fy 2013-cvisn nofa - as posted.pdf

United States Department of Transportation

Federal Motor Carrier Safety Administration

Fiscal Year 2013 – Commercial Vehicle Information Systems and Networks (CVISN) Grant Program

Notice of Funding Availability

The United States Department of Transportation’s (US DOT) Federal Motor Carrier Safety Administration (FMCSA) announces the Fiscal Year (FY) 2013 Commercial Vehicle Information Systems and Networks (CVISN) program funding opportunity. This document will assist you by providing important information about the CVISN program, including the FY 2013 program priorities and critical information related to preparing and submitting a grant application. All applications must be submitted through Grants.gov by 11:59 P.M. (Eastern Time) on November 19, 2012.

The Catalog of Federal Domestic Assistance (CFDA) number for CVISN is 20.237.

Important Changes and Reminders for FY 2013:

• All Applicants, even Applicants that have received previous funding, should read this entire Notice of Funding Availability (NOFA). This NOFA establishes minimum requirements for FY 2013 submissions, which have changed from previous years.

Please review the entire document before submitting an application.

• All FY 2013 CVISN applications must be submitted in response to this NOFA;

FMCSA does not anticipate a second NOFA for FY 2013 CVISN.

• There are required elements that all Applicants must address in the application. A suggested outline is located in Appendix A – Guidance for Designing Performance-based Projects, which includes a Project Narrative and a Budget Narrative (also see Appendix B – Guidance for Developing an Object Class Budget), Appendix C – Key Contacts Form Instructions, and Appendix D – FMCSA Financial Assistance Agreement General Provisions and Assurances (subject to revision).

• The FMCSA will not evaluate applications received without the complete set of required forms and attachments; all application section elements and all documents must be submitted (see Section IV).

• Application review information is clarified to include expectations and evaluation criteria (see Section V).

• All Applicants must submit a current FMCSA Administrative Capability Questionnaire.

(An Applicant need only prepare and certify one questionnaire for all FY 2013 applications, but it must be included in each grant application).

• Grantees must agree to comply with the FMCSA Financial Assistance Agreement General Provisions and Assurances throughout the grant period of performance in order to execute the grant agreement and before grant funds are awarded (see Section VI).

• The Central Contractor Registration (CCR) system, along with Federal Agency Registration (FedReg), the Online Representations and Certifications Application (ORCA), and the Excluded Parties List System (EPLS) will migrate to the new System for Award Management (SAM) at the end of July 2012. For further information please see https://www.sam.gov/sam/ or https://www.bpn.gov/ccr.

• Applicants requesting funds to place equipment or temporary facilities, modify structures, or to alter existing infrastructure are required to assess the ability for the equipment, modifications, or alterations to withstand current and future climatic conditions, including potential changes in climatic conditions. The applicant shall use the best-available peer-reviewed studies and science to determine the potential climatic conditions the equipment, modifications or alterations may experience over the life-cycle of the equipment, modification or alteration funded by the grant. The applicant can rely on existing Federal Highway Administration suggestions or guidelines for placing infrastructure, or on other federally-issued guidance on assessing potential impacts of climate change.

Section I: Funding Opportunity Description

The FMCSA announces the availability of CVISN grant funding. Funding is authorized based on authorities provided in the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU) Pub. L. No. 109-59, §§ 4101(c)(4), 4126, 119 Stat. 1144, 1715, 1738-41 (2005), as amended by Moving Ahead for Progress in the 21st Century (MAP-21), Pub. L. No. 112-141, §§ 32603(c) and 32605 (2012). The CVISN program is governed by 49 United States Code (U.S.C.) 31106, Historical and Statutory Notes, as amended.

Pursuant to SAFETEA-LU §4126(e), eligible awardees for CVISN funding are State agencies, including the District of Columbia and U.S. territories that are designated as the lead agency in the State’s CVISN Program Plan and Top-Level Design (PP/TLD).

Individuals and businesses are not eligible to apply.

The FMCSA provides CVISN funds to advance technological capability and promote the deployment of intelligent transportation systems applications for commercial vehicle operations, including commercial vehicle, commercial driver, and carrier-specific information systems and networks.

There are five types of CVISN grants: 1) core or expanded PP/TLD grants; 2) core deployment grants; 3) expanded deployment grants; 4) core maintenance grants; and 5) expanded maintenance grants. The FMCSA will first fund projects that advance States towards meeting core deployment. Remaining funds will then be awarded for expanded CVISN deployment projects, and, finally, for core or expanded maintenance projects (e.g., https://www.bpn.gov/ccr memberships, fees, dues, and other related program maintenance costs). Additional information about the types of grants is included below:

1. Core or Expanded PP/TLD Grants: The purpose of a core or expanded PP/TLD grant is to provide a management framework and system architecture to guide future State CVISN deployment. The PP/TLD is also used as a guide for States to advise policy and decision makers regarding the funding and technical resources required for successful CVISN implementation. A State may apply for a PP/TLD grant of up to $100,000 to develop the PP/TLD.

