THSO Grants Management Manual 1
Grants
Management
Manual
Tennessee Highway Safety Ofce
Updated: May 14, 2024
2 THSO Grants Management Manual
Tennessee Highway Safety Ofce Contact
Information...........................................................3
Important Note on the Grant Management
Manual ................................................................. 3
Commonly Used Terms & Acronyms .................. 4
Frequently Asked Questions............................... 8
Highway Safety Program .................................. 13
Development of the State Highway Safety Plan 14
Grant Contract & Orientation ............................ 17
Grant Contract ....................................... 17
Grant Orientation Workshop .................. 17
Grant Reimbursement Requirements ............... 18
Federal & State Regulations Governing
THSO Grants ......................................... 18
Audits ..................................................... 18
Risk Assessment ................................... 19
Retention of Records ............................. 19
Federal Funding Accountability &
Transparency Act ................................... 19
Grantee Responsibilities & Procedures ............ 20
Grant Requirements .............................. 20
Financial Management .......................... 20
Financial Reporting ................................ 21
Internal Controls .................................... 21
Allowable Costs ..................................... 21
Indirect Costs ......................................... 22
Grant Modications and Amendments ... 22
Claims and Reporting
(Monthly/Quarterly) ................................ 23
Status Reports ....................................... 24
Claims Reimbursement ......................... 24
Final Report ........................................... 25
Audit Reporting ...................................... 25
FFATA Reporting .................................... 26
Personnel Certication........................... 26
Lobbying Certication ............................ 26
Monitoring ......................................................... 27
On-Site & Desk Monitoring (Programmatic
& Financial) ............................................ 27
Equipment Inventory .............................. 28
Purchasing Requirements & Property
Management .......................................... 28
Title VI (Non-Discrimination) .................. 28
Equipment.............................................. 28
Supplies ................................................. 29
Public Information & Education (PI&E) ............. 30
Materials ................................................ 30
Advertising & Public Relations ............... 30
Non-Compliance/Termination ........................... 31
Disputes/Disagreements .................................. 32
Appendix A - Federal Certications &
Assurances ....................................................... 33
Appendix B - Allowable Items (Supplies &
Equipment) ....................................................... 47
Child Passenger Safety Items ............... 47
Emergency Medical Services Supplies/
Equipment.............................................. 47
General Ofce Supplies ......................... 48
Law Enforcement Supplies/Equipment .. 49
Appendix C - Travel ......................................... 51
Table of Contents
THSO Grants Management Manual 3
Tennessee Highway Safety Ofce Contact Information
William R. Snodgrass Tower, 25
th
Floor
312 Rosa L. Parks Avenue
Nashville, Tennessee 37243
Phone: 615.741.2589
Important Note on the Grant Management Manual
This manual establishes consistent program and project management procedures for the Tennessee
Highway Safety Ofce (THSO) staff and grantees (agencies/organizations receiving grant funds) to
guide the administration of the state’s highway safety program in compliance with the National Highway
Trafc Safety Administration (NHTSA) guidelines. Best practice requires the THSO to have a current
manual that documents standard operations procedures and the management of the highway safety
program. This manual contains a written record of current approved administrative and nancial
procedures; however, it does not specically address all regulations. Periodic changes and additions
in the manual may be necessary to meet changing federal and state laws and/or to improve program
management and scal procedures. When an agency or organization accepts federal trafc safety
funds, it also agrees to fully comply with all requirements in this manual and any periodic changes that
may be made during the grant period.
Website: http://tntrafcsafety.org
Grant Application Website: http://thsogrants.org
Ofce Staff: http://tntrafcsafety.org/staff
Law Enforcement Liaison Staff: http://tntrafcsafety.org/training/lel-regions
4 THSO Grants Management Manual
Commonly Used Terms & Acronyms
The following commonly used terms and acronyms are provided to assist manual users. Many appear
in this manual, while others are used in documents associated with the grant management process.
3HSP
Triennial Highway Safety Plan, a three-year highway safety plan
submitted by the THSO to NHTSA to secure federal transportation
grant funds with annual updates through the AGA
AGA
Annual Grant Application, the document that the state submits
each scal year as its application for highway safety grants, which
provides any necessary updates to the state’s most recent 3HSP,
identies all projects the State will implement during the scal year
to achieve its highway safety performance targets
Amendment
A formal change to a contract based on a modication request.
Amendments are required when money is either added or
subtracted from the overall budget or if a specic term of the original
contract changes.
AOC Administrative Ofce of the Courts
Budget
Broad grouping of expenses such as personnel costs,supplies,
equipment, etc.
Buy America
Act
Prohibits states from using highway grant funds under 23 U.S.C.
Chapter 4 to purchase steel, iron and all manufactured products
unless they are produced in the U.S. or a waiver is granted by the
Secretary of Transportation. For compliance purposes, American-
made covers any product that is manufactured or assembled in the
U.S.
CFDA
Catalog of Federal Domestic Assistance, provides a listing of
all federal programs available to state and local governments;
federally recognized Indian tribal governments; U.S. territories and
possessions; domestic public, quasi-public and private prot and
non-prot organizations and institutions; specialized groups; and
individuals
CFR
Code of Federal Regulations, a listing of general and permanent
rules published in the Federal Register by the Executive branch of
the federal government and federal agencies
Claim
Expenditures incurred in support of approved grant activities that a
grantee may submit for reimbursement
Claim Forms
Tennessee Highway Safety (THS) forms, these are automatically
generated in the TN Grants system
Claim for
Reimbursement
Checklist
Outlines the documentation a grantee must submit and the
steps to follow to receive reimbursement for approved grant-
related expenses. A completed checklist is enrouraged with all
reimbursement requests.
THSO Grants Management Manual 5
Contract
Agreement
Binding document between THSO and a local or state agency or
organization outlining the terms and conditions of receiving federal
highway safety grant funds
CPS
Child Passenger Safety, activities addressing the safety of children
riding in motor vehicles
DGA
Delegated Grant Authority, confers delegated authority to the THSO
to make award grants as specied without additional, individual,
independent approval
DUI Driving Under the Inuence
DUNS
Data Universal Numbering System, a nine-digit number offered by
Dun & Bradstreet to identify different divisions of companies and
provide easy reference for those seeking information
Edison
The State of Tennessee’s Enterprise Resource Planning (ERP)
System, used to perform administrative business functions (i.e.,
nancial, procurement, payroll, benets) and share common data
decreasing the need to re-key information
Edison Vendor
ID
A unique number assigned to all entities, including grantees, seeking
to do business with Tennessee state agencies. It is an individual
number that can either be the entity itself, the city, or the county.
Registration is required via the Edison portal.
