve the milestones and deliverables outlined in the request for proposal, including a proposed timeline.

• The extent to which the applicant’s goals are clearly articulated and the objectives are time-phased, specific, action-oriented and achievable.

• The degree to which the applicant has identified potential barriers to the project and the provided plans for mitigating or eradicating those barriers.

• The capability for achieving the greatest reach and impact in completing milestones and deliverables.

b. EVALUATION FACTOR 2: Experience and Performance

• The degree to which the applicant understands the needs and unique aspects of educating community supervision providers.

• The degree to which the applicant describes their technical capability and experience in developing, delivering, and managing community supervision education and technical assistance programs.

• The degree to which the applicant understands the complex aspects of supervising and rehabilitating DWI offenders.

• The applicant’s experience developing and delivering in-person and distance learning adult education courses.

• The applicant’s satisfactory history of grantor/Recipient relationships, as demonstrated by on-time completion of past efforts, and reports indicating a high level of satisfaction from government agencies and other organizations.

• For previous Recipients of federal funding, the extent to which the applicant has a good record of financial responsibility and accountability as it relates to the use of federal funding, and a demonstrated history of compliance with regulations that apply to federal assistance agreements.

c. EVALUATION FACTOR 3: Qualifications of Project Personnel

• The extent to which the proposed personnel have clearly described roles and appropriately assigned positions, and the proper level of education and experience to carry out the project.

• The extent to which the applicant has demonstrated their ability to provide leadership, technical assistance and the resources to accomplish the milestones and deliverables of this project.

• The soundness of the applicant’s organization and designated areas of expertise.

• The extent to which the proposed personnel have professional experience in community supervision, traffic safety, or training and education.

d. EVALUATION FACTOR 4: Cost/Budget Evaluation

The Applicant’s proposed budget will be evaluated for accuracy and feasibility, based on the provisions of 2 CFR Parts 200 and 1201.

For equally acceptable applications, preference may be given to those that have proposed cost-sharing strategies and/or other proposed funding sources in addition to those in this

NOFO.

Addressing the deteriorating conditions and disproportionately high fatality rates on our rural transportation infrastructure is of critical interest to the Department, as rural transportation networks face unique challenges in safety, infrastructure condition, and passenger and freight usage. Consistent with the R.O.U.T.E.S. Initiative, the Department will consider how the project will address the challenges faced by rural areas.

E.2 REVIEW AND SELECTION PROCESS

Each application package will be reviewed initially to confirm that the applicant meets the eligibility requirements as set forth in Section C.1, Eligible Applicants, and has included all of the items specified in Section D.2, Content and Form of Application Submission. A Technical

Evaluation Committee (TEC) will then review each completed application that meets the eligibility requirements and provide recommendations for award.

The applicant’s application, the TEC will rate the application using the following rating definitions:

Rating Definitions

Outstanding – The application demonstrates a professionally superior approach for accomplishing program objectives. The application is fully responsive to every aspect of the

NOFO, within most or all areas covered by the announcement. The application demonstrated a large capability for excellent or highly productive results.

Good – The application demonstrates a comprehensive and fully acceptable; excellent approach for accomplishing program objectives. The application is fully responsive to every aspect of the

NOFO, with capability for excellent or productive results in one or more major areas covered by the announcement.

Acceptable – The application meets minimum requirements of the NOFO; is responsive to all

Rating Definitions major aspects of NOFO; and is capable of achieving desired program objectives.

Unacceptable – The application demonstrates an incomprehensible or unacceptable approach, methods, organization, or capabilities; provided little to no detail as to how the program would be accomplished. The application is not capable of being evaluated.

E.3 SYSTEM FOR ACQUISITION MANAGEMENT REVIEW

NHTSA will review and consider any information about the applicant that is in the designated integrity and performance system accessible through the System for Acquisition Management

(SAM), currently FAPIIS.

Each applicant may review information in the SAM and provide comment in its application about itself that a Federal awarding agency previously entered and is currently in SAM.

NHTSA will consider any comment submitted by the applicant, in addition to the other information in SAM when determining the applicant’s integrity, business ethics, and record of performance under Federal awards when completing the review under section D.3, Unique Entity

Identifier and System for Award Management (SAM).

E.4 ANTICIPATED ANNOUNCEMENT AND FEDERAL AWARD DATES

It is anticipated that an award will be made in August 2020. HOWEVER, SUBMISSION OF

AN APPLICATION DOES NOT GUARANTEE AN AWARD WILL BE MADE.

