FARS NOFO_693JJ921R000025 23 Aug .21.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 Fatality Analysis Reporting System (FARS) Program

NHTSA NOFO Number

693JJ921R000025

Assistance Listing Program Number (formerly CFDA)

20.614 - National Highway Traffic Safety Administration (NHTSA) Discretionary Safety Cooperative Agreements

Key Dates NOFO Posted Date: 24 August 2021 NOFO Questions Due Date: 31 August 2021 Application Due Date: 28 September 2021

TABLE OF CONTENTS

NHTSA Notice of Funding Opportunity (NOFO) No. 693JJ921R000025 Title: Fatality Analysis Reporting System (FARS) Program

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 Type of Applications B.4 Period of Performance B.5 Acronyms B.6 Statement of Responsibilities B.7 Deliverables (D) and Milestones (M) B.8 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 Acquisition 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 F.3.1 Quarterly Reports F.3.2 Annual Reports

F.3.3 Final Reports F.3.4 Financial Status Reports

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 Encouraging Policies to Ban Text Messages while Driving H.8 NHTSA Review of Announcements of Publications

H.11 Conflict of Interest

PROGRAM SUMMARY INFORMATION

A. FEDERAL AGENCY NAME

U.S. Department of Transportation (DOT) National Highway Traffic Safety Administration (NHTSA)

B. FUNDING OPPORTUNITY TITLE

Fatality Analysis Reporting System (FARS) Program

C. ANNOUNCEMENT TYPE

Initial Announcement

D. FUNDING OPPORTUNITY NUMBER

693JJ921R000025

E. ASSISTANCE LISTING PROGRAM NUMBER (formerly CFDA)

20.614 - National Highway Traffic Safety Administration (NHTSA) Discretionary Safety Cooperative Agreements

F. KEY DATES

NOFO Posted Date: 24 August 2021 NOFO Questions Due Date: 31 August 2021 Application Due Date: 28 September 2021

MISSION

The National Highway Traffic Safety Administration (NHTSA), an operating mode of the U.S.

Department of Transportation (Department), was established by Congress to save lives, prevent injuries, and reduce economic costs due to motor vehicle crashes through education, research, safety standards, and enforcement activity. Within NHTSA’s National Center for Statistics and Analysis (NCSA), the Office of Data Acquisition (ODA) is responsible for providing timely, complete, and high-quality data for use by NHTSA and the Department for motor vehicle safety research and analysis to reduce crashes, injuries, deaths, and associated medical costs. NHTSA conducts these activities pursuant to 49 U.S.C. Chapter 301, 23 U.S.C. Chapter 4, and other provisions of Federal law.

SECTION A - PROGRAM DESCRIPTION

A.1 PURPOSE AND OBJECTIVE

The purpose of this Cooperative Agreement (CA or Agreement) is to provide the Recipient with resources to collect and analyze motor vehicle safety data consistent with NHTSA’s records-based data collection programs:

1. The Fatality Analysis Reporting System (FARS), a census of all police-reported fatal motor vehicle crashes in the United States (50 States, District of Columbia, and Puerto Rico), where crash information is analyzed, coded, and stored in NHTSA’s Records-Based Information Solution (RBIS). Also, FARS collects and enters fatalities resulting from non-traffic fatal crashes information in RBIS;

2. The Crash Report Sampling System (CRSS), a sample of police-reported crashes involving motor vehicles, pedestrians, and cyclists, ranging from non-traffic crash injuries to property-damage-only crashes, and to those that result in fatalities.

The objective of this Cooperative Agreement is to collect, analyze, and store data under the FARS and CRSS programs. In general, the data collection efforts will provide comprehensive motor vehicle crash information that permits States and designated NHTSA-support contractors to perform in-depth analysis used for highway safety planning and programming functions. The data gathered is also used by States to apply for and receive highway safety grants. The Cooperative Agreement will assist States both technically and financially.

A.2 PROGRAM AUTHORITY

NHTSA may enter into a cooperative agreement with a State or local agency, authority, association, institution, or person to carry out activities authorized by the Highway Safety Act of 1966, P.L. 89-564, as amended (see 23 U.S.C. § 403(b)(2)).

A.3 BACKGROUND

Started in 1975, FARS is a national data collection system that contains information on all known police-reported motor vehicle crashes in which there was at least one fatality. For the purposes of the FARS program, a reportable fatality is a death that occurs within 30 days (720 hours) of the motor vehicle crash and is a direct result of the crash. Initial identification of fatalities under FARS often comes from police reported crash data files or police crash reports (PCRs) but may come from any available source. Detailed information on the circumstances of the crash and persons and vehicles involved may be obtained from a wide variety of sources including police accident reports, driver licensing files, vehicle registration files, state highway department data, emergency medical services records, medical examiner/coroners’ reports, toxicology reports, and death certificates.

