FY 2015 CDLPI NOFA as posted.pdf

FY 2015 CDLPI NOFA Page 1 of 31 November 2014

U.S. Department of Transportation

Federal Motor Carrier Safety Administration

Fiscal Year 2015 Commercial Driver’s License Program Implementation Grant Program Notice of Funding Availability

Announcement Type: Grant

Catalog of Federal Domestic Assistance Number:

20.232

Program Purpose:

The Commercial Driver's License Program Implementation Grant (CDLPI) provides financial assistance to States to achieve compliance with the requirements of 49 CFR Parts 383 and 384, and to other eligible entities for High Priority and/or Emerging Issues projects as described below.

Additionally, the CDLPI grant program provides financial assistance for other entities capable of executing national projects that aid States in their compliance efforts and that will improve the national CDL (Commercial Driver’s License) program.

Eligibility Information:

Eligible Applicants include agencies in each State (including the District of Columbia) responsible for the development, implementation, and maintenance of the CDL program or that have a direct impact on a State’s compliance with 49 CFR Parts 383 and 384.

For High Priority and Emerging Issues funding, eligible Applicants include States (including the District of Columbia), local governments, or other persons. NOTE:

requested funding must serve a public purpose.

Application Due Date:

January 6, 2015 (11:59 P.M. Eastern Standard Time)

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A. CDLPI Grant Program Description

The Federal Motor Carrier Safety Administration (FMCSA) announces the Fiscal Year (FY) 2015 Commercial Driver's License Program Implementation (CDLPI) grant program Notice of Funding Availability (NOFA) to solicit applications from State agencies, local governments, as well as other persons and organizations representing government agencies that support CDLPI activities. The goal of the national CDL program is to reduce the number and severity of commercial motor vehicle crashes in the United States by ensuring that only qualified drivers are eligible to receive and retain a CDL. This goal focuses on maintaining the concept that for every driver, there is only one driving record and only one licensing document (commonly referred to as "One Driver — One License — One Record"). To further this concept, States are required to conduct knowledge and skills testing before issuing a CDL, to maintain a complete and accurate driver history record for anyone that obtains a CDL, and to impose appropriate disqualifications against any driver that violates certain offenses.

The FMCSA announces the availability of CDLPI funding as authorized by the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA- LU), Pub. L. No. 109-59, §§ 4101(c)(1), 4124, 119 Stat. 1144, 1715, 1736-37 (2005) as amended by Moving Ahead for Progress in the 21st Century Act (MAP-21), Pub. L. No.112–141, §§ 31313 and 32604(c)(1) (2012), as extended by The Highway and Transportation Funding Act of 2014, Pub. L. 113-159, § 1102 (August 8, 2014).

The CDL program is governed by 49 U.S.C. 31311, and the CDLPI grant program is governed by 49 USC 31313. The FMCSA Grants Management Office (GMO) will make changes to the announcement via Grants.gov if there are statutory changes to the CDLPI program for FY 2015.

FY 2015 CDLPI Grant Program National Priorities—

FMCSA’s three core principles are raising the bar to enter the motor carrier industry;

maintaining high safety standards to remain in the industry; and removing high-risk carriers, drivers, and service providers from operation. In support of this mission, FMCSA will partner with CDL stakeholders including but not limited to, State Driver Licensing Agencies, commercial motor vehicle drivers and employers, the US Armed Forces, State court officers, and multi-State partnerships.

The FMCSA will award grants under this announcement in three separate categories:

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FY 2015 CDLPI Grant Program National Priorities

Category #1 Eligible Entity

National Priority

Basic CDLPI Grants (FMCSA plans to award at least 80% of available funds (est. at $24,000,000)

States, including the District of Columbia

Applications that support the development, implementation, and maintenance of all or part of the CDL program or that have a direct impact on a State’s compliance with the provisions of 49 CFR Parts 383 and 384.

Priority is given to funding projects that will enable States to achieve and/or sustain full compliance or, in the case of a State that is making a good faith effort toward substantial compliance with the requirements of sections 31311 and 31313, to improve the implementation of its commercial driver’s license program.

Compliance with CDL regulations includes addressing existing or repeat open findings shown in the Automated Compliance Review System (ACRS) and proposed strategies for mitigating those findings. Open findings and proposed strategies should be described in the Program Overview section of the application (see Section D Application Form Requirements). The CDLPI grant program is not intended to supplement ongoing operational costs of State CDL programs. Its primary purpose is to assist States in achieving and sustaining compliance with the provisions of 49 CFR Parts 383 and 384. For this reason, funding for annually recurring State administrative costs receives a lower priority than funding associated with compliance issues or innovative CDL program improvements.

