FY 2016 CVISN NOFA as posted 4Dec15.pdf

FY 2016 CVISN NOFA Page 1 of 52 December 2015

U.S. Department of Transportation

Federal Motor Carrier Safety Administration

Fiscal Year 2016

Commercial Vehicle Information Systems and Networks Grant Program

Notice of Funding Availability

Announcement Type: Discretionary Grant

Catalog of Federal Domestic Assistance Number:

20.237

Program Purpose:

The Commercial Vehicle Information Systems and Networks (CVISN) grant program provides funding for States to advance technological capability and promote the deployment of intelligent transportation systems (ITS) applications for commercial vehicle operations (CVO), including commercial motor vehicle (CMV), commercial driver, and carrier-specific information systems and networks. These ITS/CVO applications include the real-time sharing of CMV safety data between FMCSA and CVISN States, online permitting and credential payment systems between States and motor carriers, electronic safety and credential screening of CMVs past weigh stations with the vehicles in motion, regional truck parking availability and reservation systems, and active work zone notification and routing systems for CMVs.

FY 2016 CVISN NOFA Page 2 of 52 December 2015

Eligibility Information:

The FMCSA may award CVISN funds to agencies of States, the District of Columbia, the Commonwealth of Puerto Rico, the Commonwealth of the Northern Mariana Islands, American Samoa, Guam, and the U.S.

Virgin Islands.

Program authorizing Statute of Public Law 109- 59, Section 4126(e) of the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users requires that, to be eligible for a CVISN grant, a State must satisfy certain eligibility requirements: (1) the State must have an approved CVISN plan, which is the program plan; (2) the State’s grant application proposal is consistent with national standards and promotes interoperability and efficiency with other State and national systems; and (3) the State agrees to execute interoperability tests to demonstrate to FMCSA that its systems conform with national standards.

Thus, eligible CVISN entities include the lead State agencies responsible for the CVISN program plan, State agencies named in the CVISN program plan that have a memorandum of understanding with the lead State agency, or State agencies that have otherwise demonstrated that they meet the three requirements, including certification that its grant proposal will be interoperable with its other State CVISN systems.

Individuals and businesses are not eligible to apply.

Application Due Date:

March 3, 2016 (11:59 P.M. Eastern Standard Time)

FY 2016 CVISN NOFA Page 3 of 52 December 2015

A. CVISN Grant Program Description

The Federal Motor Carrier Safety Administration (FMCSA) announces this Fiscal Year (FY) 2016 Commercial Vehicle Information Systems and Networks (CVISN) program Notice of Funding Availability (NOFA) to solicit applications from State agencies, including the District of Columbia and U.S. territories (State). A State must satisfy certain eligibility requirements:

(1) the State must have an approved CVISN plan, which is the Program Plan; (2) the State’s grant application proposal is consistent with national standards and promotes interoperability and efficiency with other State and national systems; and (3) the State agrees to execute interoperability tests to demonstrate that its systems conform with national standards. Thus, eligible CVISN entities include the lead State agencies responsible for the CVISN program plan, State agencies named in the CVISN program plan that have a memorandum of understanding with the lead State agency, or State agencies that have otherwise demonstrated that they meet the three requirements, including certification that its grant proposal will be interoperable with other State CVISN systems. Individuals and businesses are not eligible to apply.

The FMCSA provides CVISN funds to advance technological capability and promote the deployment of intelligent transportation systems (ITS) applications for commercial vehicle operations (CVO), including commercial motor vehicle (CMV), commercial driver, and carrier-specific information systems and networks. These ITS/CVO applications include the real-time sharing of CMV safety data between FMCSA and CVISN States, online permitting and credential payment systems between States and motor carriers, electronic safety and credential screening of CMVs past weigh stations with the vehicles in motion, regional truck parking availability and reservation systems, and active work zone notification and routing systems for CMVs. Please see FMCSA’s annual CVISN report for additional information on state level activities using these grant funds. See:

http://ntl.bts.gov/lib/55000/55000/55044/2014_CVISN_Annual_Report_Final_May_18_2015.p df

CVISN funding is authorized based on authorities provided in the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU), Pub. L. No. 109-59, §§ 4101(c)(4) (2005), as amended by Moving Ahead for Progress in the 21st Century (MAP-21), Pub. L. No. 112-141, §§ 32603(c) and 32605 (2012), as extended by the Surface Transportation Extension Act of 2015Part II (HR 3396) (December 4, 2015). The CVISN program is governed by 49 United States Code (U.S.C.) section 31106, Historical and Statutory Notes, as amended.

