FY 2015 SAD NOFA as posted.pdf

FY 2015 SaDIP NOFA Page 1 of 28 September 2014

U.S. Department of Transportation

Federal Motor Carrier Safety Administration

Fiscal Year 2015 Safety Data Improvement Program Grant Notice of Funding Availability

Announcement Type: Grant

Catalog of Federal Domestic Assistance Number:

20.234

Program Purpose:

The Safety Data Improvement Program is a Federal discretionary grant program that provides financial and technical assistance to States to facilitate the collection of accurate, complete, and timely data on all large commercial truck and bus crashes and roadside inspections.

Eligibility Information:

State departments of public safety, departments of transportation, or State law enforcement agencies in any of the several States of the United States, the District of Columbia, and the Commonwealth of Puerto Rico, any territory or possession of the United States, or any agency or instrumentality of a State exclusive of local governments. The term does not include any public and Indian housing agency under United States Housing Act of 1937.

Application Due Date:

November 17, 2014 (11:59 P.M. Eastern Standard Time)

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A. Safety Data Improvement Program Grant Description

The Federal Motor Carrier Safety Administration (FMCSA) announces this Fiscal Year (FY) 2015 Safety Data Improvement Program (SaDIP) grant Notice of Funding Availability (NOFA) to solicit applications from State departments of public safety, departments of transportation, or State law enforcement agencies in any of the several States of the United States, the District of Columbia, and the Commonwealth of Puerto Rico, any territory or possession of the United States, or any agency or instrumentality of a State exclusive of local governments. The term does not include any public and Indian housing agency under United States Housing Act of 1937. The FMCSA provides SaDIP funds to allow eligible recipients that collect, analyze, and report large truck and bus crash and inspection data to improve the quality of the commercial motor vehicle (CMV) data reported by States to FMCSA. Specifically, applications are sought that will improve the timeliness, efficiency, accuracy, and completeness of State processes and systems.

SaDIP funding is authorized by the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users, Pub. L. No.109–59, § 4128, as amended by Moving Ahead for Progress in the 21st Century (MAP-21), Pub. L. No.112–141, §§ 32603(c) (2012). As described in 49 United States Code (U.S.C.) section 31100, notes. The MAP-21 authorization expires on September 30, 2014. The FMCSA Grants Management Office (GMO) will make changes to the announcement via Grants.gov if there are statutory changes to the SaDIP program for FY 2015.

FY 2015 Safety Data Improvement Program Grant National Priorities—

Applicants for SaDIP funding are encouraged to address the FMCSA State Data Quality (SSDQ) map (available at http://ai.fmcsa.dot.gov/DataQuality/dataquality.asp), which reflects the quality of State crash and inspection data as measured by the accuracy, timeliness, and completeness of the large truck and bus crash and inspection data reported to FMCSA. Ratings are updated monthly and individual State performance is portrayed through a color-coded rating system based on overall performance: Green (good performance), Yellow (fair performance), and Red (poor performance).

Priority funding consideration will be given to applications that:

1. The FMCSA will give top priority to proposals received from States rated Red and Yellow on the SSDQ Map and that address a specific deficiency in the State’s ability to assure the accuracy, completeness and timeliness of CMV data reported to

SAFETYNET.

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2. Then, FMCSA will give priority to proposals received from States who describe projects that exhibit the greatest potential to improve performance within one or more SSDQ measures, including improving performance within a Green rating.

3. Finally, FMCSA will consider proposals received from States that address specific deficiencies in the State’s ability to timely and fairly address DataQs system requests for data review and improve the overall quality of crash and inspection data reported by the States to FMCSA.

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:

$3,000,000

Anticipated Number of Awards:

Expected Amounts of Individual Awards:

Award Ceiling: $200,000

Award Floor: $75,000

Anticipated Start Date/Period of Performance:

Upon execution of a Notice of Grant Award through the end date requested by the applicant.

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 80 percent (80%) of the eligible costs. There is a 20 percent (20%) matching requirement. The match shall be in-kind or cash.