A State MUST have a core PP/TLD approved by the Agency before they are eligible to receive future core deployment or core maintenance grant funding.

Additionally, a State MUST have an expanded PP/TLD approved by the Agency before they are eligible to receive future expanded deployment grant funding. A State does not need to have an expanded PP/TLD approved by the Agency before they are eligible to receive future expanded maintenance grant funding. See below for further information about the difference between deployment and maintenance grants.

2. Core Deployment Grants: The purpose of a core deployment grant is for States to carry out CVISN capabilities in the areas of safety information exchange (e.g., inspection reporting), credentials administration (e.g., electronic processing of fees), and electronic screening (e.g., screening transponder-equipped trucks automatically pass roadside inspection stations at highway speeds).

Under SAFETEA-LU and its predecessor authorizing statute, the Transportation Equity Act for the 21st Century (TEA-21), FMCSA may not award an aggregate total in excess of $2.5 million in core deployment grants to a State. States are directed to contact their respective FMCSA State Division Administrator for information regarding the amount they are eligible to receive.

As noted above, a State MUST have a core PP/TLD approved by the Agency before they are eligible to receive future core deployment or core maintenance grants.

3. Expanded Deployment Grants: The purpose of an expanded deployment grant is for States to carry out capabilities that exceed the requirements of core deployment, improve safety and productivity of commercial motor vehicle operations, and enhance transportation security. To be eligible for a CVISN expanded deployment grant, States MUST FIRST become core-certified. To become core-certified, a State must:

• Have a core PP/TLD approved by the FMCSA;

• Certify that State CVISN deployment activities (e.g., hardware procurement, software and system development, and infrastructure modifications) are consistent with the national Intelligent Transportation Systems (ITS) and CVISN architectures/ standards, as well as promote interoperability and efficiency; and

• Agree to execute FMCSA interoperability tests to verify that State systems conform with the national ITS architecture, applicable standards, and protocols.

Upon completion of core deployment and FMCSA verification, the maximum amount a State may receive for an expanded deployment grant in any fiscal year is $1 million.

A State with a Commercial Vehicle Information Exchange Window (CVIEW) system that is offline is no longer considered to have completed core deployment and therefore is not eligible to apply for a CVISN expanded deployment grant until the CVIEW is back online. FMCSA reserves the right to withhold reimbursement of existing funding of a CVISN expanded grant if the State can no longer demonstrate that it has completed core deployment or maintain core deployment status.

A State that has completed core deployment and certified by FMCSA may use unexpended core deployment funds for expanded deployment activities.

4. Core Maintenance Grants: The purpose of a core maintenance grant is to allow a State to fund memberships, fees, dues, and other related program maintenance costs. A typical expense in this category includes, but is not limited to, International Fuel Tax Association fees, PrePass memberships, or warranty maintenance. A core State must have a core PP/TLD approved by FMCSA to be eligible for core maintenance funds.

5. Expanded Maintenance Grants: The purpose of an expanded maintenance grant is to allow a State to fund memberships, fees, dues, and other related program maintenance costs. A typical expense in this category includes, but is not limited to, International Fuel Tax Association fees, PrePass memberships, or warranty maintenance. A core-certified State DOES NOT have to submit an expanded PP/TLD to be eligible for a maintenance grant.

Program Goals – FY 2013 National Priorities

National priorities for the CVISN program include:

• Improving the safety of commercial motor vehicle operations;

• Increasing the efficiency of regulatory inspection processes to reduce administrative burdens by advancing technology to facilitate inspections and increase the effectiveness of enforcement efforts;

• Advancing electronic processing of registration information, driver licensing information, fuel tax information, inspection and crash data, and other safety information;

• Enhancing the safe passage of commercial motor vehicles across the United States and across international borders; and

• Promoting the communication of information among the States and encourage multistate cooperation and corridor development.

In addition to these priorities, priority funding consideration will be given to applications that:

1) deploy or enhance the CVIEW; 2) improve the quality of CVISN-related data uploads;

3) improve virtual weigh stations; and 4) improve the use of CVISN-related and safety and productivity performance metrics.

• Deploy or Enhance CVIEW. The CVIEW is an integral part of the CVISN program and is a key mechanism through which agencies within a State can share commercial vehicle credential and safety information among themselves. CVIEW also is the means by which States can share commercial vehicle credential and safety information with other jurisdictions. This interstate data exchange enables numerous critical safety programs, including real-time electronic screening of interstate vehicles.

• Improve CVISN-related Data Uploads. The purpose of these projects is to improve credentialing data quality when information is uploaded from the State to SAFER.

Applications should include projects that ensure CVIEW applications capture updates sent to SAFER on daily basis and should describe the measures to ensure the accuracy and quality of the data exchanged, promote efficient system communication, and prevent system corruption or performance degradation.