The FARS serves as an important resource to NHTSA and other stakeholders such as Congress, other federal agencies, States, the traffic/highway safety community. FARS analysts enter State fatal crash information into the FARS Records-Based Information Solution (RBIS) data entry system. These data become official FARS data after completion of the quality control process and approved by NHTSA’s senior leadership. The approved FARS data are then released to the public. The data collection process for a given year takes approximately 18 months to complete and is accomplished in phases. The first phase is conducted approximately four-six months after the end of a calendar year, in which the file is halted for an intense quality control process that works toward achieving the highest level of completeness and data quality. After the first phase is approved, this file is released to the public as the Annual Report File. Then, the same file continues to be processed for another six months period to ensure information is updated to meet 100 percent completeness and quality levels as well as to add any outstanding fatal cases. On December 31st, the file is permanently closed, and a final quality control process is repeated on this file. Approximately six months later, the file is released to the public as the Final FARS.

The FARS data provides an understanding and description of the national and the State’s traffic safety environment. The FARS data also affords a basis for decision-making in areas of traffic and motor vehicle safety and countermeasure development. For example, States have benefited from the collection of FARS data that allows them to conduct problem analysis, establish performance goals, evaluate the impact of their highway safety programs and decisions, and qualify for federal highway safety grants.

From the program’s inception, NHTSA and the States have worked together to improve FARS information collection and entry by using focused guidance, training, and technical support. The results have been a greater ability to classify and understand crashes and to use data to perform analysis. In addition, by creating common infrastructure and methodology among States, these agreements have streamlined collection efforts, resolved differences in data collection and analysis, and built national uniformity across the FARS program. The on-going improvements have allowed States to use FARS data to better assess their traffic safety programs in relation to national statistics and data collected by other States. These agreements seek to build on the successful, collaborative efforts of the past.

In addition to FARS, NHTSA seeks to support States to collect motor vehicle crash report data beyond crashes involving a fatality. NHTSA will support the State to collect police-reported crashes involving all motor vehicles, pedestrians, and cyclists. Likewise, NHTSA will support the collection of motor vehicle crash documentation to ensure a comprehensive collection process within the State, leveraging data sharing agreements with relevant partners ranging from Federal, State and local law enforcement and emergency medical services, hospitals, medical examiners, and drug testing labs to name a few. The motor vehicle crash data collection and analysis help estimate the overall crash picture both nationally and within a State, allowing for the identification of highway safety problem areas and providing a comparison basis between State data and overall national statistics. Like FARS, the analysis of these data serves as an invaluable tool for States to review and set their traffic safety priorities.

SECTION B - FEDERAL AWARD INFORMATION

B.1 AWARDING AGENCY:

Department of Transportation (DOT) National Highway Traffic Safety Administration (NHTSA)

B.2 FUNDING AND TYPE OF AWARD

A total of $35,000,000 to fund up to fifty-two (52) discretionary, non-competitive Cooperative Agreements for sixty (60) months. NHTSA’s obligation under each Cooperative Agreement may range from $25,500 to $3,825,000 to provide services for the period of performance. All funding is subject to the availability of funds.

NHTSA will only accept one (1) application from each eligible applicant (see Section C.1).

The total amount of funds provided to the Recipient will depend on the depth and quality of the program/proposal submitted for consideration. 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 per Recipient.

B.4 PERIOD OF PERFORMANCE

All work required hereunder including preparation, submission, review, and acceptance of the final reports shall be completed no later than sixty (60) months after the effective date of the Cooperative Agreement.

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 Cooperative Agreement only.

ACOR (AA) Alternate Contracting Officer Representative Assistant Agreement CA Cooperative Agreement CDAN Crash Data Acquisition Network CO Contracting Officer CS Contract Specialist COR (AA) Contracting Officer Representative Assistant Agreement CRSS Crash Report Sampling System EDT Electronic Data Transfer FAR Federal Acquisition Regulation FARS Fatality Analysis Reporting System

NACT New Analyst and Coder Training NCSA National Center for Statistics and Analysis NHTSA National Highway Traffic Safety Administration PARSE Police Accident Report Sampling Engine PCR Police Crash Report RBIS Records-Based Information Solution SWT System-Wide Training VIN Vehicle Identification Number WBT Web-based Training

As used in this NOFO:

“Case materials” are records collected by the FARS analyst to complete the coding of a FARS case, to include the primary source of the case, the police crash report, supplemental crash reports such as a crash reconstruction report, medical examiner/coroner’s report, toxicology report, EMS report, and vital statistics, among other critical, relevant source materials to completely code a fatal crash case. Case materials are also referred to as motor vehicle crash information.

“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.

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

“FARS Case Criteria” is the condition in which a fatal crash case is included in FARS.

It must involve a motor vehicle traveling on a traffic way customarily open to the public and must result in the death of a vehicle occupant or a nonoccupant within 30 days of the crash.