C. Safety Data Improvement Program Grant Eligibility Information

In accordance with 49 U.S.C. 31100, eligible recipients for SaDIP funding are State departments of public safety, departments of transportation, or State law enforcement agencies in any of the fifty States of the United States, the District of Columbia, and the Commonwealth of Puerto

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Rico, any territory or possession of the United States, or any agency or instrumentality of a State exclusive of local governments. The term does not include any public and Indian housing agency under United States Housing Act of 1937.

Pursuant to the eligibility requirements stipulated in Section 4128 of SAFETEA-LU, applicants shall be eligible for a grant under this section if the applicant has:

1. Conducted a comprehensive audit of its CMV safety data system within the preceding two years; and

2. Developed a plan that identifies and prioritizes its CMV safety data needs and goals; and

3. Identified performance-based measures to determine progress toward those goals.

Applicants must describe, in their proposal, how they have completed each of the three eligibility requirements above. The application must explain the specific nature and scope of the audit/review of the CMV safety data system performed by the State in the preceding two years.

An audit of the Applicant’s CMV safety data and system performed by the Applicant should include the close examination and evaluation of recommendations resulting from an audit/review conducted by FMCSA (if applicable). Further, this audit may include, but is not limited to, evaluation of the SSDQ program monthly evaluation results found at http://www.ai.fmcsa.dot.gov/DataQuality/dataquality.asp.

Citing a Federally-conducted audit or the SSDQ map is not, by itself, sufficient to satisfy this requirement. The applicant must conduct its own review of the accuracy, completeness and timeliness of its CMV crash and inspection data and data systems. The Applicant must explain the findings of its review to satisfy this requirement and sign the SaDIP certification document included in the application package. Also, the Applicant must describe the interactions and dependencies within the State that impact the delivery of timely and accurate crash and inspection data to FMCSA.

SaDIP grant applications that contain costs also eligible under the Motor Carrier Safety Assistance Program (MCSAP) will not receive priority funding consideration. However, States may apply for SaDIP funds to support data quality projects that complement, but not duplicate, other data quality projects funded in part by MCSAP Basic/Incentive or High Priority grant funding.

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

FY 2015 SaDIP NOFA Page 5 of 28 September 2014 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 may not make a Federal award to an applicant until the applicant has complied with all applicable DUNS and SAM requirements and, if an applicant has not fully complied with the requirements by the time FMCSA is ready to make an award, then 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 Monday, November 17, 2014.

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.

http://www.grants.gov/web/grants/applicants/applicant-faqs/tracking-an-application.html

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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 GMO prior to resubmitting the package. Submitting changes to Grants.gov without contacting the FMCSA GMO could significantly delay application submission and may result in the application not being reviewed.

The FMCSA will consider a late application on a case-by-case basis; late applications are not automatically accepted. This means that 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 complete the application or 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 type 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] will achieve a “green” rating in crash timeliness by increasing training to local law enforcement agencies and reducing organizational barriers preventing the timely transmission of crash data to FMCSA.

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:

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[The Applicant’s] needs are to continue to focus efforts on our Electronic Crash Records System (ECRS) enhancements to improve opportunities for law enforcement to identify and record reportable large truck and bus crash data, improve the quality and quantity of reportable commercial motor vehicle (CMV) large truck and bus crash data, as well as, provide law enforcement training where needed.

[The Applicant] seeks to remedy the lack of SAFETYNET data analysis. Much of the utility of the SAFETYNET data that is available to [the Applicant] is not being obtained because of a lack of analytical capabilities.

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:

[The Applicant] will conduct up to 5 statewide trainings for law enforcement on collection of crash data and target specific CMV fields.

[The Applicant] improve Crash System Data Quality by increasing the number of electronically submitted crash reports by 5%.

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

[The Applicant] will conduct a full systems life cycle to develop and release an analytical capability to SAFETYNET (including a gap analysis, systems analysis, test plan, detailed design, user design review, prototype, prototype testing, best test, production release).

