FY2023 CDLPI NOFO Funding Conference_02152023.pdf

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FY2023 CDLPI - Notice of Funding Opportunity (NOFO) Funding Conference Wednesday, February 15, 2023

Agenda

• Commercial Driver’s License Program Implementation (CDLPI) Grant Program Overview

• Title VI Compliance Program Information

• Priorities of the FY 2023 Notice of Funding Opportunity (NOFO)

• CDLPI Grant Project Plan Template Pilot

• CDLPI Performance Based Application Structure

• Resources and Contacts

• Q&A

Ensure that only qualified drivers are eligible and receive and retain a CDL

The CDLPI Grant Program is to…

Provide financial assistance to States and other eligible entities to aid participation in the National CDL Program

Focus on concept that each driver has only one driving record and only one licensing document

Help other entities capable of executing national projects that aid States in their compliance efforts and that will improve the success and consistency of the National CDL Program

Help States to achieve compliance with FMCSA regulations concerning driver’s licensing standards and programs

Title VI Program Compliance Plan Award Requirement (Section B)

• FY2023 Title VI Program Assurance and Compliance Plan Requirements

• The FMCSA Title VI Program Federal financial assistance award requirements consist of an annually updated Title VI Program Compliance Plan (Plan) including the FMCSA Title VI Program Assurance (Assurance)

• The technical assistance webinar for the FMCSA Title VI Program Compliance Plan Requirements is available at this link: https://www.fmcsa.dot.gov/grantswebinars

• The Assurance and Compliance Plan must be submitted to Mr. Lester Finkle, FMCSA National Title VI Program Manager for approval

• To begin this coordination, please contact Mr. Lester Finkle, FMCSA National Title VI Program Manager, at lester.finkle@dot.gov

Title VI Program Assurances and Compliance Plan must be submitted with applications and approved by FMCSA to be eligible for grant award.

https://www.fmcsa.dot.gov/grantswebinars mailto:lester.finkle@dot.gov

Priorities of the

FY 2023 NOFO

CDLPI Award Performance Goals (Section A-3)

• Data Sources

• Baseline Data – quantifiable and qualitative

• FMCSA will evaluate the applications performance goals by examining:

• State Compliance Records Enterprise System (SCORE)

• Commercial Driver’s Licensing Information System (CDLIS) reports, Driver History Reports

• Other data sources/reporting that the applicant provides as their source data baseline

• Provide database(s) name or webpage source/links in project plans

CDLPI Award Performance Goals (Section A-3)

• Performance Indicators

• FMCSA will assess the success of the goals being met by the indicators included in the project application, such as, but not limited to:

Sustained Compliance

Compliant Issuance of CDL/CLPs

Timely Driver History Record (DHR) Actions

Ensuring Data Quality

Innovative Approaches to Improving CDL

Issues

FY 2023 National Priorities (Section A-4)

• Basic Project Priorities - SDLAs

• Implementing or maintaining compliance of CDL-related regulatory rulemakings or supporting the National Roadway Safety Strategy (NRSS)

• Exclusive Electronic Exchange (EEE) of convictions and withdrawals

• Drug and Alcohol Clearinghouse II Rule

• Final rule integration of Medical Examiner’s Certification

• Lifetime disqualification for human trafficking

• Entry-level driver training (ELDT)

• Correcting and mitigating CDL regulatory compliance findings

• Identified through Annual Program Reviews and/or Internal State-led Reviews

• Improving CDL data elements timeliness, completeness, and accuracy

• SDLA partnership efforts that lead to increased compliance

• Priority given to multi-jurisdictional partnerships or partnerships with other entities

• Operation & Maintenance projects (lowest priority)

• High Priority/Emerging Issues Priorities Must be capable of executing national projects that aid States in their compliance efforts and improving the National CDL Program

• Reducing CDL skills testing delays and wait times

• Recognizing, preventing, and reporting of human trafficking

• Conducting a systemic review of a State’s CDL program to support the State’s Annual State Certification of Compliance

• Improving compliance by using proven tools or developing new tools to be utilized by SDLAs and other partners

• High Priority/Emerging Issues Priorities (contd.)