“FARS Data” refers to State data that has been entered in the RBIS manually or via electronic data transfer, processed, and officially approved and published by NHTSA.

“FARS Supervisor” refers to either a coding or non-coding manager with oversight responsibilities of the FARS Unit. This individual may serve as a back-up analyst, provide coding assistance, as needed, in addition to supervisory responsibilities. A supervisor that only provides administrative and or operational oversight of the FARS Unit and does not participate in any coding activities is considered a “non-coding” supervisor. Non-coding supervisors do not have access to any FARS Intranet applications.

“Motor Vehicle Crash” is an event that produces injury and/or property damage, involves a motor vehicle in transport, and occurs on a trafficway or while the vehicle is still in motion after running off the trafficway. (Source: ANSI-D16)

“Production Data” refers to State police-reported fatal crashes that meet FARS case criteria, including associated case materials, entered into the RBIS manually or electronically, that is undergoing an intensive quality control process prior to being released as the official FARS Annual or Final File.

“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 this Cooperative Agreement.

“RBIS” means the “Records-Based Information Solution.” The RBIS refers to the designated Federal records-based data entry system used to collect, store, and process production data and case materials.

“State Data” is the collection of State computer and paper data files coded from police crash reports and associated case materials.

“State Manager” refers to the State employee that directly or indirectly oversees the department, division office where the FARS unit is housed. The State manager plays an active or passive role in ensuring that FARS staffing needs are met and may also serve as the point of contact for the Cooperative Agreement. The State manager may serve as the FARS supervisor, but this varies by State.

B.6 STATEMENT OF RESPONSIBILITIES

A. Specific Conditions for this Cooperative Agreement

The Recipient will meet the following specific conditions:

Condition 1: Kick-Off Meeting

Within thirty days (30) of the Cooperative Agreement award, the Recipient will meet with NHTSA via video conference or similar video conference platform to discuss the project’s objectives, planned course of action, the Recipient’s methodology, responsibilities, milestones and deliverables, and to begin finalizing the project plan for the project which was submitted as a part of the application. The Recipient should include its key project team members and be prepared to provide a 20-30-minute presentation describing the project. NHTSACOR (AA), CO, and other relevant staff will be present at the briefing.

Condition 2: Roles and Responsibilities of State Personnel Assigned to FARS

The Recipient will ensure that the FARS analyst(s) focus their time on the roles and responsibilities associated with meeting the conditions of the Agreement. Any work project outside the scope of the roles and responsibilities associated with the FARS program shall be approved by the NHTSA COR (AA) (i.e. conducting State-specific crash entry into a system outside the RBIS).

Upon award and for the duration of the project, the Recipient will provide adequate staff to provide supervision, information gathering, coding, and administrative tasks such as financial and progress reports. The Recipient is encouraged to consider a FARS unit structure that resembles the following: a FARS supervisor, FARS analyst(s), and a backup analyst(s). However, the final make-up of the FARS unit is based upon the Recipients capacity and organizational structure.

FARS personnel may vary in their roles and level of effort. Specifically, analysts are dedicated to FARS as either full or part-time, or back-up analysts depending on the State’s organizational structure.

Condition 3. FARS Data Reporting

The Recipient will develop and maintain all appropriate procedures necessary to track the status of each motor vehicle crash resulting in a fatality in the State.

The Recipient will adhere to the Crash Data Acquisition Network (CDAN) Rules of Behavior. The Recipient will not use automated procedures to process or modify information within the FARS RBIS without prior written permission from the COR (AA) identified in this Cooperative Agreement.

Within thirty (30) days from the point a fatal crash meets the FARS case criteria, the Recipient will enter the case into the FARS Early Notification Screener. To be precise, the fatality must occur within 720 hours from the date and time of the crash to meet FARS case inclusion criteria.

The Recipient will submit basic fatal crash information (that covers the date, time, number of fatalities, and police jurisdiction).

The Recipient will report a fatal motor vehicle crash that occurs on a holiday period into the FARS Early Notification Screener no later than 24 hours after the end of the holiday period. A holiday period is one of the following holidays New Year’s Day, Memorial, Independence Day (July 4), Labor Day, Thanksgiving, and Christmas.1

No later than 120-days of the fatality, the Recipient will finish coding each official FARS case into the RBIS. The required FARS case criteria consist of

1 A holiday period is defined as follows:

If the holiday falls on Monday, the holiday period is from 6:00 pm Friday to 5:59 am Tuesday.

If the holiday falls on Tuesday, the holiday period is from 6:00 pm Friday to 5:59 am Wednesday.

If the holiday falls on Wednesday, the holiday period is from 6:00 pm Tuesday to 5:59 am Thursday.

If the holiday falls on Thursday, the holiday period is from 6:00 pm Wednesday to 5:59 am Monday.