5. Performance Measurement Plan: A description of how the applicant will measure progress towards the performance objective goal, such as quantifiable and measurable outputs (hours, trainings, system updates, etc.) and in terms of performance outcomes.

The measure must include specific benchmarks that can be reported on in the quarterly progress report, if practicable, or as annual outcomes. Example:

[The Applicant] will use its own SAFETYNET data as well as the SSDQ performance to monitor performance in relation to this grant’s activities. The Applicant expects to reduce the number of crashes provided late to FMCSA by 50% by the completion of the grant.

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6. Budget Narrative: A budget narrative is a description, by budget category (object class) 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.

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 indicate up to four (4) projects requested. The applicant should clearly indicate the title of each project in the boxes provided in Column A.

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). Annotate on the form if the same individual is responsible for multiple roles.

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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.

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.

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 an FY 2015 NOFA, you do not need to send a new one.

10. SaDIP Certification Document: Each Applicant must complete the SaDIP Certification Document and attach it to the application package. This attachment certifies that the applicant meets the conditions for participation under SAFETEA-LU Section 4128, as amended by MAP-21. The FMCSA Grants Management Office (GMO) will make changes to the announcement via Grants.gov if there are statutory changes to the SaDIP program for FY 2015.

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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This document certifies that applicants are eligible to receive SaDIP funds if they have:

1. Conducted a comprehensive audit of its CMV safety data system within the preceding two years; and

2. Developed a plan that identifies and prioritizes its CMV safety data needs and goals;

and

3. Identified performance-based measures to determine progress toward those goals.

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.

Eligible SaDIP 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 per diem, expenses directly related to the enforcement of safety regulations, including vehicles, uniforms, communications and equipment, vehicle maintenance, fuel, and oil;

Indirect expenses for facilities, except for fixed scales, used to conduct inspections or house enforcement personnel, support staff, and equipment to the extent they are measurable and recurring (e.g., rent and overhead);

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 program, pro-rating the expense as applicable.

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

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

Expenses related to the improvement of real property (e.g., installation of lights for the inspection of vehicles at night) that does not materially increase the value of the property.

The FMCSA will not consider construction costs in the application. Additionally, FMCSA will not consider costs for land, buildings (facilities) or consider additions, improvements, modifications, replacements, rearrangements, reinstallations, renovations or alterations to capital assets that materially increase their value or useful life. This does not include costs for ordinary repairs and maintenance.

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 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.

Before FMCSA will pay any reimbursements for indirect costs, a current and approved indirect cost rate agreement must be in force. The FMCSA will not approve reimbursement for indirect costs if an approved indirect cost rate agreement is not in force for the period of time that the expenses are 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: 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:

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1. 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 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 SaDIP applications to determine the extent to which it:

Describes data quality project(s) that will meet the stated objectives of the NOFA to improve State-reported crash and inspection data with respect to accuracy, completeness, consistency and timeliness; and/or to improve State’s ability to timely and fairly address DataQs system requests for data review.

Includes components that address specific program priorities, specifically addressing the Applicant’s status and planned progress within the State Safety Data Quality performance measures and the Applicant performance in addressing Requests for Data Review (RDR) in a timely manner; and, Proposes work based on sound principles of project, data and/or information technology management and will likely result in project success.

TRP reviewers will also evaluate SaDIP applications to determine the extent to which it describes specific data quality activities that support the objective of the program. In evaluating this, the reviewers will consider whether:

Staffing resource allocation is sufficient to achieve the program objectives;

The Applicant addresses all parties responsible for data quality within the State, and how these organization must work together for the success of the project(s) related to this grant application;

All equipment, training, and travel components are clearly linked to the project goal; and, Proposed expenditures are allowable, reasonable in amount and clearly necessary to conduct the activities.

Finally, TRP reviewers will evaluate SaDIP applications to determine the extent to which it describes a plan that:

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Includes clearly-identified performance goals and measurements (such as percentages of inspections uploaded on-time, etc.); and

Includes creating a baseline and monitoring and evaluation 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 criterion, convincingly demonstrates that it will meet the Government's performance requirements, and demonstrates minimal or no weaknesses.