EMS Emergency Medical Services
Equipment/
Capital
Purchases
Non-expendable, tangible property having a useful life of more than
one year and an acquisition cost of $5,000 or more that is used only
for trafc safety and/or law enforcement purposes
FFATA
Federal Funding Accountability and Transparency Act, requires
grantees to annually report each action that obligates $25,000 or
more in federal funds
FHWA The Federal Highway Administration
Final Status
Report
Report submitted by grantee following completion of the grant
period, details the effectiveness of the highway safety project based
on the grantee’s goals and objectives
Grantee
Local or state agency or organization receiving a highway safety
grant from THSO
Grantor The state agency that awards federal highway safety grant funds
Grant
Orientation
Workshop
(GOW)
Annual mandatory training for all new grantees, if grant leadership
has changed from the previous year, or if your program manager
requests you to attend as a refresher
HVE Grant
High Visibility Enforcement, up to a $10,000 grant awarded to a
law enforcement agency to target specic trafc safety issues,
such as impaired driving; highly visible enforcement is coupled with
a publicity strategy designed to educate the public and promote
voluntary compliance with the law
IDAC Impaired Driving Advisory Council
Inventory
Control Report
Documentation of status, serial number, grant name, and location
required for all equipment purchases made with grant funds
6 THSO Grants Management Manual
LEL
Law Enforcement Liaison, provides law enforcement expertise to
THSO and its grantees for enforcement grant selection, appropriate
grant strategies and countermeasures, and grant development as
well as conducts networking activities for local, county, and state
law enforcement ofcials, the THSO, and the Regional Ofce of the
National Highway Trafc Safety Administration
Modication
A request to change (or modify) the goals, objectives, tasks, and /or
adding or subtracting money to the overall approved budget amount
Network
Coordinator
Law enforcement ofcials who assist the Law Enforcement Liaisons
oversee the activities of Tennessee’s 18 Law Enforcement Networks
Network
Meetings
Meetings convened monthly or quarterly by the LEL and/or Network
Coordinators to educate law enforcement ofcials to implement
safety programs in support of mobilizations and other safety
activities.
NHTSA
National Highway Trafc Safety Administration, the federal agency
responsible for administering the national highway trafc safety grant
program funded by federal legislation
NRSS
National Roadway Safety Strategy, a plan that outlines the
Department of Transportation’s comprehensive approach to
signicantly reduce serious injuries and deaths on our Nation’s
highways, roads, and streets
OP Occupant Protection
OPC Occupant Protection Coalition
PD Police Department
PIO Public Information Ofcer
PI&E Public Information and Education
POST Peace Ofcer Standards and Training
Program Grant
One year of federal scal funding awarded by THSO to a local
or state agency or organization to address a specic behavioral
highway safety issue
Program
Manager
THSO staff member responsible for the effective administration of
grants and statewide highway safety programs
Project Director
Individual within a local or state agency or organization responsible
for establishing and maintaining procedures to ensure effective
administration of the THSO-approved grant
PSA
Public Service Announcement, public interest messages
disseminated by the media to raise awareness and change public
attitudes and behavior towards a social issue
Status Reports
Monthly or quarterly report describing tasks or activities the grantee
has undertaken to accomplish grant objectives and progress made
in addressing the problem statement
SD/SO Sheriff’s Department / Sheriff’s Ofce
SFST
Standardized Field Sobriety Test, composed of three eld sobriety
tests law enforcement ofcials use to detect impaired drivers
Supply Item An item costing less than $5,000 per item
TA Travel Authorization
THSO Grants Management Manual 7
TACP Tennessee Association of Chiefs of Police
TN Grants
THSO’s online grant application and reporting system located at
www.thsogrants.org
TDOSHS Tennessee Department of Safety and Homeland Security
TDOT Tennessee Department of Transportation
THP Tennessee Highway Patrol
THSO
The Tennessee Highway Safety Ofce (THSO) is a division of the
TDOSHS advocating for trafc safety. The THSO works in tandem
NHTSA to implement statewide programs addressing behavioral
trafc safety issues. Programs administered by the THSO are 100
percent federally funded.
THSO Website
Tennessee Highway Safety ofce website, offers a comprehensive
resource service located at www.TNTrafcSafety.org. It serves as
an information hub for all of THSO’s trafc safety initiatives including
campaign reporting, training, and educational items.
Time Sheet
Document detailing work hours performed by an employee on behalf
of his/her employer during a set time period (i.e., weekly, bi-weekly,
overtime)
TITAN
Tennessee Integrated Trafc Analysis Network. The online system
allows for the electronic submission of data and reports used by the
state to make data-driven decisions about safety
Title VI
Assessment
Form completed annually by the grantee to ensure compliance with
federal statutes and regulations relating to non-discrimination
TRCC Trafc Records Coordinating Committee
TSA Tennessee Sheriff’s Association
UEI
Unique Entity Identier, Entities doing business with the federal
government must use the Unique Entity ID created in SAM.gov
8 THSO Grants Management Manual
Frequently Asked Questions
Q. Can I apply for more than one grant and/or a grant that covers more than one program area?
A. Yes. The THSO allows an agency to submit multiple grant applications as well as applications
that address more than one program area via TN Grants. To be considered for grant funding, your
agency’s application must correspond to an approved program area. For example, if your agency is
seeking funds to combat impaired driving and strengthen seat belt use, you may submit applications
for an Impaired Driving Education Grant and an Occupant Protection Grant. However, only one
application per law enforcement agency will be considered and approved for an Impaired Driving
Enforcement Grant or a Police Trafc Services (Multiple Violations) Grant. If you need assistance
choosing a program area(s) that best supports your community’s trafc safety needs, contact the
THSO at (615) 741-2589.
Q. I’ve never applied for a grant before and don’t have local data or statistics. What should I do?
A. If your agency is applying for a grant with the goals of reducing crashes and/or fatalities, your
application should include three years of baseline data for your jurisdiction. If you work for a law
enforcement agency, start your data search by consulting with your crash records coordinator or
clerk. If no data or limited data is available, crash data is available on public-facing dashboards
segmented by county/city in addition to program areas from TITAN. If you still need assistance
obtaining and/or analyzing data after consulting these resources, email [email protected].
Q. Can the project director delegate grant-related responsibilities to another agency employee?
A. The project director is an individual within a local or state agency or organization who is responsible
for establishing and maintaining procedures to ensure effective administration of the THSO-approved
grant. When applying for a grant via TN Grants, the grantee must designate at least one project
director for that application. If your agency applies for additional grants, a different project director
may be designated for each application. If the project director changes, the agency must notify its
THSO program manager.
THSO Grants Management Manual 9
Q. Why does the THSO conduct an on-site or virtual monitoring visit?
A. Federal and state grant management rules require the THSO to monitor grantees to ensure
compliance with applicable requirements and cost principles. While the THSO staff maintain regular
contact (i.e., phone calls, emails) with all grantees throughout the course of the grant year, the THSO
is required to meet in person or virtually with every grantee that receives a program grant at least
once during the grant year (typically between February and September) to conduct a systematic
and comprehensive programmatic and nancial assessment of their programs. The programmatic
aspects, such as the goals, objectives, and performance indicators, are reviewed to determine if
the project is having an impact and if the project is being implemented according to schedule as
well as outlined in the approved grant. The nancial review includes an examination of agency and
grant-specic nancial documents and issues related to the implementation and performance of
the project. The on-site visit is designed to be instructive, not disruptive and to foster information
exchange and partnership.
Q. What’s the advantage of submitting claims and status reports for my program grant on a
monthly rather than quarterly basis, and once my agency submits a claim, how quickly will
we receive payment?
A. The decision to submit claims and status reports on a monthly rather than quarterly basis is up
to the grantee; however, all law enforcement agencies must submit on a quarterly basis. The
grantees who elect to submit on a monthly basis generally do so based upon personnel and cash-
ow. Grantees must submit all paperwork no later than the rst of the second month following the
end of the covered reporting period. Quarterly reporting is due the rst of the month following the
close of the rst three quarters (deadlines: February 1, May 1, August 1, and November 1). A nal
status report for the entirety of the grant year is due on November 1 as well. Since the THSO
is limited to one request per month for federal reimbursement, late claims can cause processing
delays. Submitting timely and complete claims and reports will ensure that your agency receives
payment in a timely manner.
Q. What should be included in my agency’s status report?
A. Your agency’s status report should describe any tasks or activities undertaken during the month or
quarter to accomplish the objectives outlined in your grant along with progress made in addressing
the problem statement. Include copies or provide links to press clippings and printed materials (i.e.,
yers and press releases) that support these activities. Data can be found on the THSO Grantee
Performance Measures Dashboard to help support the progress of the project. Status reports should
be submitted using TN Grants, which allows you to upload attachments. Only electronic submission
is required. For law enforcement, a guide to writing a more effective status report can be found on
TN Trafc Safety.