If the holiday falls on Friday, the holiday period is from 6:00 pm Thursday to 5:59 am Monday.

data elements pertaining to the crash, pre-crash descriptors, and each involved driver, vehicle, and person (as defined by the FARS/CRSS Coding and Validation Manual in effect at the time of coding).

The Recipient will use the FARS RBIS to report monthly fatality and case counts. No later than the 21st day of the month, following the last month reported, reports must be submitted into the FARS RBIS. Data reports shall be cumulative. The number of months for which data shall be reported includes all months beginning with January of the previous calendar year through the month immediately preceding the month during which the report is issued. For example, the report submitted in May 2021 will consist of monthly fatality data for the Recipient’s State for the period January 2020- April 2021.

The Recipient may need to work closely with other State agencies to access required information (e.g., death certificates, coroner’s reports, toxicology information or drug and alcohol information, BAC, out-of-state vehicle/driver information). The Recipient will enter into memorandums of understanding or other agreements with relevant State agencies for access to required information. While the agreements/MOUs are established between the State entities, the Recipient will share such agreements with NHTSA. In cases where relevant information may not be readily available to the Recipient, in coordination with the COR, the Recipient will develop a process for obtaining information from alternative sources to fulfill the conditions of this Agreement. Any changes to source documentation and collection will be documented in the State Procedures Manual.

There may be occasions when the State determines that a crash fatality does not meet the FARS case criteria. In those instances, the State will report the exclusion using the FARS Early Notification Type designation and retain the case information for each such crash fatality for the same retention period as cases that meet the FARS case criteria. The rationale for determining that the case does not meet the FARS case criteria shall be retained with the file.

The Recipient will require that each FARS analyst will provide FARS Intranet generated production reports to the non-coding FARS Supervisor or relevant State manager monthly. Production reports provide a status of the timeliness and completeness of the information gathering and coding process, as well as the quality level of the information. The production reports are intended to help improve data collection processes with key data owners/stakeholders, identify potential stopgaps, and or reveal coding anomalies. At no time should the production reports be used for trend analysis, as an interpretation of preliminary data, or to determine analyst level of effort. The recommended production reports include, but are not limited to, the following monthly reports:

a. Monthly Benchmark,

b. Monthly Fatality and Case Counts,

c. State Metrics Summary, and

d. Data Elements Metrics.

State Managers requiring additional RBIS reports, outside the production reports above, shall provide a written request, with a description and justification of the report(s) needed, the frequency, and use of the reports to the NHTSA COR (AA) for discussion and approval.

Condition 4. FARS Training

The Recipient will ensure that all personnel performing under this Agreement will successfully complete training as set forth below.

The Recipient will ensure that each new FARS supervisor, FARS analyst, and backup analyst(s) complete the standard new analyst and coder training (NACT) course within six (6) months of being selected to perform under this Agreement.

NACT training consists of two (2) non-consecutive, week-long classroom trainings and or the completion of other required trainings that may be held in person or online. The Recipient agrees that each new FARS analyst and coding supervisor will complete the on-line FARS Basic Lesson as part of the NACT.

Any required trainings will be specified by the COR (AA). The completion of any specified trainings is a requirement for all personnel who collect, analyze, and enter the fatal motor vehicle crash information in the RBIS data entry system.

The Recipient will ensure that only those personnel who have received the proper training and who have demonstrated an ability to fully comprehend the FARS program and its coding protocol are authorized to determine if a case will or will not be reported as a FARS case, and analyze, and enter the FARS case information in the RBIS data entry system.

The Recipient will ensure that FARS analyst(s) and FARS coding supervisor(s) will attend NHTSA-sponsored annual System-Wide Training (not exceeding ten (10) days each year) and all other scheduled NHTSA-sponsored training sessions.

The Recipient will ensure that State managers who oversee and provide non-coding support to the State FARS unit will participate in ad-hoc, specifically, designed web-based training, webinars, or meetings.

All training sessions are structured as in-class/person sessions, except where noted.

However, in unusual circumstances, NHTSA may provide training through a virtual learning platform. The Recipient will coordinate all training with the COR (AA).

Condition 5. Develop and Maintain State FARS Procedure Manual

The Recipient will develop and maintain a State FARS unit procedure manual that includes information such as data sources, reporting and collection procedures, as well as routine FARS activities. It is also strongly recommended that a current and comprehensive contact list be included in this manual. The list should include State and local agencies and other relevant partner agencies that supply information and support routine FARS activities. The Recipient will submit an annual, updated procedure manual in an electronic format to the COR (AA) no later than mid- October. A template of the manual will be provided to the Recipient as a reference.

Condition 6. Data Security and Privacy Protection

The Recipient will ensure that all information technology (IT) systems will be secured and maintained from unauthorized access. Under this Cooperative Agreement, the Recipient understands that data entered to the FARS RBIS will comply with Federal law and DOT security and privacy policies and requirements where applicable. USDOT privacy policies are available for viewing at https://www.transportation.gov.

