fy2013 cdlpi nofa - as posted.pdf

United States Department of Transportation

Federal Motor Carrier Safety Administration

Fiscal Year 2013 – Commercial Driver’s License Program

Implementation Grants Notice of Funding Availability

The United States Department of Transportation’s (US DOT) Federal Motor Carrier Safety Administration (FMCSA) announces the Fiscal Year (FY) 2013 Commercial Driver’s License Program Improvement (CDLPI) grants funding opportunity. This document will assist you by providing important information about the CDLPI grants, including the FY 2013 program priorities and critical information related to preparing and submitting a grant application. All applications must be submitted through Grants.gov by 11:59 P.M. (Eastern Time) on November 13, 2012.

The Catalog of Federal Domestic Assistance (CFDA) number for CDLPI is 20.232.

Important Changes and Reminders for FY 2013:

All Applicants, even Applicants that have received previous funding, should read this entire Notice of Funding Availability (NOFA). This NOFA establishes minimum requirements for FY 2013 submissions, which have changed from previous years. Please review the entire document before submitting an application.

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

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

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

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

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

All Applicants must submit a current FMCSA Administrative Capability Questionnaire. (An Applicant need only prepare and certify one questionnaire for all FY 2013 applications, but it must be included in each grant application.)

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

The FMCSA will make award decisions based on the priorities listed in this document. There may be insufficient funds available to award requests made for other activities.

The Moving Ahead for Progress in the 21st Century (MAP-21) specifies that the Secretary of USDOT may require a State, as a condition for an award of a grant, to provide the Secretary access to all State licensing status and driver history records via an electronic information system.

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

Section I: Funding Opportunity Description

The FMCSA announces the availability of CDLPI funding as authorized by the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU), Pub. L. No. 109-59, §§ 4101(c)(1), 4124, 119 Stat. 1144, 1715, 1736- 37 (2005) as amended by Moving Ahead for Progress in the 21st Century (MAP-21), Pub. L. No.112–141, §§ 32603(c) and 32604(c)(1) (2012). The CDLPI program is governed by 49 U.S.C. 31301 and § 31313(b).

Pursuant to 49 U.S.C. 31313, eligible awardees of CDLPI funding for high priority activities and emerging issues grants can include: State agencies, local governments, and other persons.

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

i. Basic CDLPI grants – at least 80% of available funds (estimated at $24,000,000 in FY 2013) to States to achieve the Program Goals (listed below).

ii. High Priority grants – up to 10% of available funds (estimated at $3,000,000 in FY 2013) to States, local governments, and other persons for projects involving research, development, demonstration projects, public education, and other special activities and projects relating to commercial driver licensing and motor vehicle safety that are of benefit to all jurisdictions of the United States or are designed to address national safety concerns and circumstances.

iii. Emerging Issues grants – up to 10% of available funds (estimated at $3,000,000 in FY 2013) to States, local governments, and other persons to address emerging issues relating to commercial driver's license program implementation.

The FMCSA will automatically consider State applications to be for Basic CDLPI grant funding unless specifically indicated otherwise in the application. The FMCSA will automatically assign non-State applications into the High Priority or Emerging Issues categories based on its determination of the appropriate category. Non-State applicants must be able to conduct programs on a national level that will provide widespread benefit to one or more groups of CDL stakeholders. Any application from a State applied for as a High Priority or Emerging Issue project must adhere to the same criteria regarding national level work as for non-State applicants.

Program Goals – FY 2013 National Priorities

The recent enactment of MAP-21 changed the title of 49 U.S.C. § 31313(a) to read:

“Grants for Commercial Driver’s License Program Implementation”.