• Projects for enhancing court expertise

• Researching and/or facilitating the detection and prevention of fraud in the CDL process

• Hosting meetings and conferences to address CDL compliance issues

• Detailed budget

• Timeline for plan completion

• Detailed plan for execution

• Post-meeting final report

• Implementing or maintaining an Employer Notification System (ENS)

• Supporting an SDLA’s review and evaluation for access to CDL services in underserved communities

Federal Award Information (Section B)

Due Date: Tuesday, February 7, 2023 by 5 p.m. ET Due Date: Monday, April 3, 2023 by 5 p.m. ET

• No more than four projects per application

• Authorized up to $70,400,000

• Final funding amounts are subject to availability of funding appropriated by Congress

• Year of award, plus four fiscal years

• 9/30/2027

Funding Application Project Information

Period of Performance (PoP)

Eligibility Information (Section C-1)

Eligible Applicants

SDLAs Other State Agencies

Non-State Organizations

Federal Funding 100% - No match requirement

Content and Form of Application Submission (Section D. 2)

Application Page Limitations

Non-SDLAs

Pages

SDLAs

Pages

Performance Based Project Plan Elements

1. Brief Introduction

- SDLA Self-Assessment

2. Problem Statement

3. Performance Objective

4. Performance Activity Plan

5. Performance Measurement Plan

6. Monitoring and Timeline/Milestone Plan

7. Budget Narrative

Maximum of 5 pages each

CDL Program Self-Assessment (Section D. 2. iii)

• SDLAs required to have a CDL program assessment

• Include components outlined in the NOFO

Funding Restrictions (Section D-6)

• Bonus costs are not a necessary expense under FMCSA awards

• 2 CFR part 200, subpart E; 2 CFR 200.403-200.405

• The rent, lease, or buying of land or buildings is NOT an allowable cost

• Indirect Cost (IDC) Agreement Requirement

• 2 CFR 200.414(c)

• Current period IDC agreements must be submitted within 90 days of acceptance of the award. If not, indirect cost rate will not be reimbursed that fiscal year. It will be allowed the following fiscal year with a current period IDC agreement.

Eligibility Criteria (Section E.1.a)

Application Review Information (Section E)

Merit Evaluation Criteria

• FMCSA subject matter experts will review all eligible applications using the following Merit Evaluation Criteria:

• Technical Merit Criteria

• Budget Review/Cost Analysis Criteria

• Program-Specific Criteria

• Past Performance Criteria

• Other Review Information

• Racial Equity and Climate Change & Sustainability

Application Review Information (Section E) (contd.)

Technical Merit Criteria

1. Proposed project meets the CDL program’s priorities and requirements

2. Clearly identified performance goal(s), objectives and activities, including quantifiable baseline data, benchmarks and timelines

3. Costs linked to the project’s goals and are reasonable/necessary for the project’s success

4. Reasonable project scope; addresses existing and emerging CDL safety issues and will likely be successful during the period of performance

5. Innovative approach projects have the potential to benefit the nationwide CDLPI program

6. Clear description of how projects and tasks have been efficiently managed in the past

7. Monitoring and evaluation component to continuously evaluate performance/outcomes

Budget Review/Cost Analysis Criteria

1. Applications have associated budget costs and corresponding work elements

2. Budget costs are allowable, allocable, necessary, and reasonable per 2 CFR part 200

3. Cost within a cost category is properly identified as allowable with necessary details for use

4. Equipment, training and travel elements are linked to the project goal

5. Debarment and suspension review that includes a review of the applicant’s administrative capability self-certification form and check against records in SAM

6. Review of applicant’s comments to understand applicant’s integrity, business ethics, and record of performance under Federal awards

7. Evaluation of the applicant’s Single Audit (only applicable and Federally mandated to recipients that expended $750,000 or more in Federal awards during their fiscal year)

Program-specific Criteria

1. Extent to which the project(s) supports the NOFO priorities and CDLPI statutes

2. How the project will close a compliance finding identified in an APR, STR, or other written correspondence to the SDLA

3. Project(s) complements the applicant’s existing program or enhances its capabilities

4. Project(s) supports potential and continued success in achieving and maintaining compliance with all current and future CDL program requirements

5. Project(s) demonstrates an innovative approach with potential benefit to the nationwide CDLPI program (if applicable)

Past Performance Criteria

1. Determine the extent the applicant had any problems related to programmatic or budgeting execution

• Project/program is reasonable in scope and likely to succeed within the period of performance

• Proposed expenditures are reasonable and necessary to conduct the proposed projects

• Milestones and timeliness allow performance to be monitored

2. Were all required reporting completed as required (PPRs/FFRs/SF-270, etc.)

Applicants that have not previously received grant funding from FMCSA are not subject to this review.