While collecting, reviewing, and processing motor vehicle crash data, FARS analysts and coding supervisors, will have access to sensitive information concerning individuals involved in a motor vehicle crash. The Recipient will maintain the privacy of individuals involved in motor vehicle crashes. Only authorized FARS personnel and individuals authorized by NHTSA will be permitted access to case information. police crash reports, medical records, and other sensitive information shall not be left out where they may be viewed by unauthorized personnel. The Recipient will securely store sensitive hard copy information, in a locked filing cabinet for example, of the State FARS unit facility when not in use. Likewise, the Recipient will secure electronic case materials in a secure electronic State system with controlled access.

The Recipient will maintain FARS case materials, both hard copy and electronic consistent with NHTSA’s four (4) year retention policy, which includes the agreement year in which the records are collected and reported and the three preceding years. The storage and retention of the FARS case materials are the responsibility of the Recipient. NHTSA does not store FARS case materials (i.e., police crash reports, death certificates, toxicology reports). NHTSA maintains the Annual Report File and Final FARS File, which is limited to coded elements and attributes associated with the case materials used to create a FARS case indefinitely upon publication.

Once State data is entered into the RBIS manually or via electronic data transfer, all case materials are subject the following Federal security and privacy laws and policies.

a) Protection of Information. All IT services utilized to meet the requirements must comply with the requirements of OMB Memorandum M-06-16, “Protection of Sensitive Agency Information” and “DOT Information Technology and Information Assurance Policy Number 2006-22: Implementation of DOT’s Protection of

Personally Identifiable Information (PII).”

b) FDCC Compliance. Any IT solution, including but not limited to hardware, software, firmware, and telecommunications, proposed to meet the requirements must be accessible and usable from desktops compliant with OMB Memorandum M-07-11, “Implementation of Commonly Accepted Security Configurations for Windows Operating Systems” (Federal Desktop Core Configuration – FDCC).

c) HSPD-12 Compliance. Any IT solution, including but not limited to hardware, software, firmware, and telecommunications, proposed to meet the requirements must be compliant with Homeland Security Presidential Directive/HSPD- 12, “Policy for a Common Identification Standard for Federal Employees and Contractors,” OMB Memorandum M-05-24, “Implementation of Homeland Security Presidential Directive 12,” OMB Memorandum M-06- 18, “Acquisition of Products and Services for Implementation of HSPD- 12,” and the HSPD-12 implementation at the Department of Transportation.

Condition 7. FARS Disclosure Requirements

During the period of performance, the Recipient will adhere to applicable Federal, State, and local information law and policies regarding FARS data. Due to the nature of the collection process and coordination with NHTSA during the performance of this Agreement, the applicability of disclosure laws and policies may differ. While the Recipient must adhere to all applicable law, the Recipient will adhere to the conditions provided in this Agreement. Any State law or policy that may conflict or hinder performance with this Agreement should be reported immediately to the NHTSA COR- AA. The following activities may require the application of differing disclosure principles.

State Data State police crash reports and associated materials processed by the State prior to being entered into the RBIS are State records. The release and or use of these data will be carried out at the discretion of the Recipient in accordance with its State laws and policies.

FARS Data Once State data is submitted to the RBIS, all applicable Federal security and privacy laws and policies apply. The Recipient agrees that he or she will not disclose, reveal, allow access to, or otherwise provide information contained in the RBIS to anyone other than the designated State personnel assigned to and performing work under this Agreement. The State agrees not to publish or label RBIS data as official FARS Data until it has undergone all NHTSA quality control processes and is officially approved and published by

NHTSA.

As a general matter, the Recipient will have access and use of the final, quality controlled Annual and Final file only after all conditions of quality control and privacy are met, and the files are officially published by NHTSA for public review and analysis.

NHTSA releases official FARS data twice a year, annually. There are two scheduled file releases for each calendar year of FARS data, the Annual Report File and the Final File. The Annual Report File is a preliminary version of the FARS data that is used to produce an annual assessment of all reported fatal cases and case data for the prior calendar year. Once officially approved, then the Annual Report File is made available to the public. The data in this file is subject to revision and additional fatal cases may be added; thus, another file is produced, which is referred to as the Final File. The Final File reflects the final version release of the FARS annual files. NHTSA releases the FARS Final File the following year.

The Recipient will refer all third-party requests for FARS data prior to its official release to the COR (AA).

Condition 8. Requests for Production Data

At no time is production data available for analysis or use. If the Recipient receives requests for production data, the Recipient will refer the requestor to the following sites:

NHTSA’s National Center for Statistic and Analysis (NCSA) tools, publications, and data at https://cdan.nhtsa.gov/. Here requestors will find a variety of FARS and CRSS query reporting tools and traffic safety publications. The resources include: the FARS Encyclopedia (https://www-fars.nhtsa.dot.gov/Main/reportslinks.aspx), the Traffic Safety Facts Annual Report Portal (https://cdan.nhtsa.gov/tsftables/tsfar.htm#), State and county key traffic safety metrics (https://cdan.nhtsa.gov/stsi.htm), and custom queries using published data, are available using the Fatal and Injury Reporting System Tool (https://cdan.dot.gov/query), which can prove useful for data mining and analysis.