• Improve Virtual Weigh Stations. These projects are only eligible for expanded CVISN States. Eligible improvements include, but are not limited to, weigh in motion scales, cameras, optical character recognition technology, screening software, and system integration projects. A quality project application should describe the measures how the virtual station expands the geographic scope and effectiveness of a State’s truck size and weight enforcement program and how existing vehicle safety and credential monitoring and screening programs are improved.

• Implement CVISN Safety and Productivity Performance Metrics. Projects that directly support the collection and reporting of FMCSA-defined CVISN performance metrics: 1) time savings and efficiency benefits from safety information exchange; 2) time and cost savings from electronic credentialing systems; and 3) safety, efficiency, and environmental benefits from electronic screening and smart roadside systems.

Section II: Award Information

Available Funding

i. For FY 2013, FMCSA anticipates awarding $25,000,000 in CVISN funds to advance technological capability and promote the deployment of intelligent transportation systems applications for commercial vehicle operations, including commercial vehicle, commercial driver, and carrier-specific information systems and networks.

ii. The FMCSA will reimburse up to 50 percent of the State’s total approved program costs that are consistent with the approved project plan. However, Applicants may not receive the full amount requested. If an Applicant accepts a grant awarded under this program, it is responsible for all project expenses that exceed the awarded amount. The

FMCSA may contact the Applicant directly if the award amount is expected to be less than the amount requested to ensure that the project will remain sustainable with less than the amount requested. There is a 50 percent State matching or cost-sharing requirement.

iii. The FMCSA expects to announce awards as soon as administratively practicable subject to availability of funds.

Cost Requirements

Costs charged to FMCSA grants must be in accordance with the applicable cost principles for the Grantee type. All reimbursable items must be necessary, reasonable, allocable, and allowable to accomplish the goals of the program. These standards are described in the applicable cost principles and administrative requirements:

• 49 CFR Part 18; and

• 2 CFR Part 225 (Cost Principles for State, Local, and Indian Tribal Governments, OMB Circular A-87).

Acquisitions of real property, land, or buildings are NOT eligible expenses under the CVISN grant program. The eligibility of specific items is subject to review by the FMCSA. For assistance during the pre-application phase, Applicants may contact the FMCSA Grant Program Manager listed in Section VII of this NOFA or their local FMCSA Division Office for guidance on the cost eligibility of activities or items.

Expenses eligible for reimbursement under the CVISN program include, but are not limited to:

1. Salaries and wages of the personnel associated with the project and fringe benefits such as contributions to employee benefits (including social security and pension funds)

2. Equipment, indicating whether it will be purchased or leased, related to information technology hardware and software, contractor support, data acquisition, storage, and analysis that are specifically identifiable as CVISN program-related to develop a database to coordinate resources and improve efficiency.

3. Material and supplies

4. Publication costs and document dissemination

5. Travel that is directly related to project objectives

6. Consultant services

7. Contracts and/or subawards, including ongoing CVISN-related Operations and

Maintenance (O&M) costs, system maintenance and licensing fees, in addition to CVISN-related memberships and fees related to maintain electronic screening and data clearinghouse functionality

8. Items such as computer services, if not included as part of indirect costs

9. Indirect expenses related to operating and maintaining facilities, equipment, and grounds that are considered “facilities costs” and salaries of support staff to the extent they are measurable and recurring (e.g., rent and overhead). NOTE: Any application containing indirect costs in its proposed project budget must be accompanied by either the signed current indirect cost rate negotiated agreement approved by the cognizant Federal agency or a copy of the request for such rate. If indirect costs are not included in the project’s proposed budget, no indirect cost rate agreement is required.

Expenses eligible for reimbursement under the CVISN program include indirect costs related to operating and maintaining facilities, equipment, and grounds and also for personnel and support staff to the extent that costs are measurable and recurring. NOTE: Any application containing indirect costs in its proposed project budget must be accompanied by either the signed current indirect cost rate negotiated agreement approved by the cognizant Federal agency or a copy of the request for such rate. If indirect costs are not included in the project’s proposed budget, no indirect cost rate agreement is required.

The Federal share of funds under the CVISN grant is 50 percent. States must provide the remaining 50 percent of the program costs. These matching funds can be in-kind or cash. For example, eligible sources of matching funds include:

• State or private sector funds dedicated or used for CVISN activities

• State-paid staff salaries

• Equipment or facilities (e.g., PrePass, NORPASS equipment, computers)

• Operations and maintenance expenses on CVISN-related systems

• State/private sector funded development of CVISN-related systems

• International Registration Plan / International Fuel Tax Association fees

• Uniform Carrier Registration (UCR) fees*

*UCR fees may only be used as a CVISN match for safety-related projects (e.g., safety information exchange and electronic screening).

Also, State match from de-obligated CVISN funds cannot be re-used as match for new CVISN grant funds.

Under 4126(f), the total Federal share of the cost of a project payable from all eligible Federal sources shall not exceed 80 percent. Applicants may contact the FMCSA grant administrative manager for additional information. Contact information is listed at the end of this announcement.