To achieve the goals of SAFETEA-LU and the FMCSA mission of reducing the number of crashes and fatalities involving large trucks and buses, the national priority for the FY 2013 CDLPI grant program is:

1. Compliance with the Commercial Motor Vehicle Safety Act of 1986 (CMVSA) and its amending legislation, including the Motor Carrier Safety Improvement Act of 1999 (MCSIA), SAFETEA-LU and MAP-21. Priority funding will go to those projects which are aligned to this national priority and which will bring a State into substantial compliance with 49 CFR Parts 383 and 384. Priority funding will go to the following compliance projects:

a) Elimination of existing CDL program compliance findings as listed in

FMCSA’s Automated Compliance Review System (ACRS);

b) State implementation of the Commercial Driver’s License Information

System (CDLIS) 5.2 System Specifications and State Procedures Manual (CDLIS modernization); and

c) Compliance in the following Federal Motor Carrier Safety Regulations that are not listed as findings for a State in ACRS:

1. 49 CFR § 384.205 CDLIS information

2. 49 CFR § 384.206 State record checks

3. 49 CFR § 384.231b Satisfaction of State disqualification requirement

4. 49 CFR § 384.231d Satisfaction of State disqualification requirement

5. 49 CFR § 384.209a-b Notification of traffic violations

6. 49 CFR § 384.209c Notification of traffic violations

7. 49 CFR § 384.225a-b Record of violations

8. 49 CFR § 384.201 Testing program

9. 49 CFR § 384.226 Prohibition of masking regulations

10. 49 CFR § 384.216 Second offenses.

In addition to FMCSA’s top priority for FY 2013 described above (number 1) FMCSA will consider applications from non-State entities and those States that have achieved substantial compliance with 49 CFR Parts 383 and 384 for the following projects (priorities 2 – 10):

2. That improve the accuracy, completeness, and timeliness of driver history and conviction information exchanged between law enforcement, prosecutors, the courts, employers, and State driver licensing agencies. This includes the timely transfer of licensing, conviction, and withdrawal information from one State driver licensing agency to another as required by 49 CFR § 384.207-209 as well as the timely reporting of convictions of Mexican and Canadian drivers to the Federal Conviction and Withdrawal Database;

3. That improves the accuracy of data currently in driver history databases. Data accuracy and completeness are critical to a State’s ability to comply with CMVSA, MCSIA, and SAFETEA-LU and MAP-21;

4. That increase outreach and training to the criminal justice community on the importance of properly charging, adjudicating, and sanctioning CDL holders and CMV operators for violations of offenses listed in 49 CFR § 383.51;

5. That update and improve CDL knowledge and skills tests and procedures to ensure drivers of large trucks and buses possess the knowledge and skills necessary to operate those vehicles safely;

6. That deploy support systems (not specifically related to CDLIS 5.2 programming) to support the State’s integration of the Medical Examiner's Certificate into the driver history record;

7. That implement the Military CDL Skills Testing Waiver Program in accordance with 49 CFR § 383.77;

8. That create a new, or support an existing position of a State CDL Coordinator within an State Driver Licensing Agency (SDLA). The funding for the position may not exceed an annual cost of $125,000. This includes, but is not limited to salary, fringe benefits, travel, equipment, and other expenses. Funding will only be reimbursed for time spent working on CDL activities;

9. That improve the prevention and detection of fraudulent activities through better implementation of CDL program management control and oversight practices, including overt and covert monitoring, anti-fraud identification technology, and use of automated CDL testing systems;

10. For participation in or development of an Employer Notification System that notifies employers nationwide of actions taken against CDL holders. An Employer Notification System is a system that automatically furnishes an employer with a report, generated by the appropriate agency of a State, on the change of the status of a CDL-holding employee’s license due to a conviction for a moving violation, a failure to appear, an accident, driver’s license suspension, revocation, or any other action taken against a driving privilege.

Proposed projects from both State and non-State applicants should provide a direct benefit to one or more of the following CDL stakeholders:

1. State agencies responsible for the retention and transmission of driver history records (usually the designated State driver licensing agency);

2. Other State agencies responsible for all or part of the State’s CDL program;

3. Law enforcement officers responsible for enforcing traffic violations or other offenses listed in 49 CFR § 383.51;

4. Officers of the Court responsible for prosecuting traffic violations or other offenses listed in 49 CFR § 383.51;

5. Judges that preside over traffic violations or other offenses listed in 49 CFR

§ 383.51;

6. Court clerks responsible for processing and transmitting to the State driver licensing agency information regarding the conviction of an offense listed in 49

CFR § 383.51;

7. CDL Holders; and Motor Carriers.

For Basic CDLPI grants, the FMCSA will consider applications from States for a variety of projects that are necessary, allowable, and reasonable, and will help the State achieve compliance with the provisions of 49 CFR Parts 383 and 384 as stated in Priority 1 above. For those States that are in substantial compliance with the provisions of 49 CFR Parts 383 and 384, FMCSA will also consider applications that are necessary, allowable, and reasonable, and will help generally improve the State’s CDL program. These projects must be clearly linked to the national priorities listed in this announcement and that impact one or more of the identified stakeholders.