For additional assistance with special data analysis requests, the Recipient should direct requestors to NCSARequests@dot.gov.

Condition 9. Participate in State Traffic Records Coordinating Committee Meetings

The Recipient will participate in their State Traffic Records Coordinating Committee (STRCC) meetings, specifically, the FARS supervisor or FARS analyst(s) are encouraged to attend these meetings. STRCC works to benefit States in many ways including ensuring that complete, accurate, and timely traffic safety data are collected and analyzed, and made available at the local, State and national levels. Furthermore, the STRCC network can support efforts for developing and establishing electronic data sharing platforms or agreements for more timely data collection and transfer. Other STRCC tasks range from responding to data requests to developing and implementing programs informing other organizations of the type and quantity of available FARS information. Establishing valuable working relationships with the members of the STRCC can create inroads for collecting important fatal crash information. However, it is not as important as the timely gathering, coding, and entering of fatal crash information. Therefore, resources for this condition should not exceed 5% of the cost of the overall support of the FARS program each year.

Condition 10. Form Agreements with State Data Owners

To obtain critical fatal motor vehicle case materials for the FARS program, the Recipient may need to request and receive approval for access to information held by other State entities. This information may reside in: Police Crash Reports, State Vehicle Registration Files, State Driver Licensing Files, State Highway Department Data, Vital Statistics, Death Certificates, Coroner/Medical Examiners Reports, and Emergency Medical Services Reports.

The Recipient will submit any information-sharing agreements or memorandums of understanding with the COR (AA) to ensure that the agreements do not contradict or indirectly impact NHTSA and its analysis and publication practices. The Recipient may be reimbursed for State records fees to obtain associated fatal crash information. However, the NHTSA COR (AA) must be notified in advance and must be provided a written request before submitting a reimbursement for States records fees.

Condition 11. FARS Quality Control Infrastructure

The quality of the FARS data is critical to its usefulness to the Recipient and NHTSA.

NHTSA established quality control objectives for FARS and enacted uniform quality control measures to ensure delivery of complete, accurate FARS data consistent with NHTSA’s file delivery schedule. NHTSA performs various quality control processes to ensure the timeliness, completeness and accuracy of data collected from the FARS units.

The Recipient will work in conjunction with NHTSA to accomplish the FARS quality objectives:

a) Timeliness

NHTSA references two primary metrics associated with timeliness: 1) Early Notification reporting of a fatal crash refers to the time elapsed from the crash date to when the Recipient initially enters “the record of that crash” in the FARS Early Notification Screener (ENS). Early Notification should be entered in ENS within 14 days from the date the first crash-related fatality occurs. Early Notification reporting sets the parameter of the fatal crash census for the Recipient’s FARS data. 2) Entry of the “FARS case” in the FARS RBIS data entry system should occur within 120 days from the date the first crash-related fatality occurs. The RBIS data entry metric gauges the progress by the FARS unit towards coding the cases identified in the Early Notification census in the RBIS data base. NHTSA uses a schedule of monthly benchmarks to monitor the pace of case entry in RBIS by each FARS unit. Beginning in April of each calendar year, the Recipient will target a monthly case entry goal of entering 95% of known FARS cases for a specified range of months in RBIS. The

April benchmark targets January cases for that calendar year. Each subsequent benchmark adds one month to the cumulative range of months targeted for case entry in RBIS. In April of the following calendar year, the benchmark goal shifts to targeting 100% of known January-December cases entered in RBIS for crashes occurring in the preceding calendar year. NHTSA records the benchmark goal progress on the fourth Thursday of each month. Specific dates are posted by NHTSA on the FARS Intranet and within the RBIS application.

The monthly benchmark process supports NHTSA’s requirement to report a census of fatal crashes in the two publicly released FARS data files – the Annual Report File and the Final File.

b) Accuracy and Consistency

NHTSA references three primary aspects related to the assurance of accurate and consistent FARS data – analysis of the crash details, error-free data entry, and internal consistency of data entered in a case:

1) The FARS analyst(s) interpretation of the source documents is used to code the case in RBIS, in which aligns with NHTSA’s coding guidance provided in the FARS/CRSS Coding and Validation Manual and any State Specific Coding Instructions (SSCI) provided to the FARS analysts. The NHTSA’s coding guidance is based on case material documents unique to the State and corresponding to the calendar year of the crashes. The Recipient may elect to participate in an annual case recoding project offered by NHTSA to evaluate the alignment of the FARS analyst’s analytical interpretation of case materials with the FARS/CRSS Coding and Validation Manual, State documentation, and the SSCIs using the same source documents used by the FARS analyst to originally code the case in RBIS.