Although full compliance with FMCSA regulations and Federal statutes is the primary focus of this year’s CDLPI grant program, FMCSA also encourages applications for projects that promote partnership efforts that lead to higher levels of substantial compliance, for example:

partnerships among several states to resolve compliance issues that are common among the partner states, partnerships between State Driver Licensing Agencies (SDLAs) and courts within the same state, partnerships among SDLAs and Federal or non-federal stakeholders, partnerships among law enforcement agencies across several jurisdictions to promote CDL compliance, and/or partnerships between SDLAs and employers, including military CDL employers to ease the transition from military service and to assist veterans in obtaining a

CDL.

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Category #2 Eligible Entity

National Priority

High Priority Grants FMCSA plans to award up to 10% of available funds (est. at $3,000,000)

States, local governments, and other persons

Applications that support research, development, demonstration projects, public education, and other activities that directly relate to improving the commercial driver licensing process and increasing motor vehicle safety that are of benefit to all jurisdictions of the United States or are designed to address national safety concerns and circumstances.

The FMCSA encourages applications for projects that enhance the expertise of court officers in prosecuting, adjudicating, and transmitting CDL violations. For FY 2015, FMCSA also encourages applications for projects that facilitate the detection and prevention of fraud in the CDL process including, but not limited to, issuance, testing, record-keeping, and data reporting. In addition, FMCSA encourages projects that demonstrate partnerships between States and non-state stakeholders, as well as partnerships among several states, to achieve the stated goals of the grant program, including but not limited to organizing national or regional meetings or conferences to address persistent and common CDL compliance issues among the SDLAs. Both State and non-State applicants are eligible.

NOTE: FMCSA will assign applications received from non-State organizations as either High Priority of Emerging Issues proposals based on FMCSA’ determination of the appropriate category.

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Category #3 Eligible Entity

National Priority

Emerging Issues Grants FMCSA plans to award up to 10% of available funds (est. at $3,000,000)

States, local governments, and other persons

Applications for projects that provide: 1) training and/or technical assistance; 2) facilitate timeliness, accuracy, and completeness of data exchange; 3) offer direct guidance or consultation to CDL stakeholders on best practices; 4) support national CDL stakeholder meetings related to commercial driver licensing; or 5) that demonstrate an innovative approach with potential benefit to the nationwide CDLPI program. The FMCSA will assign applications received from non- State organizations as either High Priority of Emerging Issues proposals based on FMCSA’ determination of the appropriate category.

B. Award Information

Use the information below to help you make an informed decision about whether to submit an application.

Total Amount of Funding FMCSA Expects to Award:

$30,000,000

Anticipated Number of Awards: 45

Expected Amounts of Individual Awards (Estimates based off of previous year award amounts):

Award Ceiling: $2,000,000

Award Floor: $50,000

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Anticipated Start Date/Period of Performance:

Upon execution of a Notice of Grant Award through the awarded end date.

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

Application Type:

Applications are for new FMCSA awards only.

Applications for renewal or supplementation of existing projects are not eligible.

The FMCSA will reimburse 100 percent (100%) of eligible costs. There are no matching requirements.

C. CDLPI Grant Program Eligibility Information

All applications must support a public purpose. The FMCSA cannot award funds to individuals for personal gain (such as obtaining the specialized training required for CDL licensing) or to private businesses for direct financial gain that does not provide a benefit to the national CDL program (such as purchasing a new tractor-trailer for a driving school).

To be eligible for a Basic CDLPI Category Grant, States must:

Assume responsibility for adopting and administering State safety laws and regulations that are compatible with the Federal CDL requirements (49 CFR parts 383 and 384).

The Secretary of Transportation may make a grant to a State under this program ONLY if it complies with or is making a good faith effort toward substantial compliance with the requirements of 49 USC 31311.

As a condition of the grant per Section 32306 of MAP-21, States must provide FMCSA with access to all State licensing status and driver history records via an electronic information system, subject to section 2721 of Title 18.

The FMCSA will consider applications received from State Driver Licensing Agencies (SDLA) to be for Basic CDLPI grant funding unless the application specifically indicates otherwise. The FMCSA will assign applications received from non-State organizations as either High Priority or Emerging Issues proposals based on FMCSA’s determination of the appropriate category.

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The FMCSA cannot evaluate applications received without the complete set of required forms and attachments; all application section elements and all documents must be submitted (see next section). A checklist specifically detailing each required document and its source is located in Appendix A.

D. Application and Submission Information

The FMCSA utilizes Grants.gov (www.grants.gov) for accepting program applications. All FY 2015 applications must be submitted electronically through this site; however, Applicants requiring additional accessibility or accommodation associated with submitting this grant application should contact the FMCSA Grants Management Office (GMO). Unsolicited applications will not be accepted.

STEP #1: To apply, the Applicant must complete the Grants.gov registration process. Note that the new registration process can take as long as four weeks.

STEP #2: Every Applicant must be:

1) registered in the System for Award Management (www.SAM.gov) before submitting the application; 2) provide a valid Data Universal Numbering System (DUNS) number in its application; and 3) continue to maintain an active SAM registration with current information at all times during which it has an active Federal award or an application under consideration by

FMCSA.