The FMCSA encourages States to seek funding for compliance-related and other types of CDL program improvements. When considering the types of projects to apply for, State applicants should be mindful that the CDLPI grant program is not currently intended to supplement ongoing operational costs of State CDL programs. Applications for annually recurring State costs, especially similar costs provided for under previous grant awards, will receive a lower priority than those associated with compliance issues or innovative CDL program improvements.

For the High Priority and Emerging Issues grants, FMCSA will consider applications from States, local governments, and other persons that include, but are not limited to:

1. Training programs that address one or more of the above priorities. All training programs proposed should demonstrate a clear need for the training, a suitable method of delivery, a mechanism to track the number of individuals trained, and the expected benefit or outcome of the training. Training programs may be formatted to deliver content to CDL stakeholders through: in-person, live delivery, a web-based training system (either live or through user-guided modules), printed material; distributed electronic training format (e.g., videos distributed via DVDs), and by using the train-the-trainer concept. Applications for training programs should demonstrate how the applicant can reach the CDL stakeholders targeted, up to and including a national training program;

2. Programs that provide direct technical assistance to CDL stakeholders in the form of verbal or written communication, including electronic mail, during normal business hours including, but not limited to, a HelpDesk;

3. Programs that provide translation, delivery, exchange, and transmission of data directly related to CDL holders. This data can include, but is not limited to: driver history records, driver licensing status, conviction records, withdrawal records, information related to traffic crashes involving CDL holders or those required to hold a CDL;

4. Programs that provide resource or reference material to CDL stakeholders that assist in the performance of the stakeholders functions related to the national issues described above;

5. Programs that provide direct, on-site guidance or consultation to CDL stakeholders that assist in the performance of the stakeholders’ functions related to the national issues described above;

6. Programs that provide for the direct exchange of information, guidance, and best practices between CDL stakeholders including, but not limited to: in-person or web-based meetings, forums, symposiums, or working groups; and

7. National CDL stakeholder meeting(s) including, but not limited to: State CDL personnel, State information technology personnel, State commercial vehicle enforcement personnel, judges, court clerks, other officers of the court, law enforcement and other CDL program stakeholders.

NOTE: FMCSA may award a grant for an event in the first quarter of Federal Fiscal Year (FFY) 2013, provided that the event is such that it requires extensive planning and preparation during FFY 2012.

Section II: Award Information

Available Funding

i. The FMCSA expects to award as many as 51 CDLPI grants to States, including the District of Columbia, in FY 2013. The amount of available funding is anticipated to be up to $30,000,000 total, with award amounts ranging from $5,000 to $1,500,000. The FMCSA further expects to award as many as 20 grants to State agencies, local governments, or other persons (entities) in FY 2013, with award amounts ranging from $5,000 to $1,500,000.

ii. The Federal share of all funds awarded under this grant program is established by

MAP-21 as 100 percent. There are no matching or cost-sharing requirements.

However, Applicants may not receive the full amount requested. The FMCSA may contact the Applicant directly if the award amount is expected to be less than the amount requested to ensure that the project will remain sustainable with less than the amount requested. If an Applicant accepts a grant awarded under this program, it is responsible for all project expenses that exceed the awarded amount.

iii. The FMCSA expects to announce awards as soon as administratively practicable subject to availability of funds. The grant periods of performance will begin no earlier than the award date of the funds and will be determined by the project plan submitted with the application.

Cost Requirements

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

49 CFR Part 18 and/or 49 CFR Part 19 (depending on the type of Grantee);

2 CFR Part 220 (Cost Principles for Educational Institutions, Office of

Management and Budget (OMB) Circular A-21);

2 CFR Part 225 (Cost Principles for State, Local, and Indian Tribal

Governments, OMB Circular A-87); and/or 2 CFR Part 230 (Cost Principles for Nonprofit Organizations, OMB Circular A-

122).