Other Review Information

1. Supporting economic vitality at the national and regional level

2. Utilizing alternative funding sources and innovative financial models

3. Accounting for life-cycle costs of the project to promote the state of good repair

4. Using innovative approaches to improve safety and expedite project delivery

5. Holding grant recipients accountable for their performance with measurable outcomes

6. Consistent with the Department’s Rural Opportunities to Use Transportation for Economic Success (ROUTES) Initiative:

• The Department recognizes rural transportation networks face unique challenges

• If applicable, the Department will consider how activities proposed in the application will address those challenges

Racial Equity and Climate Change and Sustainability

1. Promoting energy efficiency

2. Avoiding adverse environmental impacts to air or water quality, wetlands, and endangered species

3. Adopting an equity and inclusion program/plan or implementing equity-focused policies

4. Improving access to or providing economic growth opportunities for underserved, overburdened or rural communities

Merit Review Rating

FMCSA prioritizes applications using the ratings below based on the applicability of the Merit Criteria and other preferences to the application.

Highly Responsive

Responsive Not Responsive

FFR & PPR Reporting (Section F-3)

• Recipients will submit Quarterly electronically through GrantSolutions:

• Federal Financial Report (SF-425)

• Performance Progress Reports (SF-PPR)

• Recipients must submit requests for reimbursement electronically through the Delphi eInvoicing System (iSupplier)

CDLPI Grant Project Plan Template Pilot

CDLPI Grant Project Plan Template Pilot

• Project plans are a critical piece of the CDLPI Grant application

• FMCSA is piloting a template to help applicants produce detailed project plans and apply for the CDLPI Grant more efficiently

The project plan template is intended to:

Help applicants produce more detailed project plans

Simplify the project plan element by providing selection options and narrative fields to address project plan requirements

Streamline the process for FMCSA’s Merit Review Process

CDLPI Grant Project Plan Template Pilot (contd.)

CDLPI Grant Project Plan Template Pilot (contd.)

We need your help!

We are looking for NINE Entities to volunteer to participate in the pilot.

The volunteers will:

Participate in a webinar where we will walk you through the template and process.

Use the template pilot to draft your project plans.

Give us feedback on the template and the process.

Your feedback will help shape the process all applicants may follow for submitting CDLPI Grant applications in the future.

If your Entity would like to pilot the template, please contact Wendy Cunningham at: Wendy.Cunningham@dot.gov

Participation in this pilot program will not adversely affect the consideration of your application. Every effort will be made to treat applications submitted through the traditional method and using the new template on equal footing.

mailto:Wendy.Cunningham@dot.gov

Performance Based Project Planning & Budgeting

Project 2 Project 3

Correction and Mitigation of CDL Regulatory Compliance Findings

Data Improvements and Timeliness

Objective 1

Correct X finding

Objective 1

Correct Missing and Broken Pointers

Objective 2

Submit convictions in a more timely manner Budget

Narrative

Project Narrative

Budget Narrative

Total Budget

Budget Narrative

Project Narrative

Total Budget

Project 1

Achieve or Maintain Compliance FMCSA Rulemaking

Application A

Objective 1

Clearinghouse-II

Objective 2

Implement Exclusive Electronic

Exchange (EEE)

Project Narrative

Budget Narrative

Total Budget

Budget Narrative

Good performance-based plans allow you to measure progress and demonstrate successful outcomes.

Project 1 Project 2 Project 3

Achieve or Maintain Compliance FMCSA Rulemaking

Correction and Mitigation of CDL Regulatory Compliance Findings

Data Improvements and Timeliness

Application A

Project Narrative

Project Narrative

Project Narrative

What is a Project?

• A project may consist of one or more priorities that work toward achieving a defined goal. If an applicant chooses to propose multiple projects within a single application, each project must contain:

• A distinct title

• A separate and distinct project narrative

• A comprehensive budget, which reflects total of multiple budget narratives, if applicable

Total Budget

Total Budget

Total Budget

Project 1

FMCSA Rulemaking

Application A

Objective 1

Clearinghouse-II

Objective 2

Implement

EEE

Project Narrative

Budget Narrative

Total Budget

Budget Narrative

• Project(s) and objective(s) should reflect priorities as outlined in the NOFO

FMCSA Rulemaking

Application A

Objective 1

Clearinghouse-II

Objective 2

Implement

EEE

Project Narrative

What should the Project Narrative include?

(NOFO Section D-2)

1. Introduction

Self-Assessment (SDLAs only)

2. Problem Statement

3. Performance Objective

4. Program Activity Plan

5. Performance Measurement Plan

6. Monitoring Plan

7. Budget Narrative

Page limit for total application is 35 pages (40 for SDLA applicants)

FMCSA Rulemaking

Application A

Objective 1

Clearinghouse-II

Objective 2

Implement

EEE

What should the Project Narrative include?