The FMCSA will not issue a Federal award to an Applicant until the Applicant has complied with all applicable DUNS and SAM requirements. If an Applicant has not fully complied with the requirements by the time FMCSA is ready to issue an award, FMCSA may determine that the Applicant is not qualified to receive the award and use that determination as a basis for making an award to another Applicant.

STEP #3: The Applicant must download the grant application package from Grants.gov, complete it, and submit the completed application package with required attachments through Grants.gov on or before the deadline of 11:59 P.M. (EST) on Tuesday, January 6, 2015. 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 Grants.gov.

How do I know that my application has been received by Grants.gov?

Once Grants.gov has received your submission, they will send email messages to advise you of the progress of your application through the system.

Over the next two business days, you should receive two emails: 1) confirms application receipt by the Grants.gov system; and 2) indicates that the application has either been successfully validated by Grants.gov prior to transmission to FMCSA or has been rejected due to errors. Click here for more information.

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For Grants.gov assistance, contact:

Phone: 1-800-518-4726 (toll-free) or 606-545-5035 Business Hours: 24 hours a day, 7 days a week Closed on Federal holidays Email: support@grants.gov

Modifications to an application after it has been submitted will require a resubmission of the entire application package. The Applicant must notify the FMCSA Grants Management Office (GMO) prior to resubmitting the package. Submitting changes to Grants.gov without contacting the FMCSA GMO could significantly delay the application process and may result in the application not being reviewed.

The FMCSA will consider late applications on a case-by-case basis; late applications are not automatically accepted. A late application may be accepted if there is a large scale natural disaster or a Grants.gov system issue that threatens the timely submission of a grant application.

Problems with computer systems at the Applicant organization, failure to follow the application instructions or failure to submit the program application or complete required registrations by the submission deadline are not considered system issues.

Content and Form of Application Submission—

Applicants are not required to use the project or budget narrative format below; however, doing so helps ensure that the application meets the established minimum requirements. For all submissions, the application must be on 8.5" x 11" paper, using either the “Times New Roman” or “Arial” font in 12 point. Page margins must be at least 0.5” overall. There is no specific page limitation.

1. Brief Introduction: Include a 1-2 sentence description of the goal(s) of the application and the applicable program priority(ies) met by the application’s projects. Include in this introduction specific information about the outputs the application proposes to achieve.

For each goal identified, the Applicant must provide a problem statement, performance objective, program activity plan, and performance measurement plan. Example:

The Applicant is in full compliance with 49 CFR Parts 383 and 384 and currently has no open findings. This grant application is focused on tools that decrease highway fatalities by decreasing fraud risk and improving driver and employer awareness and compliance.

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2. Problem Statement: A brief, quantitative description of the identified problem. Include details on the data used to identify the problem and to establish the baseline; include data source, date, and explain how the applicant collects, maintains, and analyzes the data.

Example:

The Applicant proposes to implement strategies that remove barriers to compliance and improve customer confidence to ensure the continued accuracy, completeness, and timeliness of CDL data and to sustain a status of zero open findings in ACRS.

Specifically, this application requests funding to expand the existing suite of online services to add identification of CDL duplicates, driver address changes, license reinstatement, and calendared reminders about the approaching expiration of the driver’s current medical certificate. A successful pilot at the Applicant’s expense has confirmed that this approach reduces the potential for fraud and unqualified drivers being issued a CDL.

3. Performance Objective: A description of the Applicant’s quantifiable goal related to the above problem statement. This can be measured in numbers, percentages, or other forms that accurately measure the outputs and outcomes the Applicant anticipates will result from implementing the strategies and activities proposed. Example:

This application’s performance objective is strengthening CDL program control and oversight to ensure continued compliance with all current program requirements by purchasing and installing 15 Motion Computer Scoring Tablets; this technology will enforce limiting each examiner to a unique ID, and will use GPS to record and log the comprehensiveness and thoroughness of the required CDL road test. These capabilities are both considered best practices in detecting and preventing fraud.

4. Program Activity Plan: A description of the activities the Applicant believes will help mitigate the problem. Example:

Expanding the program to automate pre-trip, basic control skills, and road test scoring to all tester/examiners conducting 50 or more CDL skills tests annually by purchasing 15 tablets, providing training in using the equipment, and coordinating with the vendor and AAMVA to ensure that test results can be successfully transmitted to the Applicant.

5. Performance Measurement Plan: A description of how the Applicant will measure progress towards the performance objective goal by using quantifiable and measurable outputs and in terms of performance outcomes. The measure must include specific

FY 2015 CDLPI NOFA Page 10 of 31 November 2014 benchmarks that can be reported on in the quarterly progress report, if practicable, or as annual outcomes. Example:

The Applicant will monitor and report on the number and percentage of mid-to-high volume examiners whose tests are performed using automated scoring equipment and will increase the number of unscheduled examiner audits by 10% as compared to the previous 12-month period. The Applicant will provide status updates through quarterly progress and financial reports. The Applicant will provide a final report that includes a process evaluation describing how the project was conducted and how it met the desired objectives.