Section III: Eligibility Information

The FMCSA may award CVISN funds to agencies of States, the District of Columbia, the Commonwealth of Puerto Rico, the Commonwealth of the Northern Mariana Islands, American Samoa, Guam, and the U.S. Virgin Islands that are designated as the lead agency in the State’s CVISN Program Plan and Top-Level Design (PP/TLD).

Individuals and businesses are not eligible to apply.

Section IV: Application and Submission Information

Application Information

The FMCSA utilizes Grants.gov (www.grants.gov) for accepting CVISN program applications. All FY 2013 CVISN applications must be submitted electronically through this site. To apply, the Applicant first must complete the Grants.gov registration process. To register, go to http://www07.grants.gov/applicants/get_registered.jsp and follow the instructions found on the Grants.gov website by selecting “Get Registered.”

The registration process can take as long as four weeks. Applicants are encouraged to register as soon as possible. The Grants.gov website provides customer support through its toll-free number, (800) 518-GRANT, or through e-mail at support@grants.gov. The customer support center is open from 7:00 A.M. to 9:00 P.M. Eastern Time, Monday through Friday, except Federal holidays, to address Grants.gov technical issues. The FMCSA does not own or maintain Grants.gov and is therefore unable to provide technical assistance; all technical assistance issues should be directed to the above contact information.

All applications must be submitted through Grants.gov by 11:59 P.M. Eastern Time on November 19, 2012. Applications received after this time will be considered only if funds remain available after the review process for timely applications. Due to unforeseen connectivity or technical issues associated with online submission, FMCSA strongly encourages all Applicants to submit their applications well in advance to allow for additional time if needed.

If the designated grant official from an Applicant requires special assistance or accommodation associated with submitting this grant application, methods other than Grants.gov are available. Please contact the Agency personnel listed in Section VII of this notice if assistance is required.

Application Requirements

All CVISN program applications for FY 2013 must include the following Standard Forms as provided in Grants.gov:

1. SF-424 – Application for Federal Assistance This is the standard application form for all requests for Federal assistance. When completing Section F, please ensure that the individual listed as point of contact is knowledgeable about the project applied for and can answer relevant questions.

2. SF-424A – Budget Information for Non-Construction Program This is a standard budget form for requests for Federal assistance. On page 1, the Applicant may indicate up to four (4) projects requested. The Applicant should clearly indicate the title of each project in the boxes provided in Column A. Please indicate the appropriate match amount in Columns C, D, and F as CVISN requires a 50 percent State matching or cost-sharing requirement. If there are more than four (4) projects proposed, please submit just the total for all projects on the SF-424A on Grants.gov and then provide the detailed breakdown of each project using the Excel version of the SF-424A form (located on the Grantee resources page at http://www.fmcsa.dot.gov/about/GRANTS/grantee-resources.aspx) as a supplemental form.

You may use as many supplemental forms as needed to provide a breakdown of each project.

However, please ensure that when combined they tie to the total submitted through Grants.gov.

On page 1A, please clearly indicate up to four (4) projects listed on page 1 in Rows 1-4 (if applicable) and then fill in the appropriate object class categories in Rows A-K. See Appendix B – Guidance for Developing an Object Class Budget.

Please complete the remaining pages as appropriate. If the Applicant feels that an additional budget worksheet is necessary to further explain estimated costs, please attach a budget document to the Attachments Form (explained in #5 below). Attached budgets should be pre-formatted to print on standard, letter-sized paper (PDF format is preferable). If the Applicant attaches budget worksheets for multiple projects under the same grant application, each project should be clearly distinguished in the document.

3. SF-424B – Assurances for Non-Construction Programs This is a standard assurances form associated with accepting Federal assistance funds. This assurances document indicates that the Applicant organization is in substantial compliance with various programs, regulations, and Federal laws. This document should not be completed without confirmation from the appropriate agency or State official that the Applicant organization is indeed compliant. The FMCSA and other applicable Federal agencies reserve the right to request further information and/or conduct an audit to confirm compliance as indicated on this form, as provided for in the United States Code or the Code of Federal Regulations.

4. SF-LLL – Disclosure of Lobbying Activities This form requests information related to the lobbying activities of the Applicant.

5. Attachment Forms This document is used to submit supplemental attachments to support the grant application.

These attachments must include a copy of the Applicant’s approved indirect cost rate from its cognizant Federal agency or a letter indicating that the Applicant has no cognizant agency. See Supplemental Information below.

Please note, applications received without the complete set of required forms will be not be evaluated until all forms are received. All forms are part of the application package available for download and completion in Grants.gov.

Beginning August 15, 2012, Applicants must now limit the file names of their attachments to the following characters: A-Z, a-z, 0-9, underscore ( _ ), hyphen (-), space, period. If the Applicant uses any other characters when naming their attachment files, their applications will be rejected.