B. FY 2016 CVISN Program Project National Priorities

The FMCSA will first fund projects that advance States towards meeting core deployment status (Appendix B). Remaining funds will then be awarded for expanded CVISN deployment projects, and, finally, for core or expanded maintenance projects (e.g., memberships, fees, dues, and other related program maintenance costs). Applications requesting funds for membership fees, dues, and other program maintenance costs will receive a lower priority than application for deployment projects. Additional information about the types of grants is included in Section C.

The CVISN website is also available at http://www.fmcsa.dot.gov/information-systems/cvisn/commercial-vehicle-information-systems-and-networks-cvisn

FY 2016 CVISN NOFA Page 4 of 52 December 2015

Priority funding consideration will be given to applications that:

1. Deploy or Enhance the Commercial Vehicle Information Exchange Window (CVIEW).

The CVIEW is an integral part of the CVISN program and is a key mechanism through which agencies within a State can share commercial vehicle credential and safety information among themselves and with other jurisdictions across the country. The importance of this interstate data exchange to roadside enforcement and credential administrations enables numerous critical safety programs to check for high risk carriers and Federal out-of-service orders. This also provides real-time electronic screening of interstate vehicles for Safety, International Fuel Tax Agreement (IFTA), International Registration Plan (IRP), Oversize/Overweight Permits, and other compliance information critical to a State’s safety program. NOTE: Only with all States deploying and maintaining CVIEWs, can CVISN’s exponential safety and productivity benefits be fully realized!

2. Maintain or Improve CVISN-related Data Uploads. The purpose of these projects is to improve credentialing data quality when information is uploaded from the State to the Safety and Fitness Electronic Records (SAFER) system. Applications should include projects that ensure CVIEW applications capture updates sent to the SAFER system on a daily basis and should describe the measures to ensure the accuracy and quality of the data exchanged, promote efficient system communication, and prevent system corruption or performance degradation. All Core CVISN performance measures related to credential administration and safety information exchange must be maintained to remain core-deployed (certified).

3. Implement, and Improve, CVISN Safety, Quality, and Productivity Performance Metrics. Projects that directly support the collection and reporting of FMCSA-defined CVISN performance metrics: 1) time savings and efficiency benefits from safety information exchange; 2) time and cost savings from electronic credentialing systems; 3) volume and percentage of electronic credentials conducted; 4) volume and percentage of electronic screening bypasses vs inspections; 5) data quality improvements in terms of achieving and maintaining a minimal error rate per several thousand uploads; and 6) safety, efficiency, and environmental benefits from electronic screening and smart roadside systems.

4. Research, Test, and Deploy Workzone and Incident Electronic Notification Systems.

These projects are only eligible for expanded CVISN States. The purpose of these projects is to implement an in-cab alert system that will notify the commercial motor vehicle (CMV) driver of an active work zone, traffic congestion, or an incident ahead. The alert system must be able to be broadcasted through the CMV’s transponders, electronic on-board systems, cell phones, and/or motor carrier routing and dispatching systems.

FY 2016 CVISN NOFA Page 5 of 52 December 2015

C. 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:

$25,000,000

Anticipated Number of Awards: 25

Expected Amounts of Individual Awards (based on previous year estimates):

Award Ceiling: $2,500,000

Award Floor: $25,000

Anticipated Start Date/Period of Performance:

Upon execution of a Notice of Grant Award through the award’s end date.

NOTE: when requesting a period of performance on the SF-424 application form, applicants should carefully consider how long it will take to complete the grant’s activities and objectives. An application requesting a realistic and feasible four-year period of performance is preferable to an application requesting a two-year period of performance that results in a grant with multiple extension requests.

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

Application Type:

Applications are for new FMCSA awards only.

Activities for supplementing existing continuing projects are not eligible.

The fifty percent (50%) required State match must be eligible CVISN grant expenses for which Federal funds would be available and shall not be from funds the State spends on other CVISN-related projects or programs.

FY 2016 CVISN NOFA Page 6 of 52 December 2015

D. CVISN Grant Program Eligibility Information

There are five types of CVISN grants: 1) core or expanded Program Plan/Top Level Design (PP/TLD) development grants; 2) core deployment grants; 3) expanded deployment grants; 4) core maintenance grants; and 5) expanded maintenance grants. The table below outlines eligibility requirement for each of the 5 types of CVISN grants:

Type 1: Core or Expanded PP/TLD Development Grants

Purpose Eligibility Requirements

Provide management framework and system architecture to guide CVISN deployment – and – Advise policy and decision makers regarding the funding and technical resources required for successful CVISN implementation.