The eligibility of specific items is subject to review by FMCSA. For assistance during the pre-application phase, Applicants may contact the FMCSA Grant Program Manager listed in Section VII of this NOFA or their local FMCSA Division Office for guidance on the cost eligibility of activities or items.

Allowable costs under the CDLPI grant include, but are not limited to, expenses for computer hardware and software, publications, testing, personnel, training, and quality control. Grants made under this program may not be used to rent, lease, or buy land or buildings.

Section III: Eligibility Information

For Basic CDLPI awards, FMCSA plans to award at least 80% of available funds to State applicants as described in Section I. These applicants include agencies in each State, including the District of Columbia, responsible for the development, implementation, and maintenance of all or part of the CDL program or that have a direct impact on a State’s compliance with the provisions of 49 CFR Parts 383 and 384. Agencies other than the lead CDL agency should coordinate, if practical, with the lead CDL agency prior to submitting an application.

Also, State applicants must:

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

383 and 384). The Secretary of Transportation may make a grant to a State under this program ONLY if it complies with or is making a good faith effort toward substantial compliance with the requirements of 49 USC 31311;

Prepare and submit to FMCSA quarterly performance and financial reports on project progress, status, and expenditures on forms as designated by the Agency.

Access to Records – Per Section 32306 of MAP-21, as a condition of receiving a grant, States must provide the Secretary of Transportation access to all State licensing status and driver history records via an electronic information system, subject to section 2721 of Title 18.

For High Priority and Emerging Issues, eligible applicants include State agencies, including the District of Columbia, local governments, or other persons (entities) capable of conducting national programs that include research, development, demonstration projects, public education, or other special activities and projects relating to commercial driver licensing and motor vehicle safety that are of benefit to all jurisdictions of the United States or are designed to address national safety concerns and circumstances.

Non-State applicants must be able to conduct programs on a national level or programs that are national in scope and impact that will provide widespread benefit to one or more groups of CDL stakeholders.

NOTE: The purpose of this grant program is to provide a benefit to the national CDL program. The FMCSA cannot award funds to individuals for personal gain. For example, the FMCSA will not award a grant to an individual to obtain the specialized training necessary to obtain a CDL. Further, the FMCSA will not award funds to private businesses for direct financial gains that do not provide a broader benefit to the national CDL program. For example, the FMCSA will not award a grant to a driving school to purchase a new tractor-trailer for CDL training. The FMCSA will only award funds to projects that have the potential to provide benefits to one or more groups of CDL stakeholders (as listed above) on a national scale.

Section IV: Application and Submission Information

Application Information

The FMCSA utilizes Grants.gov (www.grants.gov) for accepting CDLPI program applications. All FY 2013 CDLPI applications must be submitted electronically through this site. To apply, the Applicant first must complete the Grants.gov registration process.

To register, go to http://www07.grants.gov/applicants/get_registered.jsp and follow the instructions found on the Grants.gov website by selecting “Get Registered.”

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

All applications must be submitted through Grants.gov by 11:59 P.M. Eastern Time on November 13, 2012. Applications received after this time will be considered only if funds remain available after the review process for timely applications. Due to unforeseen connectivity or technical issues associated with online submission, FMCSA strongly encourages all Applicants to submit their applications well in advance to allow for additional time if needed.

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

Application Requirements

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

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

2. SF-424A – Budget Information for Non-Construction Program This is a standard budget form for requests for Federal assistance. On page 1, the Applicant may indicate up to four (4) projects requested. The Applicant should clearly indicate the title of each project in the boxes provided in Column A. Please indicate $0.00 in Columns C, D, and F as there are no Grantee-matching requirements for CDLPI funds and because there are no roll-over funds available for these grants. If there are more than four (4) projects proposed, please submit only the total for all projects on the SF-424A on Grants.gov and then provide the detailed breakdown of each project using the Excel version of the SF-424A form (located on the Grantee resources page at http://www.fmcsa.dot.gov/about/GRANTS/grantee-resources.aspx) as a supplemental form. Applicants may use as many supplemental forms as needed to provide a breakdown of each project. However, please ensure that when combined they tie to the total submitted through Grants.gov.