SECTION F - FEDERAL AWARD ADMINISTRATION INFORMATION

F.1 FEDERAL AWARD NOTICES

The NHTSA Contracting Officer will enter cooperative agreements with responsible and eligible applicants whose applications are judged most meritorious under the procedures set forth in this

NOFO. All funds provided by NHTSA must be expended solely for the purpose for which the funds are awarded in accordance with the approved application and budget, the Uniform

Administration Requirements, Cost Principles and Audit Requirements for Federal Awards (2

CFR Parts 1200 and 1201), and the NHTSA General Provisions for Assistance Agreements, as provided in Appendix A.

The Cooperative Agreement award will provide pertinent instructions and information including, at a minimum, the following:

• General Federal Award Information:

o Recipient name;

o Recipient’s unique entity identifier;

o Unique Federal Award Identification Number (FAIN) assigned by NHTSA;

o Federal Award Date;

o Period of Performance Start and End Date;

o Amount of Federal Funds Obligated by this action;

o Total Amount of Federal Funds Obligated;

o Total Amount of the Award;

o Budget Approved by NHTSA;

o Total Approved Cost Sharing or Matching, where applicable;

o Project description;

o Agency name and contact information for awarding official;

o Assistance Listing Program Number (formerly CFDA) and Name;

o Identification of whether the award is R&D; and o Indirect cost rate for the agreement.

• General Terms and Conditions as applicable including:

o Administrative Requirements;

o National Policy Requirements; and o Recipient integrity and performance matters.

• NHTSA General Provisions for Assistance Agreements

• Performance Goals

F.2 ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS

1. This Assistance Agreement shall be subject, as applicable, to the administrative requirements contained in the following regulation which is incorporated by reference, with the same force and effect as if it was given in full text:

a. Uniform Administration Requirements, Cost Principles and Audit Requirements for

Federal Awards (2CFR Part s 1200 and 1201); and

b. 49 CFR Part 20 – Department of Transportation New Restrictions on Lobbying.

2. The Recipient will acknowledge in writing that no funds provided under the Assistance

Agreement will used for lobbying activities as defined in 2 CFR § 200.450.

3. The General Provisions for Assistance Agreements, as provided in Appendix A, shall be applicable to this Assistance Agreement.

4. The Recipient will have procedures in place to respond to an unauthorized disclosure or breach of a consumer’s personally identifying information (PII). The Assistance Agreement

Recipient will notify NHTSA within seven (7) days of an incident involving the unauthorized disclosure or breach of PII. In the event of an unauthorized disclosure or breach, the Assistance

Agreement Recipient shall cooperate and exchange information with NHTSA, as needed, to properly escalate, refer, and respond to the incident.

F.3 REPORTING

The following reporting requirements will be required under this program. All reports will be submitted electronically, unless otherwise requested by NHTSA.

F.3.1 Quarterly Reports

The Recipient will submit quarterly reports to the NHTSA COR (AA) on the 15th of each month of each quarter beginning three (3) months after Agreement award. The quarterly report will should describe the status and progress of activities outlined in the project work plan and include any resources developed and deliverables completed during the quarter.

The report shall include an up-to-date summary of accomplishments by the Recipient;

obstacles and problems encountered and proposed solutions; noteworthy activities, events, or successes; and a Financial Statement of funds expended to date.

Quarterly Reports shall include the following details about the relevant Milestones and

Deliverables:

• A detailed accounting of the activities from the previous quarter so that the

NHTSA COR (AA) can determine whether invoices should be approved or revised based upon the accomplishment(s) for which payment is sought;

• Specifics regarding the technical assistance that was provided to members of the community supervision, criminal justice, and traffic safety communities, including how many times assistance was requested and the nature of the requests;

• Information about any new topics that were of interest to the community supervision, criminal justice, and traffic safety communities, who requested assistance during the quarter, so the Recipient may be better able to identify emerging issues;

• Plans for accomplishments in the next reporting period;

• Problems or delays that the Recipient has experienced in the conduct of this agreement and suggestions to overcome the problems or delays;

• Specific action the Recipient would like NHTSA to undertake to alleviate a problem;

• Noteworthy activities, events, or successes;

• Planned travel for the upcoming quarter; and

• Financial statement of funds expended to date.

Note: The Recipient will be permitted to submit an invoice for reimbursement each month, provided that the invoice includes the justification for each invoiced item for the period of time.

F.3.2 Annual Report

The Recipient will prepare and submit an Annual report to the NHTSA COR (AA) on the tenth (10) month of the current fiscal year. Submission of the annual report may be in electronic format. The annual reports will provide a summary of activities, milestones and deliverables accomplished during the fiscal year, an accounting of funds expended during the reporting period, to include the amount of any in-kind contributions. The annual report will also include summary of problems or delays encountered while conducting services during the reporting period and a summary of results, conclusions, trends or other items of information that the Recipient believes is of timely interest to NHTSA. At fifty-nine (59) months of the Agreement, the

Recipient will submit a final report instead of the annual report.