6. Budget Narrative: A budget narrative is a description by budget category (object class or type of expense) that details the costs necessary to complete the proposed projects. A well-written budget narrative ensures that the Applicant has properly documented proposed costs. The level of detail should be sufficient to justify the funding requested.

A sample budget narrative format is included in Appendix B.

NOTE FOR APPLICANTS REQUESTING EQUIPMENT: Applicants must fully describe the purpose and use of the equipment. Equipment is defined in 2 CFR Part 215 as tangible, non-expendable, personal property having a useful life of more than one year and an acquisition cost of $5,000 or more per unit. If the Applicant’s threshold is lower than $5,000, the Applicant must use its own definition of equipment and include that definition in the budget narrative. Each equipment budget narrative must contain (at a minimum):

How the equipment will be used to promote the CDLPI program;

The number and unit cost of the equipment requested;

Who will be using the equipment;

How the equipment will be pro-rated if not dedicated 100% to the grant; and, The equipment definition threshold used (Federal or State).

Application Form Requirements—

1. SF-424 – Application for Federal Assistance: Standard application form for all Federal assistance requests available in the Grants.gov application kit.

2. SF-424A – Budget Information for Non-Construction Programs: Standard budget form for requests for Federal assistance available in the Grants.gov application kit.

NOTE: On page 1 of the SF-424A, the Applicant may list up to four (4) projects requested for funding. The Applicant should clearly indicate the title of each project in

FY 2015 CDLPI NOFA Page 11 of 31 November 2014 the boxes provided in Column A. Please indicate $0.00 in Columns C, D, and F as there are no Applicant-matching requirements or roll-over funds available for these grants.

If there are more than four (4) projects proposed, please submit only 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 as a supplemental form.

The Excel version of the SF-424A is located on the Grantee resources page at:

http://www.fmcsa.dot.gov/mission/grants/sf-424a-budget-worksheet%C2%A0

3. SF-424B – Assurances for Non-Construction Programs: Standard assurances form associated with accepting Federal assistance funds available in the Grants.gov application kit. This document indicates that the Applicant organization is in substantial compliance with various programs, regulations, and Federal laws.

4. Grants.Gov Lobbying Form: Standard lobbying form available in the Grants.gov application kit for Applicants to indicate that they do/do not engage in lobbying activity.

5. SF-LLL – Disclosure of Lobbying Activities: Standard form for Applicants to report their lobbying activities available in the Grants.gov application kit. Only applies to Applicants that have lobbying activities to disclose.

6. Key Contacts Form: Form to include the individuals that will be responsible for a Federal award. It is available in the Grants.gov application kit. Contacts for three positions are required: 1) Authorized Designated Official (ADO), 2) Principal Investigator or Program Director (PI/PD); and 3) Financial Official (FO). If the same individual is responsible for multiple roles, this should be indicated on the form.

Authorized Designated Official (Authorized Signer): This individual is authorized to sign a grant award on behalf of the organization. This individual is typically the head of the organization or a designee (e.g., Colonel, Director, Commissioner, etc.).

Principal Investigator or Program Director (Program/Project Manager): This individual has daily program implementation oversight. This role is typically performed by a project/program manager (e.g., Unit Commander, Project Coordinator, etc.)

Financial Officer (Grants Manager): This individual is responsible for monitoring grant program finances and providing clarification on financial information such as budget details, Single Audits, invoice support documentation, etc. This role is typically performed by a grant, finance, or administrative/program specialist.

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7. Attachment Form: Supplemental form to submit attachments. Available in the Grants.gov application kit.

8. Indirect Cost Rate Information: If the budget includes indirect costs, attach a copy of the fully executed, negotiated agreement.

If the rate will not be approved by the application due date, attach the letter of renewal or letter of request that you sent to your cognizant agency to your application. The FMCSA does not require indirect cost rate information if the Applicant does not include indirect costs anywhere in the application’s budget.

9. FMCSA Administrative Capability Questionnaire (ACQ):

This self-certification questionnaire is used by FMCSA to assess your organization’s administrative management systems, infrastructure, policies, and resources. It is located within the Grants.gov “Full Announcement” tab.

If you have already sent in an ACQ to FMCSA in response to a FY 2015 NOFA, you do not need to send a new one.

10. CDL Program Self-Assessment (Program Overview): Applications from State agencies must include a CDL program self-assessment. This requirement applies to SDLAs only; if the Applicant is not the State’s primary CDL agency, this section of the application should be coordinated with that agency. This information must be provided within the application’s Project Narrative section. Applications that fail to include the required information will be considered incomplete and may be deferred from further review. The Program Overview is not a comprehensive description or history of the Applicant’s entire CDL program or an acceptable substitute for the compliance plan mandated by MAP-21 § 32305; guidance on preparing the required plan will be provided by FMCSA’s Commercial Driver’s License Division shortly. The Overview is a summary of key elements of the Applicant’s program, and must include the following three sections:

1. A list of all open findings in ACRS, including the finding’s citation and a brief description; the reason for the finding; the proposed resolution; and the expected date by which the finding will be closed.