CVISN-specific components or attachments to the application MUST include:

The Applicant’s project narrative that includes a problem statement, objectives, goals, strategies and activities, an evaluation or monitoring plan, a description of the Applicant’s organizational capacity, and a budget narrative

(see Appendix A – Guidance for Designing Performance-based Projects to see a sample performance-based plan);

Line-item budget and a budget narrative that justifies the budget requested by line item;

Current approved indirect cost rate letter, if applicable – see Supplemental Information;

FMCSA Administrative Capability Questionnaire; and Key Contacts Form (see Appendix C – Key Contacts Form Instructions).

SAFETEA-LU Section 4126e self-certification statement;

Applicant’s FMCSA core certification letter (if applicable); and Applicant’s FMCSA core or expanded program plan / top level design approval letter

(as applicable).

In order to be considered for funding, the Applicant must certify that their organization’s CVISN deployment activities meet the requirements in SAFETEA-LU Section 4126. This self-certification is required for all Applicants, regardless of their CVISN deployment status (core, expanded). The FMCSA has included, in the application templates, a signature page for the Applicant to sign. All Applicants must certify that:

I, [NAME], [TITLE] certify that [State Organization Name]’s Commercial Vehicle Information Systems and Networks deployment activities, including hardware procurement, software and system development, and infrastructure modifications:

• Are consistent with the national intelligent transportation systems and CVISN architectures and available standards;

• Promote interoperability and efficiency to the extent practicable; and

• I certify to execute interoperability tests developed by the FMCSA to verify that [State

Organization Name]’s systems conform with the national intelligent transportation systems architecture, applicable standards, and protocols for CVISN.

Print Name: ___________ Signature:_________ Date:__________

Applicants requesting funds to place equipment or temporary facilities, modify structures, or to alter existing infrastructure are required to assess the ability for the equipment, modifications, or alterations to withstand current and future climatic conditions, including potential changes in climatic conditions. The applicant shall use the best-available peer-reviewed studies and science to determine the potential climatic conditions the equipment, modifications or alterations may experience over the life-cycle of the equipment, modification or alteration funded by the grant. The applicant can rely on existing Federal Highway Administration suggestions or guidelines for placing infrastructure, or on other federally-issued guidance on assessing potential impacts of climate change.

Supplemental Information

The Applicant should attach any supplemental information that it believes will support the proposal. However, the Applicant should limit the information provided to FMCSA to what is needed to evaluate the proposed projects. Descriptions of problems and proposed solutions should not exceed 3 – 4 pages in length unless they involve the most complicated of issues.

The FMCSA advises that:

• If the Applicant is claiming indirect costs, a copy of the Applicant’s signed current approved indirect cost rate from the cognizant Federal agency should be included in the application.

• When preparing an application package, Applicants should not save each application section as an individual document. All information related to a single project request should be included in one document attached to the application package (PDF preferred).

• Budgets and other information in charts or spreadsheets should be pre-formatted for printing on standard size copy paper.

Section V: Application Review Information

The FMCSA will review all application packages for FY 2013 CVISN funding for eligibility, completeness, and timeliness of submission. The FMCSA will evaluate each of the required proposal elements: Problem Statement, Project Goal(s) and Objective(s), Work Plan, Evaluation or Monitoring Plan, Organizational Capacity, and the Budget Narrative. Reviewers will consider the below criteria and questions when reviewing each application for its impact on highway safety.

Project Narrative

Problem Statement

This section documents the need for the proposed program and describes the unmet needs the Applicant intends to address. Applicants should describe the problem and provide supporting data whenever possible. Applicants should compare data to a baseline whenever possible. All data must be properly cited and clearly presented to minimize the need for additional validation.

Evaluation Criteria: In reviewing the Problem Statement, FMCSA will consider the extent to which the Applicant has demonstrated knowledge of the problems associated with the CVISN program and clearly identified the barriers to successfully meeting the national priorities listed in this NOFA. The FMCSA may consider any or all of the following criteria in its evaluation:

1. How well does the application support applicable statutory and program requirements?

2. Does the application provide data to support the need or the problem it proposes to mitigate?

3. In considering data provided by the Applicant:

i. How well does the data support proposed CVISN activities?

ii. How well is the data quantified?

iii. Are the data sources identified and appropriate for the purposes used? To what extent?

iv. Does the application establish baseline measures or benchmarks to describe the problem statement? To what extent?

Project Goal(s) and Objective(s)

This section establishes the outcome-based goals and objectives of the grant activities and directly addresses the problem statement. The application should establish goals and objectives that are performance-based in nature and linked to increased highway safety, rather than simply identifying counts of specific activities. For example, the application may establish a percentage decrease in the number of crashes attributable to motor coaches and/or drivers as a goal or objective, rather than just include the number of safety inspections the Applicant intends to conduct, which would be included as part of the work plan. Objectives must be specific, measurable results expected within a particular grant performance period.

The FMCSA will consider the reasonableness of these goals in evaluating the application.

Further, if FMCSA awards a grant based on these project goals and objectives, it will use these Applicant-established goals to evaluate performance and for consideration in awarding future grants.

This section may explain broad themes for proposed actions and should reflect reasonable choices among alternative paths, but not identify or explain specific activities.