1. Introduction

• Explain the project purpose

• Include what specific NOFO priorities the project will address

• Note: SDLAs required to have a CDL

Program Self-Assessment

“The SDLA’s project purpose is to implement two FMCSA rulemakings that fall under CDLPI priority 1 to achieve compliance with FMCSA rulemakings. The two rulemakings are: 1) implementing mandatory CDL downgrade and non-issuance requirements by November 18, 2024, as required by the Drug and Alcohol Clearinghouse-II final rule and 2) ensure that all convictions and withdrawals are exclusively exchanged electronically. If the State does not complete all related activities by the rulemaking’s compliance dates, a finding will be generated in

SCORE and the State will not be able to act upon the data that is required to sent or received from other jurisdictions and applied to Driver History Records.”

EXAMPLE

FMCSA Rulemaking

Application A

Objective 1 Objective 2

What should the Project Narrative include?

2. Problem Statement

• Quantitative description of the issue the project will address

• Include baseline data and targeted outcome

• Include 49 CFR regulatory citation

Clearinghouse-II Implement

EEE

“Our State driving licensing IT systems have not been updated to comply with FMCSA CDL rulemakings that will affect the State’s compliance with 49 CFR. Specifically, implementation of the Clearinghouse-II final rule and

EEE rulemaking. The programming requirements for Clearinghouse-II are required to be completed and implemented by November 18, 2024, per 49 CFR parts 382, 383, and 384.

FMCSA Rulemaking

Application A

Objective 1 Objective 2

What should the Project Narrative include?

2. Problem Statement

• Quantitative description of the issue the project will address

• Include baseline data and targeted outcome

• Include 49 CFR regulatory citation

Consider the following data sources:

• State Compliance Records Enterprise (SCORE) System

• CDLIS Reports

• Regulatory citation

• Enforcement and Crash Statistics data in A&I Online

• Internal reports from your State or organization

(including judiciary reports)

• Other data sources to be determined by each entity

Clearinghouse-II Implement

EEE

FMCSA Rulemaking

Application A

Objective 1

Clearinghouse-II

Objective 2

Implement

EEE

What should the Project Narrative include?

3. Performance Objective(s)

• Describe the anticipated project outcome, with quantitative data, as appropriate

• SMART: Specific, Measureable, Achievable, Realistic, and Time bound

“The State must complete all regulatory requirements to implement the mandatory CDL downgrade and non-issuance for individuals listed as “prohibited” in FMCSA’s Drug and Alcohol Clearinghouse, as defined by 49 CFR 383.73, 384.225, and 384.235. The programming in order to implement the rulemaking involves not only the regulatory requirements in State rules and regulations, but also the updating of the IT system to be able to query data from the Clearinghouse and receive notifications from the Clearinghouse system.”

FMCSA Rulemaking

Application A

Objective 1

What should the Project Narrative include?

4. Program Activity Plan

• May have multiple activities required to achieve the performance objective

• Each activity must have a quantifiable output to measure and report movement against the baseline established

Conduct scenarios in test environment before going live

Update automated letters to be sent to downgraded drivers

Hire 2 programmers to automate queries and receive machine-to-machine notifications

Activity

Activity

Activity

Clearinghouse-II

“The State must hire additional personnel to complete the required programming and, which is estimated to take

700 programming hours, in order to update the IT system to automatically query the Clearinghouse before completing a commercial transaction, to receive notifications sent from the Clearinghouse system, and to generate letters to individuals that are prohibited from operating a CMV due to violation in

49 CFR part 382, subpart B.”

FMCSA Rulemaking

Application A

Objective 1

What should the Project Narrative include?

5. Performance Measurement Plan

• Explain how progress toward the performance objective will be measured (hours, number of drivers tested, conviction posting timeliness, etc.)

• Include key milestones and timelines

Activity

Activity

Activity

Conduct scenarios in test environment before going live

Update automated letters to be sent to downgraded drivers

Hire 2 programmers to automate queries and receive machine-to-machine notifications

Clearinghouse-II

FMCSA Rulemaking

Application A

Objective 1

What should the Project Narrative include?

5. Performance Measurement Plan

Activity

Activity

Activity

Conduct scenarios in test environment before going live

Update automated letters to be sent to downgraded drivers

Hire 2 programmers to automate queries and receive machine-to-machine notifications

Clearinghouse-II

“The SDLA will monitor all activities and outcomes in relation to the original baselines and timelines established in the project plan and report at least quarterly. The Project Manager will accumulate bi-weekly at a minimum: 1) the number of hours the programmers have dedicated to a) automating Clearinghouse queries, b) receiving

Clearinghouse notifications, c) automating of the DACH letters, and d) any additional programming hours resulting from the staff test case results; 2) the hours the Disqualification Supervisor and helpdesk staff have dedicated to a) testing the queries and notification functionality and b) reviewing the automated letters generated; and 3) the number of scenarios tested and the results of each test, i.e. successful vs. not successful, including the automated letter being accurate.”