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

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

3. SF-424B – Assurances for Non-Construction Programs This is a standard assurances form associated with accepting Federal assistance funds.

This assurances document indicates that the Applicant organization is in substantial compliance with various programs, regulations, and Federal laws. This document should not be completed without confirmation from the appropriate agency or State official that the Applicant organization is indeed compliant. The FMCSA and other applicable Federal agencies reserve the right to request further information and/or conduct an audit to confirm compliance as indicated on this form, as provided for in the United States Code or the Code of Federal Regulations.

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

5. Attachment Forms This document is used to submit supplemental attachments to support the grant application. These attachments must include a copy of the Applicant’s approved indirect cost rate from its cognizant Federal agency or a letter indicating that the Applicant has no cognizant agency (see Supplemental Information below).

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

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

the Applicant’s Project Narrative that includes a problem statement, goals/objectives, strategies and activities, an evaluation or monitoring plan, a description of the Applicant’s organizational capacity, and a budget narrative (see Appendix A – Guidance for Designing Performance-based Projects to see a sample performance-based plan);

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

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

FMCSA Administrative Capability Questionnaire;

Key Contacts Form (see Appendix C – Key Contacts Form Instructions);

and A self-assessment of a State’s CDL program, if applicable – see

Supplemental Information.

Supplemental Information

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

The FMCSA advises that:

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

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

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

The self-assessment by the applicant of the State's CDL program (for State agencies only – if the Applicant is not the lead CDL agency, this document should be coordinated with the lead agency). This document should focus on the State’s progress towards compliance with 49 CFR Parts 383 and 384 based on known deficiencies and plans to address upcoming regulatory requirements. Other known deficiencies and program weaknesses should also be addressed. This document must indicate the total number of noncommercial driver’s licenses AND the total number of commercial driver’s licenses issued annually by type of license, and the cumulative number of each type an SDLA manages. This document should NOT provide a general history of the State’s CDL program or other information that is not directly related to the State’s application or its good faith effort towards substantial compliance.

Section V: Application Review Information

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

Project Narrative

Problem Statement

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

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

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

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

3. In considering data provided by the Applicant:

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

ii. How well is the data quantified?

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

To what extent?

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

Project Goal(s) and Objective(s)

This section establishes the outcome-based goals and objectives of the grant activities and directly addresses the problem statement. The application should establish goals and objectives that are performance-based in nature and linked to increased highway safety, rather than simply identifying counts of specific activities. Objectives must be specific, measurable results expected within a particular grant performance period. The FMCSA will consider the reasonableness of these goals in evaluating the application. Further, if FMCSA awards a grant based on these project goals and objectives, it will use these Applicant-established goals to evaluate performance and for consideration in awarding future grants.

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

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

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

CDLPI?

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

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

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

Work Plan: Proposed Tasks

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

Evaluation Criteria: In reviewing the Work Plan, FMCSA will consider the extent to which the Applicant describes tasks, activities, and timelines to achieve the project goals.

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

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

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

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

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

5. How well does the application identify implementation challenges and describe how the Applicant may overcome them?

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

Evaluation or Monitoring Plan

In this section the Applicant explains how it will monitor its program strategies to ensure they are being implemented as designed and achieving the desired results. Applicants should use the program performance goals established earlier in the application and identify milestone measures during the performance period to achieve those goals.

Applicants could also identify process evaluation measures that describe how their organization will remain focused on implementing a quality program on time and within budget. Finally, Applicants should provide additional information regarding the outcome evaluation to detail the types of measures that will be used to document the success of the proposed project. Applicants should describe how they plan to measure the effectiveness of each activity and strategy, such as using incremental benchmarks for a multi-phased strategy to determine whether targets/milestones were met. The following factors may be used by the Applicant to evaluate performance:

baseline data compared to new results;

effectiveness of strategies and activities;

monitoring plan and adjustments, as appropriate; and data for quarterly reports or annual update.