Evaluation Criteria: In reviewing the Project Goals and Objectives, FMCSA will consider the extent to which the Applicant describes sound program goals and objectives that are specific, measurable, and can likely be achieved during the grant period of performance. The FMCSA will also consider the extent to which the Applicant thoroughly explains why it selected the project goals and objectives to address the need(s) established in the Problem Statement. The FMCSA may consider any or all of the following questions in its evaluation:

1. How well does the project goal address FMCSA’s FY 2013 national priorities for

CVISN?

2. How well does the project goal address the Applicant’s problem statement?

3. How well does the application establish project objectives that are measureable using the data sources identified?

4. How well does the application establish project objectives that are reasonable and feasible in their scope?

Work Plan: Proposed Tasks

This section describes the various tasks and program activities the Applicant proposes to carry out using grant funds to accomplish the objectives and mitigate issues identified in the problem statement. The Work Plan must include a description of the site(s) where the work will be performed, the duration of each proposed task or activity, a list of required goods or services, the number of personnel necessary to conduct the activities, and the entire time schedule for the effort. The level of detail will vary according to the project, but should be concise and sufficient to support the project goal and justify the funding requested in the budget. This section is the core of the Applicant’s proposal.

Evaluation Criteria: In reviewing the Work Plan, FMCSA will consider the extent to which the Applicant describes tasks, activities, and timelines to achieve the project goals. The FMCSA may consider any or all of the following questions in its evaluation:

1. How well does the application describe tasks and activities that will help achieve the project objectives and mitigate the problem identified?

2. How well does the application describe the sites where the activities will be conducted

3. How well does the application describe specific goods, services, and individuals or organizations necessary for the completion of tasks to support the project goal?

4. How well does the application establish detailed and feasible timelines for each proposed task or activity?

5. How well does the application identify implementation challenges and describe how the

Applicant may overcome them?

6. How well does the application describe innovative or creative approaches to implementing the program (if applicable)?

Evaluation or Monitoring Plan

In this section the Applicant explains how it will monitor its program strategies to ensure they are being implemented as designed and achieving the desired results. Applicants should use the program performance goals established earlier in the application and identify milestone measures during the performance period to achieve those goals. Applicants could also identify process evaluation measures that describe how their organization will remain focused on implementing a quality program on time and within budget. Finally, Applicants should provide additional information regarding the outcome evaluation to detail the types of measures that will be used to document the success of the proposed project. Applicants should describe how they plan to measure the effectiveness of each activity and strategy, such as using incremental benchmarks for a multi-phased strategy to determine whether targets/milestones were met. The following factors may be used by the Applicant to evaluate performance:

• baseline data compared to new results;

• effectiveness of strategies and activities;

• monitoring plan and adjustments, as appropriate; and

• data for quarterly reports or annual update.

Evaluation Criteria: In reviewing the Evaluation or Monitoring Plan, FMCSA will consider the extent to which the Applicant thoroughly outlines how it will monitor the effective implementation of the strategies and document the project outcomes. The FMCSA may consider any or all of the following questions in its evaluation:

1. How well does the application describe an Evaluation/Monitoring Plan that assesses the overall performance of the proposed project?

2. How well does the application utilize iterative performance measures that are quantifiable, time-specific, and realistic?

3. How well does the application describe the performance measures that support the project outcome goals?

4. Does the application include data sources that are relevant to completing the evaluation? To what extent?

Organizational Capacity

In this section the Applicant demonstrates that it has the expertise to successfully implement the stated strategies and attain its stated goal(s). Organizational Capacity includes information related to the Applicant’s organizational goals, mission statement, structure, and other information relevant to the proposed project. Providing a description of the scope of current activities as well as key elements of previous and/or other motor carrier or highway safety programs demonstrates the Applicant organization’s ability to successfully implement program requirements and meet program expectations. It is also appropriate to reference any past performance descriptions and/or operating certifications/accreditations in this section.

Evaluation Criteria: In reviewing the Organizational Capacity, FMCSA will consider the extent to which the Applicant thoroughly documents its infrastructure and other organizational information to demonstrate an ability to perform the activities proposed in the application.

This may include past performance during previous projects. The FMCSA may consider any or all of the following questions in its evaluation:

1. How well does the Applicant describe its organization, mission, and infrastructure?

2. How well does the Applicant describe its work on current or past activities for similar projects?

3. How well does the Applicant demonstrate its capability to successfully implement the proposed project?

The FMCSA may also consider the following questions, based on information contained in Agency records; Applicants may include proprietary information to support this section of their application:

4. How well has the Applicant performed in achieving its goals in prior awards from

FMCSA?

5. How effectively has the Applicant utilized proposed funds in previous grants based on remaining, unexpended balances at the end of similar efforts in previous grants?

6. What is the actual or estimated amount of funds available for expenditure from previously issued grants for projects similar to those in the application?