10 THSO Grants Management Manual
Q. Must my agency submit a claim to THSO every month or quarter even if we haven’t spent any
grant funds?
A. Yes. Once the grant year begins, your agency is responsible for submitting claims for reimbursement
on a monthly or quarterly basis even if no funds have been spent during that time period (zero-
quarter claim). The THSO staff is responsible for the ongoing monitoring of all grant-funded projects.
Consistent, on-time reporting reduces confusion and the potential for the THSO to question a
grantee’s reporting and/or claim status. A helpful guide to complete a claim (both with expenses
and a zero quarter claim) can be found on TN Trafc Safety.
Q. If my agency doesn’t spend all of its grant funds in the current year, what happens to the
money?
A. Since grants are approved on an annual basis (October 1-September 30), funds not submitted for
reimbursement at the end of the 12-month period may not be carried over to the next scal year or to
a new grant. Grantees are encouraged to carefully monitor their expenditures throughout the grant
period to ensure that no funds remain unspent. All funds, even those remaining in the nal month/
quarter of the grant, may only be used to purchase items listed in the grant and approved through
the grant/contract process. If you believe that your agency is unable to expend the funds as outlined
in your approved grant, contact your THSO program manager for assistance as soon as possible.
Q. What documentation is needed for overtime reimbursement?
A. To receive reimbursement for overtime, your agency must complete the personnel section in TN
Grants and attach, in the same sequential order as listed on the form, an approved employee time
sheet along with a copy of each employee’s check (the rate of pay listed on both must match). The
time sheet must include:
• The number of regular hours worked
• The employee’s hourly base and overtime pay rates, and
• The number of overtime hours worked with a detailed explanation (i.e., 8 hours for THSO
Impaired Driving Saturation Patrol, 3 hours for THSO sobriety checkpoint) with starting and
ending times.
The THSO has an approved activity sheet (THS-17) that may be used by your agency in lieu of an
activity sheet to document overtime activity.
THSO Grants Management Manual 11
Q. What is the difference between a budget modication and a budget amendment?
A. An agency may request a revision to the original budget outlined in their grant contract with the
THSO once a grant is approved. If the revision calls money to change to a previously used budget
line item, then it can be approved with just a “modication.” An “amendment” is a formal change
to a contract based on a modication request. Amendments are required when money is added or
subtracted to the overall budget amount or if a specic term of the original contract changes. All
amendments start with a modication request.
Q. How do I make a modication to my agency’s grant? How long will the approval take? Can I
purchase items requested associated with the modication before it’s approved?
A. The length of time varies. Tip sheets can be found on both the TN Grants homepage and TN Trafc
Safety.
To initiate a modication, the project director must complete and save the modication request
form (located under Modications). After the request has been competed, the status must be
changed the to “Submit Modication Request.” Once these steps are completed, you’ll receive an
email conrmation from TN Grants. The program manager will then review your request, and if no
additional information is needed, it will be submitted to management for review. Once approved,
you will receive an email conrmation from TN Grants, and at that time you may begin utilizing the
funds associated with the modication. If your request is denied, you will be notied by email and
may continue to utilize the funds as allocated in your original approved grant. A modication can be
approved in 3-5 business days.
If the request calls for money to be added or subtracted to the overall amount or a specic change
to a term in the contract, the THSO will create an amendment. This amendment will be emailed to
you for your review and signature. Once you return the signed amendment to the THSO program
manager (preferably in email form), it is then forwarded to the TDOSHS, the THSO’s oversight
agency, for review and approval. The modication request will remain pending until the amendment
is approved by TDOSHS. Once approved, you will receive an email conrmation via TN Grants and
the newly executed amendment from your program manager. At that time you may begin spending
funds associated with the amendment. If your request is denied, you’ll be notied by email and may
continue to spend funds as allocated in your original approved grant.
The process for a modication with an amendment can take 2-4 weeks (sometimes even longer
depending on the extent of the modication or amendment). No costs may be incurred against the
budget line that is being amended until your agency receives written (email) notice of approval.
Grant modications are not permitted in the last month of the grant year (September). Amendments
are not permitted in the fourth quarter (July-September).
12 THSO Grants Management Manual
Q. What equipment may be purchased with grant funds?
A. Grant funds may be used to purchase any equipment, non-expendable, tangible property having a
useful life of more than one year and an acquisition cost of $5,000 or more, that is used only for trafc
safety and/or law enforcement. Any item costing less than $5,000 is considered a supply and may
be purchased using “non-personnel” grant funds. Written approval from NHTSA is required prior
to any equipment purchase. Once approved, claims for equipment purchases must be submitted
using form THS-22 (Capital Purchase Report) and also reported on form THS-04 under “Capital
Purchases.” Both the forms can be found within TN Grants.
Q. How long must I maintain and track equipment purchased with grant funds, and if the
equipment is destroyed, must I report it?
A. All equipment purchased with grant funds must be tracked for the year purchased and the following
three years. It is then inventoried at the end of the rst and second year (this is done automatically
by the THSO upon request for reimbursement). If, during that three-year period, the equipment is
destroyed or is no longer deemed useful for its intended purpose, you must immediately notify the
THSO program manager. With THSO guidance, you’ll be required to determine the fair market value
of the equipment and give credit to an active grant or to transfer or dispose of the equipment. After
disposing of any grant-purchased equipment (whether destroyed or no longer having a useful life),
your agency should maintain all records pertaining to this equipment for an additional three years.
THSO Grants Management Manual 13
Highway Safety Program
The mission of the Tennessee Highway Safety Ofce (THSO) is to develop, execute, and evaluate
programs to reduce the number of fatalities, injuries, and related economic losses resulting from trafc
crashes on Tennessee’s roadways.
The THSO is Tennessee’s lead trafc safety organization. Located within the Tennessee Department
of Safety and Homeland Security (TDOSHS) in Nashville, the THSO is tasked with developing and
implementing a highway safety program that addresses the behavioral factors that impact safety on the
road.
The goal of the program is to prevent death and serious injury resulting from motor vehicle crashes
so that all roadway users arrive at their destination safely. The THSO partners with law enforcement,
government agencies, and non-prots to address Tennessee’s highway safety needs at the state and
community level through the use of Federal Highway Safety Grant Program funds.
14 THSO Grants Management Manual
Development of the State Highway Safety Plan
Problem Identication & Program Areas
Data analysis is essential to understanding who is crashing, where they are crashing, and why. The
THSO reviews local, county, and state crash data to identify roadway users – motorists, pedestrians,
bicyclists, teens, for example – with a statistically higher crash rate. These data, combined with citation,
licensing, vehicle miles traveled, and demographic information, are analyzed to help the THSO and its
partners understand what is prompting crashes and the resulting injuries and fatalities on Tennessee
roadways.
This information is used to develop the Triennial Highway Safety Plan (3HSP), which details the extent
of Tennessee’s crash problem and how federal highway safety dollars will be distributed into priority
behavioral safety programs during the federal scal year (October 1 – September 30). The National
Highway Trafc Safety Administration (NHTSA) has identied priority program areas, which the agency
determines to be effective in reducing motor vehicle crashes, injuries, and fatalities. Tennessee’s 3HSP
addresses NHTSA’s priority program areas and others including the following:
The 3HSP not only describes what will be done to address these program areas, but also the goals and
performance measures used to gauge progress. Program reduction goals and performance measures
are selected based on severity, economic costs, and number of agencies available to implement projects
using proven countermeasures.