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

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

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

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

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

Organizational Capacity

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

Evaluation Criteria: In reviewing the Organizational Capacity, FMCSA will consider the extent to which the Applicant thoroughly documents its infrastructure and other organizational information to demonstrate an ability to perform the activities proposed in the application. This may include past performance during previous projects. The FMCSA may consider any or all of the following questions in its evaluation:

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

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

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

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

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

FMCSA?

5. How effectively has the Applicant utilized proposed funds in previous grants

(based on remaining, unexpended balances at the end of similar efforts in previous grants)?

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

Budget Narrative

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

Where appropriate, costs per unit will be calculated and compared with national averages to determine cost-effectiveness. As appropriate, proposed costs will be compared with historical information to confirm reasonableness. The level of detail should be sufficient to justify the funding requested.

Evaluation Criteria: In reviewing the Budget Narrative, FMCSA will consider the extent to which the Applicant describes costs that are allowable, allocable, reasonable, and necessary. The FMCSA may consider any or all of the following questions in its evaluation:

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

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

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

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

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

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

FMCSA cost eligibility policies;

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

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

iv. Necessary to conduct the activities proposed?

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

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

Funding Decisions

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

Section VI: Award Administration Information

Upon receipt and approval of the complete CDLPI application package, FMCSA will award funding and enter into grant agreements as soon as administratively practicable.

An award recipient may be required to submit a supplemental budget or project narrative based on a partial or modified grant award.

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

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

Grantees must agree to the FMCSA Financial Assistance Agreement General Provisions and Assurances before grant funds will be awarded (see http://www.fmcsa.dot.gov/documents/chief-counsel/2012/2012-FMCSA-Grant- Provisions.pdf). These provisions require, but are not limited to, submission of quarterly financial (Federal Financial Report SF-425) and performance progress reports (PPR).

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

Section VII: Agency Contact

This grant program is managed by:

Office of Safety Programs Office of the Associate Administrator for Enforcement Federal Motor Carrier Safety Administration United States Department of Transportation

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

Grant Application and Administration Questions James Ross Transportation Specialist Email (preferred): cdlgrants@dot.gov Office: 202-366-0133 Fax: 202-366-7908

CDL Program Questions Michael Gordon Lead Transportation Specialist Email (preferred): michael.gordon.2@dot.gov Office: 304-549-2651

By Mail:

U.S. Department of Transportation Federal Motor Carrier Safety Administration 1200 New Jersey Ave, SE, West Building Washington, DC 20590 ATTN: James Ross (MC-ESS) or Michael Gordon (MC-ESL)

Section VIII: Other Information

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

The FMCSA Grantee Resources Website:

http://www.fmcsa.dot.gov/about/GRANTS/grantee-resources.aspx.

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APPENDIX A

GUIDANCE FOR DESIGNING PERFORMANCE-BASED PROJECTS

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

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

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

I. Project Narrative

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

a. Problem Statement

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

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

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

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

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

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

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

b. Goal(s) and Objective(s)

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

Effective Goals and Objectives are:

• Specific

• Measureable

• Action-oriented

• Realistic

• Time-phased

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

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

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

Sample Objectives:

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

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

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

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

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

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c. Work Plan: Proposed Tasks

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

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

Goals and Objectives.

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

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

Sample Work Plan:

Strategy: Conduct Targeted Safety Enforcement Education Activities

Time Frame

Proposed Activity/Milestone Location

Responsible Party

Level of Effort

Award + 90 days

Identify date and locations to begin safety enforcement targeted education campaign (and provide day-to-day support for duration of project)

Applicant agency

Project Assistant (1)

.5 FTE

Award + 90 days

Identify Educator, locations to provide education, and any other needed resources (and provide oversight for duration of project)

Applicant agency

Project Manager (1)

.5 FTE

Award + 120

Design questionnaires for pre/post surveys

Consultant agency

Consultant (1)

100 hours

Award + 200

Conduct safety enforcement education classes and pre/post tests

Truck driving schools, trucker associations

Educators (2)

2 @ 120 hours each

Award + 330

Evaluate results of pre/post tests for safety enforcement education classes, write report

Consultant agency location

Consultant (1)

1 @ 200 hours

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d. Identification / Resolution of Challenges

This section should discuss any challenges that potentially could arise in the design or implementation of the activities described in the Work Plan.