IMPORTANT!

Attachment file names must be limited to the following characters:

A-Z, a-z, 0-9, underscore (_), hyphen (-), space, and period.

Using any other characters will cause the application to be rejected by Grants.gov!

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2. A list of all open CDLPI grant awards, including the award number, amount, and purpose; progress made to date in achieving the award’s objectives; and the expected date of completion.

3. The total number of noncommercial AND the total number of commercial driver’s licenses issued annually, listed separately by type.

Reminder: Applications that fail to include the required information will be considered incomplete and may be deferred from further review.

Application Cost Guidance/Funding Restrictions—

Costs charged to FMCSA grants must be in accordance with the applicable cost principles. 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 per 2 CFR §§ 200.400 through 200.475, with the exception of §§ 200.416-200.417, which include Special Considerations (only) for States, Local Governments, and Indian Tribes, and §§ 200.418-200.419, which include Special Considerations (only) for Institutions of Higher Education. Contact the FMCSA GMO for additional information.

Eligible CDLPI grant program costs include, but are not limited to:

Personnel expenses, including recruitment and screening, training, salaries and fringe benefits, and supervision. Personnel expenses included in an organization’s indirect cost rate must not be included as a direct cost in the grant budget.

Equipment and travel expenses, including but not limited to per diem expenses directly related to the enforcement of CDL regulations, vehicles, uniforms, supplies, materials, communications equipment, vehicle maintenance, fuel, and oil.

Indirect expenses for facilities, other than fixed scales, used to conduct CDL testing or program support or to house CDL personnel, support staff, and equipment to the extent that those costs are measurable and recurring (e.g., rent and overhead).

Clerical and administrative expenses, to the extent necessary and directly attributable to the grant project.

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Expenses related to the improvement of real property (e.g., refurbishing of paved areas for conducting off-road skills tests) that does not materially increase the value of the property.

Expenses related to data acquisition, storage, and analysis that are not being requested under any other FMCSA grant program’s funding, that are specifically identifiable as program-related, and that are intended to improve efficiency; the proposal should clearly demonstrate the extent to which these costs will directly benefit the grant program, pro-rating the expense as applicable.

NOTE: Applications requesting information technology funding, such as upgrades or modifications to existing software or equipment, are subject to review by FMCSA’s Office of Research and Information Technology.

The FMCSA will not approve reimbursement requests for indirect costs if an approved indirect cost rate agreement is not in force for the period of time that the indirect cost expenses are incurred.

The FMCSA will not approve pre-award costs. Pre-award expenditures are made at the

Applicant's risk. The incurrence of pre-award costs in anticipation of receiving a competing award imposes no obligation on FMCSA either to make the award or to increase the amount of the approved budget if an award is made for less than the amount anticipated and is inadequate to cover the pre-award costs incurred.

E. Application Review Information

All applications received by the due date and time are subjected to an initial intake review. This intake review determines whether: (1) the Applicant is eligible for an award; (2) the information required by the NOFA has been submitted; and (3) all program eligibility requirements described in the NOFA are satisfied. Applications that pass the intake review will be subjected to a comprehensive evaluation. Applications in response to this announcement are evaluated by a cross-discipline team: a technical review panel (TRP), grant specialists, program officers, and FMCSA staff responsible for day-to-day grant management oversight.

Each application is reviewed in the following areas:

1. Technical Review Panel (TRP) Merit Review: This review provides an independent assessment of the technical/programmatic merit of an application. At least three qualified individuals are selected to review each application to ensure diversity of perspective and knowledge. TRP individuals are selected based on their technical education and experience

FY 2015 CDLPI NOFA Page 15 of 31 November 2014 and the extent to which the individual has engaged in relevant work, the capacities in which the individual has done so, and the quality of such work.

TRP reviewers will evaluate each eligible application to determine the extent to which the application:

Describes a CDLPI project that reflects the program’s priorities and statutory requirements, and will likely achieve successful completion within the award’s period of performance.

TRP reviewers will also evaluate each eligible application to determine the extent to which it describes specific activities that support the objective(s) of the program. In evaluating this, the reviewers will consider whether:

Budget components such as staffing, equipment, training, and travel components are clearly linked to the project goal and are necessary to adequately compensate, equip, train, and enable personnel to conduct the activities included in the project plan; and, Proposed expenditures are reasonable in amount and clearly necessary to conduct the activities and do not include unallowable expenses.

Finally, TRP reviewers will evaluate each eligible application to determine the extent to which it describes a plan that:

Includes clearly-identified performance goals and measurements that are supported by an appropriate and identified data source and include benchmarks and timelines that will facilitate evaluating the Applicant’s progress towards project completion;

and

Includes a monitoring and evaluation component that indicates how the recipient will continuously ensure success of the project by evaluating performance and outcomes and making adjustments as necessary (this will also allow FMCSA and the recipient to properly monitor the grant-funded activities).