Within two (2) weeks of receipt, the NHTSA COR (AA) will review the Annual Report and may provide any question and/or comments to the Recipient for consideration.

F.3.3 Final Report

The Recipient will submit a final report to the NHTSA COR (AA) no later than fifty-nine

(59) months after award. The report shall include, at a minimum, a description of the activities conducted, problems encountered, assessment of the effectiveness of each activity, recommendations, and general outcome of the project.

The NHTSA COR (AA) will review this report and return provide feedback within two

(2) weeks of receipt for consideration by the Recipient.

F.3.4 Financial Status Reports

The Recipient agrees to prepare and submit federal financial reports (SF-425) to the

NHTSA COR(AA) and the Contracting Officer (CO), annually, by October 1 of each year, to document the status of funds.

SECTION G – FEDERAL AWARDING AGENCY CONTACTS

Primary NOFO Point of Contact

David Larson, Contract Specialist

Phone: (202) 366-4769

Email: NHTSAOAM@dot.gov with a copy to David.Larson@dot.gov

Secondary NOFO Point of Contact

Sherese Gray, Contracting Officer

Phone: (202) 366-3998

Email: NHTSAOAM@dot.gov with a copy to Sherese.Gray@dot.gov mailto:Sherese.Gray@dot.gov

SECTION H – OTHER INFORMATION

H.1 DISCLOSURE OF INFORMATION

Information made available to the Recipient or employee(s) of the Recipient by the Government for the performance or administration of this effort shall be used only for those purposes and shall not be used in any other way without NHTSA’s express written approval.

The Recipient will assume responsibility for protecting the confidentiality of Government records, which are not public information. Each contractor or employee of the Recipient to whom information may be made available or disclosed shall be notified in writing by the

Recipient that such information may be disclosed only for a purpose and to the extent authorized herein.

H.2 LIMITED USE OF DATA

Performance of this effort may require the Recipient to access and use data and information proprietary to a Government agency or Government contractor that is of such a nature that its dissemination or use, other than in performance of this effort, would be averse to the interests of the Government or others.

The Recipient and employee(s) of the Recipient will not divulge, or release data or information developed or obtained in performance of this effort, until made public by the Government, except to authorize Government personnel or upon the written approval of NHTSA. The

Recipient shall not use, disclose, or reproduce proprietary data that bears a restrictive legend, other than as required in the performance of this effort. Nothing herein shall preclude the use of any data independently acquired by the Recipient without such limitations or prohibit an agreement at no cost to the Government between the Recipient and the data owner which provides for greater rights to the Recipient.

H.3 PAYMENT FOR UNAUTHORIZED WORK

No payments will be made for any unauthorized supplies or services or for any unauthorized changes to the work specified herein. This includes any services performed by the Recipient of their own volition or at the request of an individual other than a duly appointed Contracting

Officer. Only a duly appointed Contracting Officer is authorized to change the specifications, terms, and conditions under this effort.

H.4 PLACE OF PERFORMANCE

TBD

H.5 SEAT BELT USE POLICIES AND PROGRAMS

In accordance with Executive Order 13043, Increasing Seat Belt Use in the United States, dated

April 16, 1997, the contractor is encouraged to adopt and enforce on-the-job seat belt use policies and programs for its employees when operating company-owned, rented, or personally-owned vehicles. The National Highway Traffic Safety Administration (NHTSA) is responsible for providing leadership and guidance in support of this Presidential initiative. For information on how to implement such a program, or statistics on the potential benefits and cost-savings to your company or organization, please visit the Buckle Up America section on NHTSA's website at www.nhtsa.dot.gov. Additional resources are available from the Network of Employers for

Traffic Safety (NETS), a public-private partnership headquartered in the Washington, D.C.

metropolitan area, and dedicated to improving the traffic safety practices of employers and employees. NETS are prepared to help with technical assistance, a simple, user-friendly program kit, and an award for achieving the President’s goal of 90 percent seat belt use. NETS can be contacted at 1 (888) 221-0045 or visit its website at www.trafficsafety.org Protection of

Human Subjects

H.6 PROTECTION OF HUMAN SUBJECTS

The Recipient will comply fully with 49 C.F.R. Part 11, DOT’s regulation governing Protection of Human Subjects, and with NHTSA Order 700-5, which sets forth the Agency’s policies and procedures for the protection of human subjects participating in research supported directly or indirectly by NHTSA, including through contracts, grants and cooperative agreements.

The Recipient will obtain prior written authorization from NHTSA for all consent and release forms to be presented to human subjects participating in NHTSA conducted or…