Budget Narrative

This section describes the costs necessary to complete the proposed tasks and achieve the project goal. The Budget Narrative should thoroughly and clearly justify or explain each Budget Category (Object Class) and follow all guidelines and limitations as provided in the application package. The budget narrative must be clear, specific, detailed, and mathematically correct; it should correspond to the information and figures on the budget forms. A well-written Budget Narrative allows the Applicant and FMCSA to understand all costs included in the budget and to monitor the expenditure of funds and determine whether the budget items are allowable for reimbursement under Federal cost principles. Where appropriate, costs per unit will be calculated and compared with national averages to determine cost-effectiveness. As appropriate, proposed costs will be compared with historical information to confirm reasonableness. The level of detail should be sufficient to justify the funding requested.

Evaluation Criteria: In reviewing the Budget Narrative, FMCSA will consider the extent to which the Applicant describes costs that are allocable, allowable, reasonable, and necessary.

The FMCSA may consider any or all of the following questions in its evaluation:

1. How well does the application provide clear explanations of the costs associated with each Budget Category (Object Class)?

2. How well does the Budget Narrative support the funds requested on the application Budget forms?

3. How accurate are the mathematical computations in the Budget Narrative and in other budget forms?

4. How well does the application demonstrate a cost-effective approach that will provide a demonstrable impact on safety as the result of grant funds?

5. Does the application describe proposed project expenditures that are:

i. Allowable under the cost principles established in this NOFA and all

FMCSA cost eligibility policies;

ii. Allocable specifically to the activities proposed by the application;

iii. Reasonable in amount and quantity for the activities proposed;

iv. Necessary to conduct the activities proposed?

6. If applicable, how accurately is an Indirect Cost Rate (IDCR) applied to the budget?

7. If applicable, how accurately are fringe benefits applied to the budget?

Funding Decisions

This is a discretionary grant program. Funding decisions may depend on the quality and completeness of the information provided. The FMCSA does not have an appeals process for unsuccessful applications for discretionary grant funds.

Section VI: Award Administration Information

Upon receipt and approval of the complete CVISN application package, FMCSA will award funding and enter into grant agreements as soon as administratively practicable. An award recipient may be required to submit a supplemental budget or project narrative based on a partial or modified grant award.

Funding amounts made available for reimbursement may be impacted by limitations placed on the spending authority and appropriations enacted for FMCSA.

Reporting responsibilities include quarterly program performance status using the Performance Progress Report (SF-PPR). The PPR should address any additional questions/factors as deemed appropriate by FMCSA.

Grantees must agree to the FMCSA Financial Assistance Agreement General Provisions and Assurances before grant funds will be awarded (see http://www.fmcsa.dot.gov/documents/chief-counsel/2012/2012-FMCSA-Grant-Provisions.pdf). These provisions require, but are not limited to, submission of quarterly financial (Federal Financial Report SF-425) and performance progress reports (PPR). For example, FMCSA anticipates that States will be required to provide the following information on a quarterly basis to support the CVISN program performance monitoring requirements regarding the number of:

• Sites equipped with e-screening functionality;

• Inspections resulting from e-screening decisions;

• Bypasses;

• New IRP transactions conducted electronically;

• New IFTA license transactions conducted electronically;

• Quarterly IFTA tax payments processed electronically;

• State FTE personnel supporting IRP transactions; and

• State FTE personnel supporting IFTA transactions.

Additional information on quarterly reports and other required forms and templates is available at http://www.fmcsa.dot.gov/safety-security/safety-initiatives/mcsap/ mcsapforms.htm.

Section VII: Agency Contact

This grant program is managed by:

Office of Safety Programs, State Programs Division Office of the Associate Administrator for Enforcement

-and - Office of Analysis, Research, and Technology Office of Research and Information Technology Federal Motor Carrier Safety Administration United States Department of Transportation

Please contact your FMCSA Division Office to obtain further information and guidance concerning project narrative requirements and development, as well as the Federal Motor Carrier Safety Regulations. For general information about CVISN funding and requirements, please contact FMCSA Headquarters.

http://www.fmcsa.dot.gov/about/contact/offices/displayfieldroster.asp

For general information about CVISN funding and requirements, please contact FMCSA Headquarters:

For questions on:

Administrative process and procedures: Technical and programmatic issues:

Julie Otto Jose Rodriguez CVISN Grant Administrative Manager CVISN Program Manager Email (preferred): julie.otto@dot.gov Email (preferred): jose.rodriguez@dot.gov Office: 202-366-0710 Office: 202-366-3517

By Mail: By Mail:

U.S. Department of Transportation U.S. Department of Transportation Federal Motor Carrier Safety Administration Federal Motor Carrier Safety Administration 1200 New Jersey Ave, SE, West Building 1200 New Jersey Ave, SE, West Building Washington, DC 20590 Washington, DC 20590 ATTN: Julie Otto (MC-ESS) ATTN: Jose Rodriguez (MC-RRT)

Section VIII: Other Information

The FMCSA Grant Programs Website: http://www.fmcsa.dot.gov/safety-security/grants/grants.aspx.