TRP members will utilize the below adjectival ratings for each component above and as a final summary determination based on all components reviewed.

Highly Responsive: Applicant fully addresses all aspects of the criteria, convincingly demonstrates that it will meet the Government's performance requirements, and demonstrates minimal or no weaknesses.

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Responsive: Applicant fully addresses all aspects of the criteria, demonstrates a likelihood of meeting the Government's requirements, but may include a few weaknesses.

Somewhat Responsive: Applicant addresses most aspects of the criteria and demonstrates the ability to meet the Government's performance requirements. However, the application contains significant weaknesses and/or a number of minor weaknesses.

These weaknesses may be addressed by recommending the award and including a specific programmatic or administrative post-award term and condition.

Not Responsive: Applicant does not sufficiently address the criteria and the information presented indicates a strong likelihood of failure to meet the Government's requirements.

2. Budget Review/Cost Analysis. This review provides an assessment of allowable costs in accordance with Federal grant requirements, including the appropriateness and reasonableness of the budget estimate and the resources to be dedicated to the project, and of the feasibility of the schedule relative to the application timeline. The budget evaluation provides preliminary insight to project-related risk, other than risks arising from technical uncertainty, which must be considered prior to recommendation.

Reviewers will evaluate applications to determine the extent to which:

Elements of work included in the application have associated budget costs and, conversely, all elements in the Applicant’s budget have corresponding work elements included in the application;

Budget costs are allowable, allocable, necessary and reasonable per Office of Management and Budget Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards; and

Costs in each cost category have been properly identified as allowable, necessary, and not duplicative of the other budget line items.

3. Federal Awarding Agency Review of Risk Posed by Applicants. This review provides a risk assessment of each Applicant’s organization. The risk assessment is conducted in several parts: 1) a debarment and suspension review that includes a review of the Applicant’s administrative capability self-certification form and a check against the records in SAM; 2) a review of the Applicant’s history with other Federal agencies in the Single Audit Clearinghouse Database; and 3) an evaluation of the Applicant’s Single Audit in accordance with the Single Audit Act. The FMCSA may, at its discretion, request further information

FY 2015 CDLPI NOFA Page 17 of 31 November 2014 and/or conduct an audit to confirm compliance as indicated on the SF-LLL – Disclosure of Lobbying Activities form, as provided for in the United States Code or the Code of Federal Regulations.

Depending on the level and severity of the Agency’s risk assessment findings, FMCSA may determine that the Applicant is not qualified to receive the award and use that determination as a basis for making an award to another Applicant. The FMCSA may also impose additional grant award terms and conditions above its customary general terms and conditions.

4. Applicant Past Performance w/ FMCSA. This review provides information that is considered as a possible indicator for predicting future performance. Many Applicants for FMCSA programs have received FMCSA funding in the past and will be evaluated against their ability to complete prior year awards on time, their compliance with grant terms and conditions, and their results from FMCSA grant monitoring activities. Applicants with no prior FMCSA grant awards will not be eliminated from funding consideration.

Reviewers will evaluate CDLPI applications to determine the extent to which:

The application is written in a manner that would allow FMCSA to monitor performance based on FMCSA reporting requirements;

The proposed project/program is reasonable in scope, adequate to address existing and emerging commercial driver’s license safety issues, and likely to succeed in achieving its goals;

Based on prior personnel and budgetary practices, and past performance, the proposed expenditures are reasonable and necessary to conduct the proposed projects and whether or not costs are allowable under applicable Federal regulations; and

The Applicant successfully performs and manages current project tasks (e.g., within budget and on schedule).

Reviewers will also:

Document any issues or findings from monitoring activities (e.g., audit, program, or process reviews) that demonstrate the Applicant’s violation of the grant terms and conditions;

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Consider whether or not the Applicant’s previous performance and financial reports were submitted late, were incomplete or incorrect, and/or if the Applicant has consistently requested additional time to complete the reports; and

Provide feedback on the application’s significance, approach, and feasibility.

5. Consideration of Program-Specific Aspects: The FMCSA will consider other aspects in the review of the application, in addition to the application’s merit, budget, risk assessment, and past performance. These aspects relate to program-specific policy areas that may factor into an award recommendation. CDLPI program-specific aspects include but are not limited to:

The extent to which a project demonstrates an innovative approach or method;

The extent to which a project complements the Applicant’s existing program or enhances its capabilities; and

The extent to which a project supports the Applicant’s potential for continued success in achieving and maintaining compliance with all CDL program requirements currently in effect or scheduled to come into effect in the near future.

The extent to which a project demonstrates an innovative approach with potential benefit to the nationwide CDLPI program.