2) The FARS analyst performs error-free transcription of FARS data attributes from source documents into the FARS RBIS and selects from the range of defined attributes associated with each FARS data element. If the Recipient transmits their State data via electronic data transfer (EDT), those EDT populated data attributes must be reviewed in each case by the FARS analyst to ensure accurate transcription. If the FARS analyst identifies conflicting information in the source documents, the FARS analyst must apply the available coding guidance from the FARS/CRSS Coding and Validation Manual and/or the SSCIs to select the most accurate data attribute. NHTSA teaches each FARS analyst a method of reviewing edit check logic to determine whether data requires correction or an edit check override if the facts of the case show an exception to the logic of the edit check. The FARS analyst must provide a detailed written explanation for each edit check override in the RBIS record. NHTSA also provides various quality control reports to aid the FARS analyst to identify data entry errors (i.e. Range Check, Inconsistency Edit Checks, Duplicate VINs etc.)

3) NHTSA develops and maintains an extensive array of edit checks to evaluate the FARS data for internal consistency at the time the FARS analyst enters the case in the RBIS. RBIS programming permits the FARS analyst to monitor edit check activity in real time during the case entry process. The Recipient’s FARS analyst(s) will monitor the data to determine if any internal inconsistencies occurred and shall resolve all identified inconsistencies.

NHTSA reviews the reasons for overridden rules and triggers a review of any that appear to be improperly overridden. NHTSA also provides various quality control reports to enable FARS analysts to identify data inconsistencies (i.e.

Internal Consistency Edit Checks, Range Check, Overridden Rule Report, Case Structure Integrity)

NHTSA will provide additional quality assurance support to the Recipient by reporting on possible inconsistencies and inaccuracies in the Recipient’s data through direct feedback from the COR (AA) and or the data quality monitoring efforts of NHTSA data operations/quality control liaison. The Recipient will review cases identified in the various quality control processes and correct errors to assure the highest standard of accuracy in the FARS Annual Report and Final files and to ensure the Recipient receives maximum value from participating in the FARS program.

NHTSA supports data accuracy and consistency efforts through other quality control practices in which the Recipients are expected to participate. Some of these efforts include:

The development and review of State Specific Coding Instructions (SSCI) to support consistent interpretation of the State crash report as it corresponds to the FARS data variable attributes.

Quality Control (QC) site visit working sessions with NHTSA FARS data operations/data quality liaison; site visits entail a review of the Recipient’s FARS operations and targeted case review with on the job training delivery.

NHTSA data mining and data validation projects generate culled listing of cases that require verification and/or correction by the FARS analyst.

The development and annual review of EDT mapping schemas for data elements and attributes transmitted via EDT.

The accuracy and consistency goal for the Recipient is to have less than 2% of the entries for each data element incorrectly coded or entered. The COR (AA) will keep the Recipient informed of how closely it is meeting those goals and will provide advice on how to increase accuracy and consistency if required via the NHTSA FARS data operations/data quality liaison.

c) Completeness

NHTSA defines data completeness as the extent that RBIS data elements contain a known attribute sourced through primary documents associated with the case. Deficits in data completeness may be reflected by 1) blank data fields or 2) a preponderance of “unknown” or “not reported” values that likely represents a lag or gap in acquiring the needed information. The Recipient will coordinate with data stakeholders to collect and collate the information needed to code a FARS case completely in the RBIS.

Typically, document sources include the crash report and supplements, driver license status and history, vehicle registration, toxicology dispositions and reports, death certificates or extract reports, EMS run times, and any other State specific reports that may contribute to completing FARS case coding. NHTSA uses an algorithm in the RBIS to assign an overall case quality score to each case and assigns a QC Level Rankings 1, 2, 3, 4, S or U to each case. The QC Level Ranking reflects the overall completeness of a case based on the number of blanks combined with the number and type of edit checks triggered in the case.

NHTSA uses a schedule of monthly benchmarks to monitor the overall completeness of cases entered in RBIS by each FARS unit. Beginning in April of each calendar year, the Recipient will target a monthly overall case quality goal of entering 90% of known FARS cases for a specified range of months in RBIS at QC Level 1, 2 or 3. The April benchmark targets January cases for that calendar year. Each subsequent benchmark adds one month to the cumulative range of months targeted for overall QC Level 1, 2 or 3 in RBIS. In April of the following calendar year, the benchmark goal shifts to targeting 100% of known January-December case quality at QC Level 1, 2 or 3 in RBIS for crashes occurring in the preceding calendar year. NHTSA records the benchmark goal progress on the fourth Thursday of each month. Specific dates are posted by NHTSA on the FARS Intranet and within the RBIS application. The Recipient should endeavor to have less than 5% of the entries for each data element as blank or unknown.