For States that have not yet met core deployment and based on SAFETEA-LU and its predecessor authorizing statute (the Transportation Equity Act for the 21st Century), FMCSA may not award an aggregate total in excess of $2.5 million in core deployment grants to a State. Contact the FMCSA Grants Management Office (GMO) if you need information regarding this eligibility requirement.

A State may not apply for a PP/TLD development grant and a grant to carry out the activities in the PP/TLD in the same grant.

Type 2: Core Deployment Grants

Purpose Eligibility Requirements

Carry out CVISN capabilities in the areas of safety information exchange, credentials administration, and electronic screening. Some examples of projects include (but are not limited

to) inspection reporting, electronic processing of fees, screening transponder-equipped trucks automatically pass roadside inspection stations at highway speeds.

To be eligible for a Core deployment grant, your organization:

Shall have a CVISN PP/TLD approved by

FMCSA;

Shall certify that deployment activities are consistent with the national Intelligent Transportation Systems (ITS) and CVISN architectures/standards, promote interoperability and efficiency;

Shall agree to execute FMCSA interoperability tests to verify that State systems conform with the national ITS architecture, applicable standards, and protocols;

Shall have an MOU with the Lead Agency (if applicable); and

FY 2016 CVISN NOFA Page 7 of 52 December 2015

Shall coordinate all projects/activities with Lead Agency (if applicable).

You must submit the most recent PP/TLD and FMCSA PP/TLD approval letter along with your application materials for FMCSA review. An applicant can submit an updated (not approved) PP/TLD in their application package HIGHLIGHTING the cover page to reflect AMENDED and highlighting any changes to the previously approved PP/TLD. If FMCSA does not approve the changes reflected in the PP/TLD, the applicant will have an opportunity to resubmit with required modifications before award.

Under SAFETEA-LU and its predecessor authorizing statute (the Transportation Equity Act for the 21st Century), FMCSA may not award an aggregate total in excess of $2.5 million in core deployment grants to a State.

Type 3: Expanded Deployment Grants

Carry out capabilities that exceed the requirements of core deployment, improve safety and productivity of commercial motor vehicle operations, and enhance transportation security.

Note: A State with a Commercial Vehicle Information Exchange Window (CVIEW) system (or equivalent) that is offline, and/or not uploading complete accurate data, is no longer considered to have completed core deployment and therefore is not eligible to apply for a CVISN expanded deployment grant until the CVIEW is back online. All elements of Core certification shall be maintained to be eligible for Expanded Deployment Grants.

To be eligible for an expanded deployment grant, your organization must first become core-deployed (certified):

Shall have a CVISN PP/TLD approved by

FMCSA

Shall certify that deployment activities are consistent with the national Intelligent Transportation Systems (ITS) and CVISN architectures/standards, promote interoperability and efficiency; and

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

Shall have an MOU with the Lead Agency (if applicable);

Shall coordinate all projects/activities with Lead Agency (if applicable), or

Verify there is no duplication of effort between State agencies.

Upon completion of core deployment, the maximum amount a State may receive for an expanded deployment

FY 2016 CVISN NOFA Page 8 of 52 December 2015 grant in any fiscal year is $1 million.

States must submit EITHER the most recent PP/TLD or the most recent FMCSA PP/TLD approval letter along with the application materials for FMCSA review. An applicant can submit an updated (not approved) PP/TLD in their application package HIGHLIGHTING the cover page to reflect AMENDED, and highlighting any changes to the previously approved PP/TLD. If FMCSA does not approve the changes reflected in the PP/TLD, the applicant will have an opportunity to resubmit with required modifications before award.

Type 4: Core Maintenance Grants

Allow funding for memberships, fees, dues, and other related program costs that maintain or support Core deployment activities.

For States that have not yet met core-deployment:

You must have a Core PP/TLD approved by FMCSA to be eligible for core maintenance funds.

Type 5: Expanded Maintenance Grants

Allow funding for memberships, fees, dues, and other related program costs that maintain or support Core or Expanded deployment activities.

For States that have met core-deployment: You do not have to submit an expanded PP/TLD to be eligible for a maintenance grant.

E. Application and Submission Information

The FMCSA utilizes Grants.gov (www.grants.gov) for accepting program applications. All FY 2016 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.

FY 2016 CVISN NOFA Page 9 of 52 December 2015

The FMCSA cannot evaluate applications received without the complete set of required forms and attachments; all required elements and documents must be submitted. A checklist showing each required document and its source is located in Appendix A.

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 Thursday, March 3, 2016. 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.

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, but prior to the due date, 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.

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.