Applicant Negotiation—

After the application review process, FMCSA may find it necessary to contact the Applicant with additional questions for clarification. The FMCSA also reserves the right to negotiate with the Applicant regarding project revisions (e.g., reductions in the scope of work, funding level, period, or method of support) prior to recommending any project for funding. An Applicant may be required to submit a supplemental budget or project narrative based on a partial or modified grant recommendation. The FMCSA expects to contact Applicants and/or conduct negotiations (if necessary) on or about March 20, 2015. The FMCSA does not expect to make final awards prior to July 2015. Any contact made by FMCSA with an Applicant shall not be inferred as a precursor to a final award at any level after questions are responded to, or additional documents are provided by, the Applicant.

FY 2015 CDLPI NOFA Page 19 of 31 November 2014

F. Award Administration Information

The FMCSA will consider the results of the reviews outlined in this NOFA, Applicant responses (if applicable) and recommend that the application: 1) be approved for award from currently available funds (in its entirety or in part); or 2) be declined due to insufficient funds or unfavorable review. Once the FMCSA Administrator approves the recommendations, they are presented to the United States Secretary of Transportation for final approval. The FMCSA may not award grants or release information concerning application recommendations until Secretarial approval is obtained.

In addition to Secretarial approval, FMCSA cannot award grants until the enactment of authorizing legislation, an appropriations act, budget authority, and apportionment from the Office of Management and Budget (OMB). The FMCSA may, at its discretion issue partial funding awards up to the level authorized and provided that the above conditions are met.

Additional information on the budget process may be found in OMB A-11:

http://www.whitehouse.gov/omb/circulars_default/.

After approval, the GMO issues the Notice of Grant Award (NGA) to the recommended Applicant via GrantSolutions (www.grantsolutions.gov), the FMCSA grant management system.

Attached to the NGA is the FMCSA Financial Assistance Agreement General Provisions and Assurances (grant terms and conditions). By accepting the award, Applicants are agreeing to the award’s terms and conditions. A copy of the FY 2015 terms and conditions is located within the Grants.gov “Full Announcement” tab.

The grant terms and conditions outline the reporting requirements that the recipient must meet after award. Reporting responsibilities include quarterly program performance status using the Performance Progress Report (SF-PPR) and quarterly financial status using the Federal Financial Report (SF-FFR, also known as the SF-425). Grantees may elect to submit financial reports by email or electronically through GrantSolutions; contact the GMO for additional information.

Grantees must submit quarterly performance reports via email until FMCSA has made the necessary GrantSolutions system modifications that will allow for electronic SF-PPR reporting.

Roll-out is scheduled in FY 2016.

Additional quarterly report information and other required forms and templates are available at:

http://www.fmcsa.dot.gov/mission/grants/grantee-resources

All FMCSA grant programs are cost reimbursable. Reimbursement means that grant funded entities must first expend their own money for activities identified in the grant application.

Entities will then be reimbursed by FMCSA for actual costs incurred. All FMCSA recipients must request reimbursement on at least a quarterly basis. This request must include a signed

FY 2015 CDLPI NOFA Page 20 of 31 November 2014

Request for Advance or Reimbursement (SF-270) and a detailed expenditures worksheet with a written explanation of how the funds were used. All costs must be in line with the approved budget, OMB cost principles, and related FMCSA and other policies. Recipients must submit requests for reimbursement electronically through the Delphi eInvoicing System (iSupplier).

Additional information is available at: http://www.dot.gov/cfo/delphi-einvoicing-system.

If an Applicant is not selected for funding, it will not receive any communication until all funding recommendations have been approved by the United States Secretary of Transportation.

At that time, FMCSA will send a letter to notify those Applicants who were not funded. The FMCSA does not have an appeals process for unsuccessful applications for discretionary grant funds.

G. Agency Contact—

FMCSA Grants Management Office (GMO):

By E-mail:

FMCSA_GrantMgmtHelpdesk@dot.gov, or

By Telephone:

(202) 366-0621

Office hours are from 9 a.m. to 5 p.m., Eastern Standard Time, Monday through Friday, except Federal holidays.

By Mail:

U.S. Department of Transportation Federal Motor Carrier Safety Administration Grants Management Office 1200 New Jersey Ave, SE, West Building Washington, DC 20590

H. Other Information—

The FMCSA may make changes or additions to this NOFA. All changes will be communicated on Grants.gov. We encourage you to sign up for Grants.gov emails so you may be notified of any changes.

Prior to the application due date, FMCSA plans to conduct a pre-funding conference(s) for all prospective Applicants. At this conference, FMCSA staff will review the NOFA requirements

FY 2015 CDLPI NOFA Page 21 of 31 November 2014 and answer questions from prospective Applicants. Information regarding a pre-funding conference will be posted on Grants.gov.

This NOFA is intended for informational purposes and reflects current planning. If there is any inconsistency between the information contained herein and the terms of any resulting funding agreement, the terms of the funding agreement are controlling.

The FMCSA is not obligated to make any Federal award as a result of the announcement.