The table on the following page details the timeline of the grant application and orientation process
• Impaired Driving Enforcement
• Impaired Driving Education
• Bicycle and Pedestrian Safety
• Child Passenger Safety & Occupant
Protection
• Community Trafc Safety Programs
• Distracted Driving
• DUI Prosecution
• Emergency Medical Services
• High Visibility Enforcement
• Motorcycle Safety
• Police Trafc Services (Multiple Violations)
• Older Driver Safety
• Teen Driver Safety
• Trafc Records
THSO Grants Management Manual 15
Project Development
The annual project selection process begins by notifying local, state, and other trafc safety organizations
about the grant application process. The program area list, along with trafc safety data, is nalized in
February. Then, agencies are notied by email and by postcard sent by mail. Agencies are invited to
request access to TN Grants and apply beginning March 1. The deadline to apply is March 31.
An agency or organization may submit multiple grant applications. However, only one application per
law enforcement agency will be considered and approved for Impaired Driving Enforcement or Police
Trafc Services (PT) Multiple Violations.
The highway safety program area the grantee intends to address must be supported through data that
thoroughly documents the crash problem. The application must also detail the countermeasure strategy
to be used to address the problem, the logic for that selection, how the project will be evaluated, and
the proposed budget.
The THSO requires that all applications focusing on crash reduction include three years of baseline
data showing an above average crash problem. To assist agencies in this effort, state and county crash
and program area data are available.
Month Activity
January Submission of prior year’s annual report to NHTSA for approval
March Acceptance of grant applications online
April-May THSO reviews all submitted grant applications
June-July Grant application revisions
July Submission of 3HSP to NHTSA for approval
(every three years)
August
Submission of AGA to NHTSA for approval with updates to the
3HSP
August-September
THSO receives signed contracts from agencies
THSO provides signed contracts to TDOSHS for nal approval
THSO provides approved contracts to receiving agencies
October Grant year begins
October-November Regional grant orientation workshops
16 THSO Grants Management Manual
Once the grant application period has closed, potential projects are assigned to the THSO staff for
review and scoring. While all data-dened projects are considered, highest priority is given to the
following (in no hierarchical order):
• Low seat belt and/or child restraint use;
• High impaired driving crash rates;
• High speeding crash rates;
• High young driver (under 20) crash rates;
• High aggressive driving crash rates; and
• High serious injury or fatal crash rates.
The THSO staff also evaluates past agency performance when recommending funding.
Grants will be awarded based on data and funding availability. Law enforcement grants will be awarded
based on data provided by the Tennessee Department of Safety and Homeland Security’s Tennessee
Integrated Trafc Analysis Network (TITAN) business unit. Data is imported into a funding allocation
tool provided by the Tennessee State University. This tool takes the THSO’s budget for enforcement
grants and places a dollar amount per county based on the data provided by the TITAN business unit.
All tentatively approved grant awards are made by the TDOSHS Commissioner and the THSO Director.
All approved grant-funded projects are included in the annual grant application, which is submitted to
NHTSA for review and approval.
Applications submitted for the High Visibility Enforcement (HVE) grant are limited to only awarded
those agencies that did not receive a grant award in any other category. Law enforcement agencies
must be POST certied. Grants of up to $10,000 may be awarded on a non-competitive basis and until
funds are exhausted.
THSO Grants Management Manual 17
Grant Contract & Orientation
Grant Contract
Following grant approval, THSO noties the agencies to be awarded funding via email around mid-June.
If any aspect of the project changes between award notication and contract preparation, the grantee is
asked, as needed, to make revisions via TN Grants between June and July. Once the grant application
is nalized, the THSO emails an award package to the grantee’s project director. The package includes
a cover letter with detailed instructions, the grant contract, and supplemental forms. A statewide press
release announcing all award recipients is also distributed to the media and all legislators who have a
grantee(s) within their district.
Following receipt of the award package, the grantee return one electronic copy of the signed grant
contract and supplemental contract forms with signatures to the THSO within seven working days. If the
contract requires governing body approval, the grantee should notify the THSO of the timetable for that
process. If original signatures are required on these documents, they can only be provided if the grantee
requests them in advance of contract approval. If multiple copies are required, the authorizing agency
representative must sign all copies. Once these documents are returned to the THSO, the contract is
signed by the appropriate TDOSHS authorities. Approved contracts are emailed to the project director.
The signature of the authorizing agency ofcial indicates the grantee agrees to comply with the
requirements outlined in the grant contract. The grantee may not proceed with any expenditure
associated with the grant until the project director receives the fully executed and signed contract from
the THSO and the grant period commences on October 1.
Grant Orientation Workshop
The THSO conducts a new grantee orientation workshop (GOW) shortly after the start of the new grant
period in the four major regions of the state (West, East, Middle, Cumberland), typically in mid-October
through early November. While attendance is mandatory for all new grantees, all agencies receiving
grants from the THSO are encouraged to participate, and some may be required to do so. The THSO
staff reviews the grantees’ responsibilities and procedures including any changes dictated by state
and/or federal law that have occurred since the previous orientation. In addition to the orientation, this
manual, the online grants system user manual and step-by-step instructions are available to assist
grantees with submitting status reports and claims (detailed later in this manual) in accordance with
scal and program management requirements.
18 THSO Grants Management Manual
Grant Reimbursement Requirements
Reimbursement is contingent upon the grantee complying with all grant requirements and the
appropriation of sufcient funds by the federal government and the state highway safety program.
The THSO doesn’t represent, or guarantee, the availability of federal highway safety funds for initial or
subsequent year funding.
Once a grant has been awarded and becomes effective, the THSO reimburses the grantee for
expenditures related to approved activities. The objectives outlined in the grant should be accomplished
during the grant period and within the approved budget. It is preferable that purchases occur early in
the grant period for maximum benet. Only costs incurred within the approved grant period and that do
not exceed the federally obligated funds as indicated in the contract are reimbursed.
Federal & State Regulations Governing THSO Grants
The expenses and costs eligible for reimbursement under the highway safety program are those
stipulated in the approved grant budget. To be allowable, costs must be necessary, reasonable,
allocable, and expended according to the appropriate federal and state statutes or grant regulations.
Grant management rules require the THSO to monitor grantees to ensure compliance with applicable
federal requirements and cost principles.
The Ofce of Management and Budget (OMB) 2 CFR Part 200, Uniform Guidance for Federal Awards,
is the federal administrative regulation under which the THSO grants operate. It is referred to as
Uniform Guidance. A desk friendly version of this document is available online for review and reference.
Agencies receiving highway safety funds must adhere to these requirements. At minimum, the THSO
adheres to the requirements of 2 CFR Part 200. In some cases, such as the due date for grantee nal
reports and claims, the THSO is more restrictive to allow time for submission of reports, which includes
grantee information, to NHTSA.
Audits
Audits are conducted to determine the scal integrity of nancial transactions and reports, as well as
compliance with laws, regulations, and administrative requirements. All grants awarded by the THSO
are federally funded by the U.S. Department of Transportation/NHTSA and recorded in the Catalog
of Federal Domestic Assistance (CFDA). If a grantee or its parent agency expends over $750,000 in
federal funds from any source, a single audit procedure is required by the Single Audit Act for State and
Local Agencies, 1996 Amendments, Public Law 104-156. 2 CFR Part 200, Audit Subpart F describes
the audit requirements. Audit reporting information is also provided later in this manual.
THSO Grants Management Manual 19
Risk Assessment
The THSO is required to annually assess each applicant’s risk of noncompliance with Federal statutes,
regulations, and the terms and conditions of the grant. The goal of the risk assessment is to determine
an organization’s capacity to manage and/or receive federal grant funds prior to issuance of a grant
award. Information may also be used to plan monitoring activities and/or identify support needed to
strengthen an applicant’s management of its program.