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

Somewhat Responsive: Applicant addresses most aspects of the criterion 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 criterion 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, the cost realism of the budget estimate, appropriateness and reasonableness of resources, and reasonableness and feasibility of the schedule relative to the application timeline. Importantly, the budget evaluation provides initial insight to project-related risk, beyond those dealing with technical uncertainty, which is considered prior to recommendation.

Reviewers will evaluate SaDIP 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;

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

Costs in a particular cost category have been properly identified as allowable, with the necessary detail for its use, and not duplicative to the other budget line items.

3. Federal Awarding Agency Review of Risk Posed by Applicants. This review provides a risk assessment on each applicant’s organization. The risk assessment is conducted in several parts: 1) a debarment and suspension review that included a review of the applicant’s administrative capability self-certification form and a check against the records in System for Award Management (SAM); 2) a review of the applicant’s history with other Federal agencies in 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 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, compliance with grant terms and conditions, and results from FMCSA grant monitoring activities. Applicants with no prior FMCSA grant awards will not be eliminated from funding consideration.

Reviewers will evaluate SaDIP 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 vehicle safety issues, and likely to succeed in achieving its goals;

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Based on prior personnel and budgetary practices, and past performance, the proposed expenditures are reasonable and necessary to conduct the proposed projects and if 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:

Provide any issues or findings from monitoring activities (e.g., audit, program, or process reviews) where the applicant violated the grant terms and conditions;

Include information whether the applicant’s previous performance and financial reports were submitted late, incomplete or incorrectly; and/or has the applicant consistently requested additional time to complete the reports; and

Provide any 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 an application’s merit, budget, risk assessment, and past performance. These aspects relate to program-specific policy areas that may factor into an award recommendation. SaDIP program-aspects include:

A project or group of projects which represents a diversity of technical approaches or methods;

Efforts that are complementary, which, when taken together, will best achieve the goals and objectives;

Different kinds and sizes of organizations in order to provide a balanced programmatic effort and a variety of different technical perspectives; and

Projects with a broad or specific geographic distribution.

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 submitting 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. This contact shall not be considered as an affirmation that the applicant will be funded at any particular level

FY 2015 SaDIP NOFA Page 16 of 28 September 2014 or be funded at all. 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 begin contacting applicants and/or conducting negotiations (if necessary) on or about January 29, 2014.

The FMCSA does not expect to make final awards prior to May 2015.

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 may not 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 applicants 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). Applicants must agree to the terms and conditions before grant funds will be awarded. A copy of the FY 2014 terms and conditions is located within the Grants.gov “Full Announcement” tab. The FMCSA is updating these terms and conditions to comply with OMB requirements and will make them available, by request, in FY 2015. Contact the FMCSA GMO for additional information.

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). For FY 2015 FMCSA grant awards, recipients must use GrantSolutions to submit the SF-FFR. The recipient is required to submit the quarterly SF-PPR via email until the 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:

FY 2015 SaDIP NOFA Page 17 of 28 September 2014 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 a quarterly basis. This request must include a signed 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, 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, they 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 notifying 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 the changes.

FY 2015 SaDIP NOFA Page 18 of 28 September 2014

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 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 uses its contract authority for this program to make the effective date for this grant October 1, 2014; however, FMCSA is not responsible for any monies expended outside the scope of the grant agreement 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 SaDIP NOFA Page 19 of 28 September 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 requests contact information for the: 1) designated 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 ☐

FY 2015 SaDIP NOFA Page 20 of 28 September 2014

Appendix A— Required Documents Checklist

Document Name Document Description & Location Document Included

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

YES ☐ NO ☐

8 Project Narrative

Project narrative includes: brief introduction, problem statement, performance objective(s), program activity plan(s), and performance measurement plan(s). 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) 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 ☐

SaDIP Certification Document

Applicant must complete the SaDIP Certification Document and attach it to the application package. This attachment certifies that the applicant meets the conditions for participation under SAFETEA-LU Section 4128, as amended by MAP-21. It is located within the Grants.gov “Full Announcement” tab.