Funding amounts made available for reimbursement may be impacted by limitations placed on the spending authority and appropriations enacted for FMCSA. The FMCSA is not responsible for any monies expended by the Applicant prior to the award of any funding agreement. Only FMCSA authorizing officials can obligate the Federal government.

An application may be withdrawn at any time before a final funding decision is made regarding the application; however, withdrawn applications normally will not be returned. One copy of each application that is not selected for funding, including those that are withdrawn, will be retained by FMCSA for a period of three years.

The FMCSA Grant Programs Website (for Applicant and Grantee resources):

http://www.fmcsa.dot.gov/mission/grants/grantee-resources

FY 2015 CDLPI NOFA Page 22 of 31 November 2014

Appendix A— Required Documents Checklist

Each document and/or certification below is REQUIRED to be considered as being responsive to this announcement. Use of the required documents checklist is encouraged as it ensures your application will proceed forward for further review. The table below lists the documents, location, and a description.

Document Name Document Description & Location Document Included

SF-424 Application for Federal Assistance

Standard application form for all requests for Federal assistance.

Available in the Grants.gov application kit.

YES ☐ NO ☐

SF-424A Budget Information for Non-Construction Programs

Standard budget form for requests for Federal assistance. Available in the Grants.gov application kit.

YES ☐ NO ☐

SF-424B Assurances for Non-Construction Programs

Standard assurances form associated with accepting Federal assistance funds. This document indicates that the Applicant organization is in substantial compliance with various programs, regulations, and Federal laws. Available in the Grants.gov application kit.

YES ☐ NO ☐

4 Grants.Gov Lobbying Form Form that allows Applicants to indicate that they do not engage in lobbying activity. Available in the Grants.gov application kit.

YES ☐ NO ☐

SF-LLL Disclosure of Lobbying Activities (if applicable)

Form that requests information related to the lobbying activities of the Applicant. Available in the Grants.gov application kit. If an Applicant completes the Grants.Gov Lobbying Form, the SF-LLL is not required.

YES ☐ NO ☐

6 Key Contacts Form

Form that requests contact information for the: 1) Authorized Designated Official (authorized signer), 2) Principal Investigator or Program Director (program/project manager); and 3) Financial Official (Grants Manager).

This form is available in the Grants.gov application kit. Available in the Grants. gov application kit.

YES ☐ NO ☐

7 Attachment Form Form used to submit supplemental attachments to support the grant application. Available in the Grants.gov application kit.

YES ☐ NO ☐

FY 2015 CDLPI NOFA Page 23 of 31 November 2014

Appendix A— Required Documents Checklist

Document Name Document Description & Location Document Included

8 Project Narrative

Project narrative includes: brief introduction, problem statement, performance objective(s), program activity plan(s), performance measurement plan(s), and a Program Overview. Applicant generated and attached to the Grants.gov application package.

YES ☐ NO ☐

9 Budget Narrative

Budget narrative includes a thorough and clear justification of each budget category (object class or type of expense) on the SF-424A.

Applicant generated and attached to the Grants.gov application package.

YES ☐ NO ☐

Indirect Cost Rate Agreement (if applicable)

Applicant’s signed current approved indirect cost rate from the cognizant Federal agency. Attached by the Applicant to the Grants.gov application package.

YES ☐ NO ☐

FMCSA Administrative Capability Questionnaire

Applicant self-certification for FMCSA to assess the adequacy of the Applicant’s administrative management systems. Completed by the Applicant and attached to the Grants.gov application package.

The questionnaire is located within the Grants.gov “Full Announcement” tab. All Applicants must submit a current FMCSA Administrative Capabilities Questionnaire if one has not already been submitted for FY 2015.

YES ☐ NO ☐

CDL Program Self- Assessment (Program Overview)

Applications from State agencies must include a CDL program self-assessment. This requirement applies to SDLAs only; if the Applicant is not the State’s primary CDL agency, this section of the application should be coordinated with that agency. Included by the applicant in application’s Project Narrative.

YES ☐ NO ☐

FY 2015 CDLPI NOFA Page 24 of 31 November 2014

Appendix B— Budget Narrative Guidance

What is a Budget Narrative?

The budget narrative explains the “what, “how” and “why” of a line item cost in carrying out grant project goals and objectives. Use these instructions to develop your application budget narrative.

What does a Budget Narrative do?

A budget narrative is a narrative explanation of each budget component which supports the costs of the proposed work. The budget narrative should focus on how each budget item is required to achieve the proposed project goals and objectives. It should also justify how budget costs were calculated. The budget narrative should be clear, specific, detailed, and mathematically correct and correspond to the SF-424A line items.

The budget narrative is one of the first places FMCSA reviews to confirm the allowability, allocability, necessity, reasonableness and consistent treatment of an item. A well-developed budget narrative is an effective management tool; a budget that doesn’t represent a project’s needs makes it difficult to recommend for funding and assess financial performance over the life of the project. The budget narrative serves a number of critical functions:

Describes your need for or the necessity of…