NHTSA provides various quality control reports within the RBIS application and on the FARS Intranet to enable FARS analysts to list blank data variables and identify data acquisition deficits (i.e. Blanks reports, data variable specific blanks reports, data variable specific “unknown” reports).

NHTSA limits access to data element metric reports to only to the FARS analyst(s) and the FARS coding supervisor. Data element metric reports are available on the FARS Intranet and provide insight into missing elements and data sources. Completeness is evaluated by determining if the FARS file contains the appropriate number of cases for any given month, based upon independently reported monthly fatality counts from the Recipient and previous trends. NHTSA monitors completeness through its quality control procedures, pending case, and monitor reports.

Condition 12. FARS Quality Control Deliverables

The monthly data quality benchmark goals established by NHTSA described in Condition 11, sections a) and c) support NHTSA’s efforts to deliver a census that accurately describes the events and characteristics of each fatal crash contained therein.

NHTSA relies on the Recipient to align the operations of the FARS unit to accomplish the benchmark goals each month.

a) The Recipient will meet requirements under the Cooperative Agreement, including any of the quality control benchmarks for a specific month. The quality control Benchmark Report is due the 4th Thursday of each month and is generated automatically through the RBIS.

b) The Recipient is required to report promptly to the COR (AA) any problems/issues with meeting requirements under the Cooperative Agreement. This includes any failures to meet the FARS quality control procedures and the established monthly data quality benchmarks.

If the Recipient fails to meet benchmark requirements, the details associated with the problems/issues identified, including steps to remedy the problems/issues identified will be submitted to the COR (AA) and Quality Control lead as part of the Quarterly Progress Report (Section F.3.1). Specifically, the documentation will outline the reasons why Cooperative Agreement requirements, including the identified benchmark(s) were not met; any obstacles encountered that limited data acquisition;

proposed timeframe(s) when the information may be acquired/entered; and if needed, a request to NHTSA for additional support. If the issues identified involve problems with acquiring data from another jurisdiction (e.g., a State entity, a local jurisdiction, etc.), the report shall include the jurisdiction name and a point of contact for the jurisdiction.

Under circumstances where identified problems persist, at the request of either party, the Recipient’s program manager and higher-level State manager will meet with the COR (AA) and higher-level NHTSA management, if necessary, to discuss the performance issues and develop a plan and timeline to resolve such issues. For on-going problems, NHTSA may take additional actions such as imposing specific conditions on Recipient performance (2 CFR § 200.301) and withholding payment (2

CFR § 200.339).

Condition 13. Recode Program

On an annual basis, the Recipient will produce a subset of FARS cases for recoding, as an additional quality control activity. The goal of the recode program is to assist with identifying topics for training, additional coding guidance in the Coding and Validation manual, and case review for data correction.

The Recipient will submit to NHTSA’s recode contractor source documents for a sample of 10-30 cases (based on the total number of FARS cases processed annually in a State). The recode process will provide feedback and guidance to the State FARS unit based on the recode findings. The findings are based on all differences between the expert coders recoding the case and the original coding performed by the FARS analyst. NHTSA will coordinate an annual conference call with each State FARS unit to review the findings from the recode process and finalize any coding guidance needed to address identified issues. NHTSA will prepare and deliver a final report to the Recipient with the recode findings, as well as guidance on any necessary data changes based on the recode findings.

The Recipient will review and complete any data corrections required by the recode findings. If the case sample indicates any broader patterns of miscoding, the Recipient will coordinate with NHTSA to conduct an expanded case review to identify all cases that may be affected by that identified pattern. If the expanded case review identifies a larger pattern, the Recipient will perform an extensive, targeted case review and correction. The annual recode program starts in May each year. Refer to the Milestones and Deliverables schedule for a specific timeline.

Condition 14. Administration of the FARS Cooperative Agreements

The Recipient, the FARS Supervisor, and State manager(s) agree to participate in bi-annual update calls with the COR (AA) and ACOR (AA) to discuss operations, administration, and other pertinent FARS matters.

Condition 15. Other Data Collection Activities

The Recipient will collect State data and submit the data to NHTSA for the following.

a) Non-Traffic Fatalities

A small subset of the fatalities collected through the FARS program are non-traffic crash fatalities. The Recipient will ensure that the fatalities resulting from non-traffic fatal crashes are entered into the RBIS data entry system and the associated police crash reports for those non-traffic fatalities are uploaded to the RBIS monthly. The Recipient will receive a monthly reminder from the FARS Intranet to process these cases by the last day of each month.

b) Crash Reporting Sampling System (CRSS) - Options

The Crash Report Sampling System (CRSS) is a sample of police-reported motor vehicle crashes involving all types of motor vehicles, pedestrians, and cyclists, ranging from non-traffic injury crashes to property-damage-only crashes, and to those that result in fatalities.