YES ☐ NO ☐

FY 2015 SaDIP NOFA Page 21 of 28 September 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 necessity of an expense;

Documents how reasonable the request is, conveys your judgment as well as the feasibility of the project in context of available and proposed resources.

Helps FMCSA review high-risk cost items to decide funding.

What different types of costs do I need to put in my budget narrative?

1. Personnel: Personnel costs are your employee salaries working directly on a project. Include the number and type of personnel, the percentage of time dedicated to the project, hourly wage, and total cost. Please note:

FY 2015 SaDIP NOFA Page 22 of 28 September 2014

This category is limited to persons employed by your organization ONLY.

Only include compensation paid for employees engaged in grant activities

Those costs should be consistent with that paid for similar types of work within the organization.

Those note employed by your agency shall be classified as subgrants or contractors. These individuals should be listed under the “Contractual” object class.

2. Fringe Benefits: Fringe costs are benefits paid to your employees, including the cost of employer’s share of FICA, health insurance, and workers’ compensation. Include how the fringe benefit amount is calculated (i.e., actual fringe benefits, rate approved by the Health and Human Services State Wide Cost Allocation Plan or cognizant agency). Include a description of specific benefits are charged to a project and the benefit percentage. Please note:

Always understand the difference between a fringe benefit and an employee benefit. A fringe benefit is applied as a percentage or dollar contribution toward the base wage (retirement, health insurance, FICA, etc.) and an employee benefit is what we colloquially call a “goodie” for working for the employer (holidays, vacation, other leave).

Note that that the personnel/salaries should have corresponding fringe...and vice versa. Therefore, FMCSA cannot pay a fringe for a position that is not listed, and vice versa. If a position will be charged to grant activities, the level of participation (Full Time or Part Time) must correspond to the fringe charged. This way, we ensure that the correct fringe is attributed to the correct grant.

You can document this fringe rate if it comes from state approved levels or other supportable sources.

It is important to explain what is included in the benefit package and at what percentage.

Fringe benefits are for the personnel and only for the percentage of time devoted to the project.

The applicant should not combine the fringe benefit costs with direct salaries and wages in the personnel category.

FY 2015 SaDIP NOFA Page 23 of 28 September 2014

3. Travel: Travel costs are funds for field work or for travel to professional meetings. Provide the purpose, method of travel, number of persons traveling, number of days, and estimated cost for each trip. If details of each trip are not known at the time of application submission, provide the basis for determining the amount requested. Please note:

Explain the reason for travel expenses for project personnel (e.g., staff to training, field interviews, advisory group meeting, etc.) and, if known, identify the location/destination of travel.

It is acceptable to enter unforeseen travel such as possible FMCSA required meetings, with estimated costs for attendance.

Provide information used in estimating the cost.

List travel and per diem separately in the budget narrative.

4. Equipment: Equipment costs only includes those items which are tangible, nonexpendable, personal property having a useful life of more than one year and an acquisition cost of $5,000 or more per unit. Include a description, quantity and unit price for all equipment. If the expense is under the usual threshold of $5,000 per item, it belongs under “Supplies”. However, if your equipment threshold is below $5,000, provide an explanation why so FMCSA understands why lower costs items are included in this line. Please note:

Purchases of less than $5,000 may be listed under “Supplies” or "Other", unless your entity’s threshold is below the $5,000 level. Additionally, common purchases like a computer system (for example, a keyboard, monitor and hard drive) is considered a unit, when purchased as a package and does not have to be listed separately but are to be placed under equipment when such package exceeds the threshold; however, if these same items are purchased individually (and not as a package), and each unit is below the threshold, they will be listed under supplies.

Software, unless its unit price exceeds the equipment threshold, is not considered Equipment and should not be listed here.

It is more appropriately listed under “Supplies”.

Each item of equipment must be identified with the corresponding cost. General-purpose equipment must be justified as to how it will be used on the…