FMCSA Rulemaking

Application A

Objective 1

What should the Project Narrative include?

6. Monitoring Plan

• Explain the method that will be used to monitor the project’s progress

Activity

Activity

Activity

Conduct scenarios in test environment before going live

Update automated letters to be sent to downgraded drivers

Hire 2 programmers to automate queries and receive machine-to-machine notifications

Clearinghouse-II

“The CDL Coordinator will be assigned as the Project Manager (PM) to ensure that the projects are completed by the compliance dates. The project timeline and milestones will be monitored by holding at least monthly meetings with the project staff. PM will update timeline and milestones as the project progresses and provide to the FMCSA Division office.

The project manager will be responsible for completing all quarterly reports timely and submitting to FMCSA.”

FMCSA Rulemaking

Application A

Objective 1

Activity

Activity

Activity

Object Class Category 1

Object Class Category 2

Object Class Category 3

Personnel

Fringe

ContractualBu dg et N ar ra tiv e

To ta l B ud ge t

Conduct scenarios in test environment before going live

Update automated letters to be sent to downgraded drivers

Hire 2 programmers to automate queries and receive machine-to-machine notifications

FMCSA Rulemaking

Application A & Budgeting

Objective 1

Activity

Activity

Activity

Object Class Category 1

Object Class Category 2

Object Class Category 3

Personnel

Fringe

ContractualBu dg et N ar ra tiv e

To ta l B ud ge t

Conduct scenarios in test environment before going live

Update automated letters to be sent to downgraded drivers

Hire 2 programmers to automate queries and receive machine-to-machine notifications

FMCSA Rulemaking

Application A

Objective 1

Activity

Activity

Activity

Object Class Category 1

Object Class Category 2

Object Class Category 3

Personnel

Fringe

ContractualBu dg et N ar ra tiv e

Conduct scenarios in test environment before going live

Update automated letters to be sent to downgraded drivers

Hire 2 programmers to automate queries and receive machine-to-machine notifications

Clearinghouse-II

Remember, no cents!

Round to the nearest dollar.

XProject 1

Application A

Achieve or Maintain Compliance FMCSA Rulemaking

To ta l B ud ge t

Don’t forget to round to full dollar amount!

Project 2 Project 3

Correction and Mitigation of CDL Regulatory Compliance Findings

Data Improvements and Timeliness

Objective 1

Correct X finding

Objective 1

Correct Missing and Broken Pointers

Objective 2

Submit convictions in a more timely manner Budget

Narrative

Project Narrative

Budget Narrative

Total Budget

Budget Narrative

Project Narrative

Total Budget

Project 1

Achieve or Maintain Compliance FMCSA Rulemaking

Application A

Objective 1

Clearinghouse-II

Objective 2

Implement

EEE

Project Narrative

Budget Narrative

Total Budget

Budget Narrative

Good performance-based plans allow you to measure progress and demonstrate successful outcomes.

FY 2023 CDLPI Grant Resources

• Grants Management Training

• https://ai.fmcsa.dot.gov/Grants/GrantManagement.aspx

• CDLPI Grant Resource Guide

• https://ai.fmcsa.dot.gov/downloadFile.axd?file=Grants_Management_CDLPI_Resource_20190628.pdf

• CDLPI Grant General Information

• https://ai.fmcsa.dot.gov/Grants/CDLPI.aspx

• CDLPI Grant Application Best Practices

• https://ai.fmcsa.dot.gov/downloadFile.axd/CDLPI_Best_Practices_20190628.pdf

• Tips for Completing Your CDLPI Grant Application

• https://ai.fmcsa.dot.gov/downloadFile.axd?file=Tips-for-Completing-CDLPI-Grant-App_508.pdf https://ai.fmcsa.dot.gov/Grants/CDLPI.aspx

FY 2023 NOFO Contacts

• Financial/Application Concerns

• Montika Brooks

Montika.Brooks@dot.gov

• Programmatic Concerns

• Wendy Cunningham

Wendy.Cunningham@dot.gov

• General Information: FMCSA Grants Management Office

• FMCSA_GrantMgmtHelpdesk@dot.gov mailto:Montika.Brooks@dot.gov mailto:Wendy.Cunningham@dot.gov mailto:FMCSA_GrantMgmtHelpdesk@dot.gov

Q&A

THANK YOU