FY 2016 CVISN NOFA Page 10 of 52 December 2015

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.

F. Application Submission Content and Format

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.

Application Project Plan Narrative Content and Format:

1. Introduction: Include a description of CVISN grant type, the goal(s) of the application and the applicable program priority(ies) met by the application’s projects. Include in this introduction a summary of past CVISN grant awards, and whether this application has dependencies on those previous awards. Also 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 goal of this project is to expand the State’s E-Screening capabilities by installing

10 virtual weigh stations (VWS) to include DOT# and Optical Character Reading technology that will query the State’s CVIEW for inspection decisions based on given criteria. This project can be found in our approved PP/TLD on page XX.

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] has seen an increase in commercial vehicle traffic without corresponding increase in staff levels over the past several years – some of it is pass-thru traffic and others due to new business and expansions. There is a need to monitor traffic along high crash corridors in the State and ensure that noncompliant carriers are identified and subsequently inspected in order to provide targeted enforcement and enhance safety screening.

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.

FY 2016 CVISN NOFA Page 11 of 52 December 2015

NOTE: If you are asking for funding for a physical project, please include the Geographic Information System (GIS) coordinates (Lat/Long) of that project. Example:

[The Applicant] will install 10 virtual weigh stations (VWS) with E-Screening technology along designated high crash corridors and by-pass locations in an effort to identify high risk carriers with limited resources. The VWS is estimated to produce a XX percent increase in identifying OOS carriers and a XX percent reduction in crashes along instrumented corridors and routes. The GIS coordinates for the VWS’ are as follows; #1 is located at xx degrees Latitude/yy degrees Longitude.

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

[The Applicant] will maximize its limited resources with the ability to target non-compliant carriers thru the use of technology enhanced screening decisions, thus allowing compliant carriers to by-pass inspection areas.

[The Applicant] will provide additional training to officers in how to use the installed technology to detect non-compliant carriers.

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, carrier contacts, inspections, 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 track the installation of the 10 VWS with the use of the project milestones outlined in the accepted project plan.

[The Applicant] will train all CMV enforcement personnel in the use of the new technology before the Go-Live date as outlined in the project plan.

[The Applicant] will collect baseline, or “Before” data, to be used for measurable comparisons to data collected “After” the VWS is deployed.

[The Applicant] will continually monitor:

o Number of crashes/injuries/fatalities as a result of focused enforcement on high-risk operators o Improved compliance with weight and safety regulations o Reduced congestion at inspection areas

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 C.

FY 2016 CVISN NOFA Page 12 of 52 December 2015

G. 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.

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.

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

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!

FY 2016 CVISN NOFA Page 13 of 52 December 2015

Grants.gov application kit.

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

9. Most Recent PP/TLD: The State’s approved PP/TLD (with FMCSA approval letter if applicable), is attached. Applicant generated and attached to the Grants.gov application package.

10. 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 C.

11. 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 is not claiming indirect costs.

12. 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 2016 NOFA, you do not need to send a new one.

13. Standard Title VI/Non-Discrimination Assurances: This self-certification assurance ensures that the applicant will comply with the appropriate acts, regulations, and other pertinent directives, circulars, policy, memoranda, and/or guidance to ensure that no person in the United States shall, on the grounds of race, color, national origin, sex, age, disability, low-income, or Limited English Proficiency be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under any program or activity for which the applicant receives Federal financial assistance from FMCSA. The Standard Title VI/Non- Discrimination Assurances is located in Appendix D and on Grants.gov in the “Full Announcement” tab. This form is required and submitted by the applicant into Grants.gov.

If you have already sent in a Standard Title VI/Non-Discrimination Assurances to FMCSA in response to a FY 2016 NOFA, you do not need to send a new one.

FY 2016 CVISN NOFA Page 14 of 52 December 2015

14. CVISN-Specific Attachment

Each applicant must review, sign, and return the CVISN-Specific Attachment (Attachment D) with the application. This document is a self-certification to certify that the applicant applying for FY 2016 CVISN funding meets the conditions for participation under SAFETEA-LU §4126. This section requires CVISN program organizations to certify that CVISN deployment activities, including hardware procurement, software and system development, and infrastructure modifications:

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

2. Promote interoperability and efficiency to the extent practicable; including interoperability with other State CVISN systems; and

3. Certify to execute interoperability tests developed by the FMCSA to verify that systems conform with the national intelligent transportation systems architecture, applicable standards, and protocols for CVISN.

H. 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 C.F.R. §§ 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.