Retention of Records
An agency shall keep all THSO grant records on le (electronic or paper) for a minimum of ve years or
longer if mandated by its own Retention of Records policy. This includes all programmatic and nancial
documents associated with the grant contract.
Federal Funding Accountability & Transparency Act
Passed by Congress in 2006, the Federal Funding Accountability and Transparency Act (FFATA) requires
grantees to report each action (sub-award and executive compensation) that obligates $30,000 or more
in federal funds. For agencies that are receiving that are FFATA reporting information is provided later
in this manual.
20 THSO Grants Management Manual
Grantee Responsibilities & Procedures
Grant Requirements
When an agency or organization accepts federal highway safety funds, it also agrees to fully comply
with all requirements in this manual and any periodic changes that may be made during the grant
period. The project director will be notied in writing of any changes via mail and/or email.
It’s critical that the project director carefully reviews the federal regulations outlined in 2CRF Part 200 and
the certications and assurances included in Appendix A of this manual. The Governor of Tennessee is
the responsible ofcial for the administration of Tennessee’s highway safety program through the THSO
(which has adequate powers and is equipped and organized to carry out the program) and must assure
compliance with applicable statutes and regulations. By accepting federal highway safety funds, an
agency or organization is also bound by these certications and assurances.
For enforcement grants, the THSO requires that grantees participate in all NHTSA reporting campaigns
emphasizing HVE (i.e., Click It or Ticket, Drive Sober or Get Pulled Over, Booze It or Lose It) and a
THSO Network meeting during each quarter of the 12-month grant period. Additionally, enforcement
grantees must also submit statistics within two weeks following the conclusion of each NHTSA HVE
reporting campaign via the TNTrafcSafety website.
Financial Management
The project director is responsible for establishing and maintaining procedures to ensure the effective
administration of an agency or organization’s grant, including the timely completion of the grant objectives
and proper record keeping. A THSO staff member – program manager – is assigned to every grant and
works with the project director and agency designated staff throughout the course of the grant period.
The project director must ensure that the agency’s accounting system conforms to generally accepted
accounting principles. While TN Grants allows the grantee to maintain and store critical documents,
it’s strongly recommended that copies of all nancial records pertaining to a grant be stored in a grant
le (hard copy, electronic, or both) maintained by the project director. This will make it easier to submit
claims, complete status reports, respond to questions, and reference documents.
The le should also include a copy of the grantee’s internal purchasing policies and procedures. At a
minimum, the policies must meet state standards; they may not be less stringent. If no written policies
exist, the grantee is subject to the state’s purchasing guidelines for cities and towns (TCA 6-56-301
through 307), counties (TCA 05-14-201 through 207) and states (TCA 4-56-101 through 108). To
access this information online, click on “I Agree” under Terms and Conditions prior to entering the Lexis
Nexis site. (Note: The THSO maintains an electronic grant le for a minimum of three years following
conclusion of the grant year.)
In addition, the grantee must meet the following grant management standards:
THSO Grants Management Manual 21
Financial Reporting
To receive reimbursement of authorized federal grant fund expenditures, a grantee must submit accurate,
current, and complete nancial information via TN Grants on a monthly or quarterly basis, which is
determined by the grantee at time of application. All grantees must submit claims even if no funds are
being requested (a zero claim). All authorized federal funds must be incurred, and work performed on or
before September 30, the last day of the federal scal and grant year (October 1-September 30). Only
hours worked, or items purchased, during the current scal year may be claimed for reimbursement.
Grantees must maintain records identifying the source (federal, state, and/or local) and application of
funds for each budget line item. Grantees are responsible for tracking reimbursement by Catalog of
Federal Domestic Assistance (CFDA) coding, provided by the THSO, for the Single Audit process.
Internal Controls
A grantee must maintain effective control and accountability for all funds, property, and other assets.
Additionally, the grantee must adequately safeguard all assets and ensure they’re used only for trafc
safety-related purposes.
Allowable Costs
The THSO uses the cost principles outlined in 2 CFR Part 200 along with NHTSA policy and guidance
to determine necessary, reasonable, allocable, and allowable costs consistent with policies, rules, and
regulations conforming to limitations or exclusion of costs.
The use of federal grant funds to purchase equipment and cover personnel and non-personnel costs
(including overtime) are allowable within federal and state rules and regulations and are detailed later
in this manual. Costs associated with training personnel for highway safety purposes are allowable if
the training supports the objectives outlined in the highway safety program (not applicable to federal,
civilian, or military personnel). Funds may not be used to cover salary costs associated with employee
attendance at a training or that employee’s replacement while in training, unless that employee’s salary
is THSO grant funded. Allowable supplies and equipment purchases are detailed in Appendix B.
Federal grant funds may also be used for travel costs associated with attendance at in- and out-of-state
highway safety-related meetings, conferences, seminars, workshops, and trainings. For travel that is
included in the approved grant budget, the grantee must follow state travel regulations. For travel not
included in the grant budget, a written, detailed request for nancial support must be submitted to the
THSO in advance of the grantee’s travel dates. Once approved, state travel regulations apply. Travel
and per diem reimbursement are detailed in Appendix C.
22 THSO Grants Management Manual
The cost of attendance at highway safety-related meetings and conferences, where participants
receive technical information, is allowed. Federal grant funds may be used to cover meals, transportation,
facility rental, and other incidental costs associated with hosting and/or attending a meeting at the
per diem rate. The grantee should retain records documenting the purpose of the meeting and all
associated costs.
Costs are allowable, at THSO’s discretion, for highway safety consultant services provided by
universities, public agencies, non-government organizations, and individuals for state or local highway
safety support services or products consistent with 2 CFR Part 200. Prior written approval by the
program manager and adherence to state procurement procedures are required.
Federal grant funds may also be used for educational items that offer incentives or encourage the
public to adopt highway safety practices. Guidance on educational and promotional materials is
provided in the Public Information & Education section of this manual.
Funds may also be expended in support of police-directed, underage drinking operations that
include the purchase of alcoholic beverages in sting operations (not for consumption). These activities
must be conducted in compliance with federal, state, or local laws.
If a grantee has a question about whether an item or activity meets the provisions outlined in the
grant contract, the project director should contact the THSO program manager for clarication prior to
purchasing the item or engaging in the activity.
Indirect Costs
Only non-prots, colleges, universities, and hospitals may use grant funds for indirect costs (government
and state agencies are not eligible). These are costs incurred for common or joint purposes (i.e., phone,
supplies, administrative salaries) and not assigned to a highway safety grant as a direct cost. Indirect
costs benet more than one cost objective and should be prorated equitably among all applicable
functional areas. When including indirect costs in a grant application, the grantee must include the
total estimated indirect costs, along with a detailed explanation, and a completed copy of a Certicate
of Indirect Costs. Indirect costs are subject to review by federal and state auditors as included in a
cognizant federal agency’s report or audit.
Grant Modications and Amendments
A grantee may request, or a program manager may recommend, a revision to the original budget and/
or goals/objectives/tasks or other section outlined in its grant contract with the THSO once the grant is
approved. All revision requests must be fully detailed and justied.
Tip sheets to complete a modication can be found on both the TN Grants homepage and TN Trafc
Safety.
To initiate a modication, the project director must complete and save the modication request
form(located under Modications). After the request has been competed, the status must be changed
the to “Submit Modication Request.” Once these steps are completed, you’ll receive an email
conrmation from TN Grants. The program manager will then review your request, and if no additional
information is needed, it will be submitted to management for review. Once approved, you will receive
an email conrmation from TN Grants, and at that time you may begin utilizing the funds associated
THSO Grants Management Manual 23
with the modication. If your request is denied, you will be notied by email and may continue to utilize
the funds as allocated in your original approved grant. A modication generally can be approved in 3-5
business days but is not allowed in the month of September.