The FMCSA Grantee Resources Website: http://www.fmcsa.dot.gov/about/GRANTS/grantee-resources.aspx.

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APPENDIX A

GUIDANCE FOR DESIGNING PERFORMANCE-BASED PROJECTS

FMCSA seeks to award funding for performance-based programs. When applying for grant opportunities, Applicants should describe program goals, objectives, and outcomes before describing the specific tasks necessary to achieve them. By focusing on the outcome or impact of a program, the Applicant is better able to explain to FMCSA the need for financial assistance.

When requesting grant funding for multiple projects within a single grant application, Applicants should discuss each project individually. That is, Applicants must provide clear and concise problem statements, proposed solutions, explanations of the resources necessary to achieve the desired outcomes, and expected timelines for each project, keeping all relevant information for individual efforts separated. Applicants should address all of the components of each project, in sequence, before addressing a different project. This approach allows FMCSA to fully evaluate the merits of each project individually.

The following provides general guidance on preparing a typical Project Narrative and Budget Narrative for a discretionary grant. Please note that each FMCSA announcement will provide specific guidance regarding the format of the application, the required elements, and evaluation criteria.

I. Project Narrative

The Project Narrative section of the application is where the Applicant describes what problem or need it intends to address with grant funds, the goals and objectives the project expects to accomplish, proposed tasks and timelines, and how the effectiveness of the project design will be measured. The Project Narrative should be succinct, self-explanatory, and well-organized so that reviewers can understand each component of the proposed project. Project Narrative sections are described below.

a. Problem Statement

This section documents the need for the proposed program and describes the unmet needs to be addressed, with data clearly presented and cited. The following is a sample crash-based Problem Statement:

[COUNTY] in the northwest corridor of I-99 in [STATE], is ranked XX among the XX counties in [STATE] for the number of fatal and injury crashes among large trucks and buses.1 In the most recent five years for which data are documented (YEAR – YEAR), XX people have lost their lives due to crashes caused by [FACTOR].2 The data also suggests that [FACTOR-2] is increasing as the proximate cause of crashes during the heaviest traffic times.

Data Source(s) Fatalities by State. Fatality Analysis Reporting System (FARS), www.fars.nhtsa.dot.gov

2008 Collision Statistics. 2010 Highway Safety Funding Guideline. Page XX.

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The following is a sample of a non-enforcement-related Problem Statement:

The State of CDLandia currently conducts CDL knowledge and skills testing according to a modified version of the AAMVA 2.0 testing model. This version is no longer compliant with the Federal Motor Carrier Safety Regulations.1

Data Source(s) 1 Commercial Driver’s License Testing and Commercial Learner’s Permit Standards Rule [76 FR 26854, May 9, 2011]

b. Goal(s) and Objective(s)

This section establishes the outcome-based goals and objectives of the grant activities and directly addresses the problem statement.

Effective Goals and Objectives are:

• Specific

• Measureable

• Action-oriented

• Realistic

• Time-phased

The FMCSA will consider the reasonableness of these goals and objectives in evaluating the application. Further, if FMCSA awards a grant based on these project goals and objectives, it will use these Applicant-established goals to evaluate performance for consideration of future grants.

Sample Goal: The State of Borderland requests Federal financial assistance through the FY 2013 BEG program to reduce the number of crashes involving unsafe trucks crossing U.S.

international borders operated by foreign carriers and/or drivers. Grant funds will be used to support activities that provide targeted enforcement activities as the strategy to achieve this goal.

Sample Objectives:

1. To decrease fatalities involving vehicles entering the U.S. from a foreign country by

___%, from ____# during FY 2012 to ____# by September 30, 2013

2. To increase safety inspections of vehicles entering the US from a foreign country by

___%, from ____# during FY 2012 to ____# by September 30, 2013

3. To increase the knowledge of highway safety from a baseline of ____% to ____% among individuals attending one of the five safety enforcement education/publicity campaigns for compliance with CMV safety standards and regulations focusing on drivers of vehicles entering the US from a foreign country conducted during FY 2013

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c. Work Plan: Proposed Tasks

This section describes the various tasks and program activities the Applicant proposes to carry out using grant funds to accomplish the objectives and mitigate the issues identified in the problem statement. This section should not be based upon specific dates, but based on award date plus duration of time needed to complete each task. Vague timeframes such as “Summer 2013” are not acceptable.

Project Strategy The Applicant describes the strategy it plans to implement to achieve its

Goals and Objectives.

Project Activity The Applicant describes the activities to be performed to implement each Project Strategy, including time frames for each activity.

Note: The Applicant may implement more than one strategy to achieve the stated performance objective. In those instances, the strategy, project activity measure(s), Work Plan and Evaluation / Monitoring sections as well as the Budget Narrative should remain sequenced within the document to allow for easier review.

Sample Work Plan:

Strategy: Conduct Targeted Safety Enforcement Education Activities

Time Frame

Proposed Activity/Milestone Location

Responsible Party

Level of Effort

Award + 90 days

Identify date and locations to begin safety…