A list eligible core and expanded CVISN grant program activities/costs are included in Appendix B. Generally, allowable costs under the CVISN grant include, but are not limited to: 1) salaries, wages, and fringe benefits of the personnel associated within the funded project; 2) equipment related to information technology hardware and software (whether it will be purchased or leased); 3) contractor support and consulting services, data acquisition, storage, and analysis that are specifically identifiable as CVISN program-related to develop a database to coordinate resources and improve efficiency; 4) travel related to project objectives; 5) ongoing CVISN-related operations and maintenance (O&M) costs, system maintenance and licensing fees, and CVISN-related memberships and fees related to maintain electronic screening and data clearinghouse functionality.

I. CVISN Match Requirements—

The CVISN projects supported by FMCSA grants require a 50 percent match/cost share. Thus, for each dollar awarded in a grant, a State must provide a matching dollar from State and/or private sources. Sources of matching funds must financially support the same CVISN-

FY 2016 CVISN NOFA Page 15 of 52 December 2015 eligible project proposed for Federal funding in the application. Match must be clearly identified for each project within the application.

Grantees may only match the project with non-Federal funds that support the respective core projects and expanded project(s) that are funded with the respective grants. In other words, the grantee is limited to using match that supports the specifically funded projects and shall not use financial support from one non-Federally funded project to meet the match requirements of the Federally-funded project. Additionally, over match from one Federally-funded project in one fiscal year, cannot be utilized to meet the required match in another Federally funded project in a different fiscal year.

Funding from any other FMCSA financial assistance programs (e.g., Motor Carrier Safety Assistance Program, Performance and Registration Information Systems Management, and Safety Data Improvement Program) may not be used as a match for a CVISN grant. The total Federal share of CVISN-related project supported by other grant sources may not exceed 80 percent of the project costs, and applicants must certify to this in their applications; however, if other Federal grant sources are used as match in any particular project, it must be for expenses that support that project for which it is used to meet the match requirement. States may not use other Federal funds to make up any part of the match for CVISN projects, unless the authorization or appropriation language for the funding states that the funds may be used as matching funds and the funds are used in that project. Proposed matching funds from another Federal source must be included in the application and approved by FMCSA prior to use.

J. 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:

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 applications to determine the extent to which:

Proposed methodology meets the stated objectives of the notice of funding availability;

Proposed work identifies and/or makes progress on new/existing concepts; and

FY 2016 CVISN NOFA Page 16 of 52 December 2015

Proposed work is based on sound principles to gauge performance and project success.

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

Adequacy and feasibility of the approach to achieving the notice of funding availability’s stated objectives;

Appropriateness, rationale, and completeness of the proposed statement of project objectives; and Adequacy of the proposed project schedule, staffing plan, and proposed travel or other costs identified by the program office.

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

Clarity, completeness, and appropriateness of the application management plan in establishing a credible project and how it will be implemented and managed;

Clarity, logic and effectiveness of project organization, including subgrantees, to successfully complete the project; and Adequacy and availability of proposed personnel, facilities and equipment to perform project tasks.

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

FY 2016 CVISN NOFA Page 17 of 52 December 2015 initial insight to project-related risk, beyond those dealing with technical uncertainty, which is considered prior to recommendation.

Reviewers will evaluate CVISN 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 a particular cost category 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 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 CVISN 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;

FY 2016 CVISN NOFA Page 18 of 52 December 2015

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.

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. CVISN program-aspects include:

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

Efforts that are complementary and/or duplicative, 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.

K. 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. An applicant may be required to submit a supplemental budget or project narrative based on a partial or modified grant recommendation. The FMCSA does not expect to make final awards prior to August 2016. Any contact made by FMCSA with an applicant shall not be inferred as a precursor to a final award at any level or that an award will made after questions are responded to, or additional documents are provided by, the applicant.

FY 2016 CVISN NOFA Page 19 of 52 December 2015

L. 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. The FMCSA may not award grants or release information concerning application recommendations until FMCSA Administrator approval is obtained.

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 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). Applicants must agree to the terms and conditions before grant funds will be awarded. A copy of the 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 2016. 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 2016 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. The FMCSA will notify grantees when the GrantSolutions functionality is available.

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 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.

FY 2016 CVISN NOFA Page 20 of 52 December 2015

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 to notify those applicants who were not funded. The FMCSA does not have an appeals process for unsuccessful applications for discretionary grant funds.

M. Agency Contact—

For regarding information within this NOFA, please contact the 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

N. 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.

The FMCSA plans to conduct a pre-funding conference(s) for all prospective applicants on

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

FY 2016 CVISN NOFA Page 21 of 52 December 2015 the spending authority and appropriations enacted for FMCSA. The 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…