If the request calls for any money to be subtracted or added to the overall budget amount or a change
in a contractual term, the THSO will create an amendment and send it to the project director via email
for their review and signature. Once the project director returns the signed amendment (preferably
via email) to the THSO program manager, it is then forwarded to the TDOSHS, the THSO’s oversight
agency, for review and approval. The modication request will remain pending until the amendment is
approved by TDOSHS. Once approved, the project director will receive an email conrmation from TN
Grants in addition to the fully executed amendment via email from the THSO Program Manager. At that
time the grantee may begin spending funds associated with the amendment. If the request is denied,
the project director will be notied by email and the grantee may continue to spend funds as allocated
in its original approved grant.
The process for a modication with an amendment can take from 2-4 weeks (sometimes even longer
depending on the extent of the modication or amendment). No costs may be incurred against the
budget line that is being amended until the grantee receives written (email) notice of approval.
A grant modication that requires an amendment is not allowed in the fourth quarter (July, August, and
September).
Claims and Reporting (Monthly/Quarterly)
Grantees have the option of submitting claims for reimbursement of approved grant expenditures and
project status reports on a monthly or quarterly basis. This is determined by the grantee at the time of
application and typically driven by manpower and cash-ow. However, in the case of law enforcement,
the only option is for quarterly submissions. All submissions must be made through the THSO’s online
grants management system. The grantees who elect to submit on a monthly basis generally do so
based upon manpower and cash-ow. Grantees must submit all paperwork no later than the rst of the
second month following the end of the covered reporting period. Quarterly reporting is due the rst
of the month following the close of the rst three quarters (deadlines: February 1, May 1, August 1,
and November 1). A nal status report for the entirety of the grant year is due on November 1 as well.
Since the THSO is limited to one request per month for federal reimbursement, late claims can cause
processing delays. Submitting timely and complete claims and reports will ensure that your agency
receives payment in a timely manner. Once a grantee has selected a reporting time frame, it may not
be changed without prior discussion and approval of the program manager. No changes may be made
after the rst quarter.
Regardless of the reporting time frame, all grantees must submit a claim and status report monthly or
quarterly even if no costs were incurred (zero claim) or no activities took place during that time period.
Additionally, the THSO cannot process a claim until the corresponding status report is received and
approved. Consistent, on-time reporting reduces confusion and the potential for the THSO to question
a grantee’s reporting and/or claim status (i.e., Did the grantee forget? Did the grantee opt not to
submit?). If an extension of a monthly or quarterly deadline is needed, grantees must provide a written
request and receive approval from their THSO program manager in advance of the deadline. The
requests will be reviewed on a case by case basis. Not all requests will be approved and should not
be a common practice. Regular reporting is also critical since the THSO is responsible for the ongoing
monitoring of all grant-funded projects.
24 THSO Grants Management Manual
Status Reports
Program grantees must submit monthly or quarterly status reports to receive reimbursement for claims.
(As noted above, the grantee selects the reporting time frame at the time of application.) The THSO
processes claims after the accompanying status report has been received, reviewed, and approved.
Law enforcement program grantees must submit status reports, but also must submit campaign data
into TN Trafc Safety within two weeks following conclusion of a NHTSA campaign. All law enforcement
grantees (program and HVE) must submit their quarterly enforcement data with each status report.
A status report should describe any tasks or activities undertaken during the month or quarter to
accomplish the objectives outlined in the grant (i.e., conducted ve saturation patrols lasting four hours
each over the quarter resulting in 500 DUI arrests, 200 speeding citations, etc.) along with progress
made in addressing the problem statement (i.e., Fatal crashes during the 1
st
quarter of the current scal
year is down by 5 compared to 1
st
quarter of the previous scal year as described in tasks). The grantee
is encouraged to include copies or provide links to press clippings and printed materials such as yers
or press releases that support the activities described in the status report. Grantees must submit status
reports using TN Grants, which allows for document uploads; only electronic submission is required.
The THSO program managers carefully review status reports, paying particular attention to whether a
grantee is making satisfactory progress in achieving the grant objectives as outlined and on schedule
based on the schedule of tasks. If deciencies are identied, the program manager will notify the
grantee’s project director. The notication will describe the deciency and request that the project
director provide changes and/or updates. Changes/updates must be made, submitted, and approved
before the claim will be processed.
Claims Reimbursement
Grantees may submit claims for reimbursement up to the itemized amount listed in the approved grant
budget. Only items listed in the approved grant are eligible for reimbursement. All claims (monthly,
quarterly) must be submitted via TN Grants. Following completion of the online claim, the project
director should print and sign the claim forms. These forms should be scanned/emailed with supporting
documentation to the attention of the appropriate THSO program manager. The claim packet should
be organized in sequential order as listed in the Claim for Reimbursement Checklist.
Personnel expenses for overtime are allowable for hourly and non-exempt salaried employees for
activities such as checkpoints, saturation patrols, and compliance checks for beer sales; overtime
activities must be within the scope of the grant. Agencies receiving reimbursement for overtime will be
required to submit their departmental overtime policy.
Overtime cannot be claimed for attending training, conducting educational events (such as school
assemblies), being in court, or for exempt salaried positions except with the written approval of the
THSO Director.
If the claim includes reimbursement for overtime, the grantee must also complete the personnel
section online and attach, in the same sequential order as listed on the claim form, an activity sheet (i.e.,
THS-17) and a copy of each employee’s check (the rate of pay listed on both must match). A timesheet
is not required pending the check shows the total number of regular and overtime hours worked during
the pay period. If the check does not show this information, a time sheet must be included to show the
number of regular hours worked and the number of overtime hours worked with starting and ending
times noted. The THSO has an approved activity sheet (THS-17) that may be used by any agency to
THSO Grants Management Manual 25
document overtime activity. The THS-17 form may be used in lieu of an activity/timesheet.
Further, the THSO may request the timesheets of grant personnel for regular hours to verify that
the overtime hours were not incurred during the regular hours of duty. Benets are reimbursable for
enforcement overtime.
Law enforcement agencies receiving Impaired Driving Enforcement grant funds may submit for
reimbursement of personnel costs for ofcers working outside the “Happy Hour” times of 2 p.m. to 4
a.m. The THSO perfers that these hours be used to work impaired driving enforcement, but if your local
data supports other hours, this is allowable. No documentation is required to be submitted to the THSO
to work outside the perferred hours.
Grantees requesting reimbursement for non-personnel (travel, supplies under $5,000), other non-
personnel (advertising, organizational permits, subscription fees), capital purchases (equipment costing
$5,000 or more), and/or professional fees (contractual costs) must complete each section online.
Claims with travel expenses for mileage must include a print-out from MapQuest, Google Maps or
another mapping database with the total number of miles being claimed.
Grantees submitting claims for equipment purchases (items costing $5,000 or more) must also complete
the THS-22, Capital Purchase Report, section on TN Grants. If more than one piece of equipment is
purchased during the claim period (month or quarter), each item must be recorded on the form.
Final Report
Program grantees must submit a nal report using TN Grants no later than November 1. THSO will
not process a nal claim for reimbursement until the nal report is received, reviewed, and approved.
The THSO reviews nal reports to determine the effectiveness of a grantee’s highway safety project
and takes past performance into consideration when recommending grant requests in future years.
The THSO may also share this information with NHTSA via the state’s annual report; therefore, it is
critical that grantees pay particular attention to reporting when designing their intervention.
Following approval of the nal report by the program manager, the grantee receives an email notice
from TN Grants.
Audit Reporting
If a grantee or its parent agency expends over $750,000 in federal funds during their scal year from
any federal source, a single or program-specic audit must be conducted for that year in accordance
with the provisions of 2 CFR Part 200, Audit Subpart F. The audit report must cover the entire grant
period and be provided to the THSO within 30 days after publication.
26 THSO Grants Management Manual
FFATA Reporting
If a grantee (state, non-prot, local, etc.) obligates $30,000 or more in Federal Funds during the
grant year, will be reported to the federal government by the THSO. This reporting is required by the
Federal Funding Accountability and Transparency Act and addresses grant expenditures and executive
compensation. If you would like more information on FFATA reporting, please contact the THSO ofce.
Personnel Certication
NHTSA regulations require any full or part-time position funded through a highway safety grant to be
certied on a monthly/quarterly basis. This certication must indicate what percentage of the employee’s
time was spent working on grant-related duties and be signed by the employee or supervisor having
rst-hand knowledge of the work the employee performed. To fulll this requirement, the grantee
should complete the Grant Funded Personnel Certication (THS-16) located on TN Grants and include
the signed form with the claim. This is an automatically generated form from TN Grants.
Lobbying Certication
In the grant contract with the THSO, the grantee certies, to the best of its knowledge and belief, that:
a. No federally appropriated funds have been paid or will be paid, by or on behalf of the
undersigned, to any person for inuencing or attempting to inuence an ofcer or employee
of an agency, a Member of Congress, an ofcer or employee of Congress, or an employee of
a Member of Congress in connection with the awarding of any federal contract, the making
of any federal grant, the making of any federal loan, the entering into of any cooperative
agreement, and the extension, continuation, renewal, amendment, or modication of any
federal contract, grant, loan, or cooperative agreement.
b. If any funds other than federally appropriated funds have been paid or will be paid to any
person for inuencing or attempting to inuence an ofcer or employee of any agency, a
Member of Congress, an ofcer or employee of Congress, or an employee of a Member
of Congress in connection with this contract, grant, loan, or cooperative agreement, the
grantee shall complete and submit Standard Form-LLL, “Disclosure of Lobbying Activities,”
in accordance with its instructions.
c. The Grantee shall require that the language of this certication be included in the award
documents for all sub-awards at all tiers (including subcontracts, sub-grants and contracts
under grants, loans, and cooperative agreements) and that all sub-recipients shall certify and
disclose accordingly.
This certication is a material representation of fact upon which reliance was placed when this transaction
was made or entered into and is a prerequisite for making or entering into this transaction imposed by
31 U.S.C. ₴ 1352.
THSO Grants Management Manual 27
Monitoring
Federal and state grant management rules require that the THSO staff maintains regular contact via
telephone, email/written correspondence, and on-site visits with grantees throughout the course of
the grant year to ensure compliance with applicable requirements and cost principles. This monitoring
includes not only the review and approval of claims and status/nal reports, but also the ongoing
oversight of grantees through desk monitoring and/or on-site visits. The intent of this outreach is
to develop a relationship with the grantee, address grant management-related questions, provide
technical assistance, and identify and help address problems and/or concerns. This oversight helps the
program manager answer grant management- related questions, provide technical assistance, identify
and help address problems and/or concerns, and adjust the plan of action. These adjustments may
include employee allocation, hours worked versus time of day, productivity, or methods of deploying
enforcement activity. Any documentation generated as a result of this contact is placed in the grantee’s
le. This will ensure all protocols are in place as the THSO reviews the agency’s plan of action.
On-Site & Desk Monitoring (Programmatic & Financial)
A THSO Program Manager visits every grantee (either in person or virtually) that has been awarded a
program grant once during the grant year (typically between February and mid-September) to conduct
a systematic and comprehensive programmatic and nancial assessment. The visit will be scheduled
at least two weeks in advance, and a preparation sheet that details how to prepare for the on-site visit
is provided electronically. Also, a link to the Title VI Compliance Audit Questionnaire is emailed; this is
completed before the Program Manager arrives for the monitoring visit. An unscheduled monitoring visit
will occur if the agency receives a letter, which issues a nding after the annual on-site visit or if there is
concern that the agency’s project is showing signs of signicant weakness. The follow- up visit results
in an adjustment to the agency’s plan.
During the programmatic portion of the visit, goals, objectives, and tasks are reviewed to determine
if the project is being implemented as outlined in the approved grant application. This assessment is
also used to determine if the grantee has satised special conditions and is adhering to contract terms
and conditions. The nancial review includes an examination of agency and grant-specic nancial
documents and issues related to the implementation and performance of the project.
While monitoring, virtually or on-site, the program manager completes the monitoring form found on
the THSO’s online grants management system. Once completed, the form is reviewed and approved
by the THSO management. Following nal approval of the monitoring form, the program manager
drafts a follow-up letter that highlights exemplary activities/actions on the part of the grantee and
recommendations for improvement within 30 days following completion of the assessment. If the letter
includes ndings, an additional on-site visit(s) may be scheduled. The THSO maintains an electronic
copy of the letter.
Agencies receiving a HVE Grant will receive a desk monitoring or audit, which uses an abbreviated form.
This monitoring/audit will come from their THSO program manager or an auditor from the TDOSHS.
Failure to respond to a desk monitoring or audit may result in a loss of grant funding. In rare instances,
an on-site visit may be required if the agency’s project shows signicant weakness or non-compliance.
28 THSO Grants Management Manual
Equipment Inventory
Equipment, any one item costing $5,000 or more, purchased with federal highway safety grant funds
must be inventoried annually by the THSO for a period of three years following the initial year of
purchase. Once a grantee enters a claim for reimbursement of equipment purchased using grant funds
into TN Grants, it is automatically tracked for the required time period. Additionally, the THSO conducts
a random check of a minimum of one piece of equipment during each on-site monitoring visit to ensure
that it is being used for highway safety purposes. Prior to the on-site visit, the program manager
reviews a copy of the form from TN Grants.
Purchasing Requirements & Property Management
Rules and denitions for the purchase of equipment, supplies, and other materials and their management
are governed by the Rules of the Tennessee Department of General Services Central Procurement
Ofce. A grantee must follow these rules unless its governing agency or organization has its own
policies and procedures and can make them readily available for inspection by the THSO. An agency’s
policies and procedures must, at a minimum, be as stringent as the state regulations. This policy must
be provided to the THSO.
Title VI (Non-Discrimination)
Through its nancial assistance programs, the U.S. government seeks to improve the status of
disadvantaged and minority businesses and citizens and provide fairness in the areas of employment
and contracting. Title VI of the Civil Rights Act of 1964 and Section 504 of the Rehabilitation Act of
1973, as amended, prohibit discrimination on the grounds of race, color, national origin, handicap, or
gender in the provision of services, programs, or personnel transactions. Agencies receiving federal
grant funds, including grantees of the THSO, must fully comply with the provisions of Title VI and 49
CFR Parts 21 and 27, and make reference to these mandates in all contracts or subcontracts.
In advance of the annual on-site monitoring visit, the THSO program manager emails a link to the Title
VI Assessment to the grantee. It is the responsibility of the grantee to complete the assessment in
advance of the monitoring visit.
All grantees must display the Title VI posters (in English and Spanish) in an area that is accessible
to the general public and posters must also be displayed in employee common areas not accessible
by the general public. A grantee may request the Nondiscrimination poster from their THSO program
manager (both English and Spanish versions are available). In addition, the grantee may also request
the English and Spanish versions of the Title VI brochures, which are not required but recommended,
from the THSO program.
Equipment
Equipment is any non-expendable, tangible, personal property having a useful life of more than one
year and an acquisition cost of $5,000 more. All equipment purchased using federal highway safety
funds requires prior written approval from the National Highway Trafc Safety Administration, which is
handled by the THSO during the application process. The agency follows the provisions of the Uniform
THSO Grants Management Manual 29
Guidance for Federal Awards, 2 CFR Part 200. Equipment purchased with grant funds must be used
for trafc safety purposes only. Non-authorized use of equipment is grounds for refunding a portion
of the equipment value to the THSO. All equipment purchased with grant funds must comply with the
Buy America Act. Allowable equipment purchases are detailed in Appendix B. Additional guidance is
available from the grantee’s THSO program manager.
Equipment must be tracked for three years after the initial year of purchase, and that inventory is
checked during the annual on-site monitoring visit conducted by the THSO. If, during that three-year
period, the equipment is destroyed or no longer used for its intended purpose, the project director must
immediately notify the THSO program manager. With the THSO’s guidance, the project director must
determine the fair market value of the equipment and give credit to an active grant, transfer, or dispose
of the equipment. After disposing of any grant-purchased equipment (whether destroyed or no longer
having a useful life), the grantee’s agency or organization must maintain all records pertaining to this
equipment for an additional three years.
Supplies
Any item with an acquisition cost of less than $5,000 is a supply and may be purchased using
highway safety grant funds. The purchase of supplies does not require NHTSA pre-approval.
However, supplies purchased with grant funds must be used for trafc safety and/or enforcement
purposes only. Non-authorized use of supplies is grounds for refunding a portion of the value to the
THSO. Consult the THSO program manager for guidance on allowable supplies, and refer to the Public
Information & Education section for information concerning the inclusion of logos on these materials.
Allowable supply purchases are detailed in Appendix B.
30 THSO Grants Management Manual
Public Information & Education (PI&E)
Materials
PI&E materials fall into two categories:
Educational – material that educates and informs an audience such as activity books, coloring
books, brochures, posters, yers, and envelope stuffers.
Promotional – Promotional items are no longer allowable for purchase using THSO grant
funds. Grantees can contact their Program Manager with questions or refer to the memo
issued by NHTSA on May 18, 2016 for more information.
Grantees that use federal highway safety funds to produce PI&E materials must receive written approval
from the THSO Program Manager and Public Information Ofcer prior to production. Grantees should
allow 2-4 weeks for the approval. Grantees should also advise vendors that all materials used in the
production of public outreach materials paid for by grant funds are the property of the grantee and the
THSO (i.e., data, plates, negatives, camera-ready artwork, designs, concepts, photographs, video and
audio). All PI&E material purchases (costing more than $5,000 per unit) must comply with the Buy
America Act.
All educational materials produced using grant funds must include the THSO logo or the logo from
another program as determined by the THSO (i.e., Click It or Ticket), and the following message:
This material was developed through a project funded by the Tennessee Highway Safety Ofce.
Grantees that use non-federal highway safety funds to produce PI&E materials must receive written
approval from the THSO Public Information Ofcer in order to use any THSO logo.
All published research and reports developed as a result of a grant must include the following disclosure
statement:
This report was prepared in cooperation with the Tennessee Highway Safety Ofce. The
opinions, ndings, and conclusion expressed in this publication are those of the author(s) and
not necessarily those of the THSO.
Advertising & Public Relations
The limited purchase of media creation, time, or space (television and radio time, billboard space, paid
social media initiatives, etc.) for trafc safety grant funded campaigns is permitted in extraordinary
circumstances and must be specically approved by the THSO Director. As with all PI&E materials, the
Program Manager and PIO must approve all creative prior to development or purchase.
All press releases discussing a grant and/or grant-funded activities must be reviewed by the THSO
program manager and Public Information Ofcer prior to dissemination to allow for the inclusion of a
quote from the THSO Director, TDOSHS Commissioner, or other individual as identied by the THSO.
The nal release must state that the grant is funded through the Tennessee Highway Safety Ofce.
Federally-funded public service announcements or video materials intended for television or cable
television must be closed-captioned.
THSO Grants Management Manual 31
Non-Compliance/Termination
The THSO will impose sanctions in the event of noncompliance or violation of any grant provision by
the grantee agency. Appropriate sanctions may include, but are not limited to, withholding payments,
suspension, or termination of a portion or the entire grant. The THSO will provide 30 days’ notice to
the grantee if the grant is terminated for “convenience.” Grants terminated for “cause” will take effect
immediately. Both options are included below and located in Section D of the contract under “Standard
Terms and Conditions.” If the grant is terminated, the grantee will be paid only for activities/services
allowable under the grant contract that were completed prior to the effective termination date.
Termination for Convenience. The State may terminate this Grant Contract without cause for
any reason. A termination for convenience shall not be a breach of this Grant Contract by the
State. The State shall give the Grantee at least thirty (30) days written notice before the effective
termination date. The Grantee shall be entitled to compensation for authorized expenditures
and satisfactory services completed as of the termination date, but in no event shall the State
be liable to the Grantee for compensation for any service that has not been rendered. The nal
decision as to the amount for which the State is liable shall be determined by the State. The
Grantee shall not have any right to any actual general, special, incidental, consequential, or any
other damages whatsoever of any description or amount for the State’s exercise of its right to
terminate for convenience.
Termination for Cause. If the Grantee fails to properly perform its obligations under this Grant
Contract, or if the Grantee violates any terms of this Grant Contract, the State shall have the
right to immediately terminate this Grant Contract and withhold payments in excess of fair
compensation for completed services. Notwithstanding the exercise of the State’s right to
terminate this Grant Contract for cause, the Grantee shall not be relieved of liability to the State
for damages sustained by virtue of any breach of this Grant Contract by the Grantee.
32 THSO Grants Management Manual
Disputes/Disagreements
Any dispute, disagreement, or question of fact concerning a grant should be handled by the THSO
program manager assigned to that grant in consultation with all managers. All nal decisions will be put
in writing and distributed to all concerned parties as well as maintained in the grant le. The grantee
may then proceed with the performance of the grant in accordance with that decision.
If a grantee disagrees with a decision made by the program manager, an appeal may be made to
the THSO Director. The appeal must be in made in writing within 30 days of the program manager’s
decision and sent to the THSO by certied mail. No legal action may be taken by the grantee without
following these steps.
THSO Grants Management Manual 33
Appendix A - Federal Certications & Assurances
INTERGOVERNMENTAL REVIEW OF FEDERAL PROGRAMS
The State has submitted appropriate documentation for review to the single point of contact designated
by the Governor to review Federal programs, as required by Executive Order 12372 (Intergovernmental
Review of Federal Programs).
FEDERAL FUNDING ACCOUNTABILITY AND TRANSPARENCY ACT (FFATA)
The State will comply with FFATA guidance, OMB Guidance on FFATA Subaward and Executive
Compensation Reporting, August 27, 2010, (https://www.fsrs.gov/documents/OMB_Guidance_on_
FFATA_Subaward_and_Executive_Compensation_Reporting_08272010.pdf) by reporting to FSRS.
gov for each sub-grant awarded;
• Name of the entity receiving the award;
• Amount of the award;
• Information on the award including transaction type, funding agency, the North American
Industry Classication System code or Catalog of Federal Domestic Assistance number
(where applicable), program source;
• Location of the entity receiving the award and the primary location of performance under
the award, including the city, State, congressional district, and country; and an award title
descriptive of the purpose of each funding action;
• Unique entity identier (generated by SAM.gov);
• The names and total compensation of the ve most highly compensated ofcers of the
entity if:
• the entity in the preceding scal year received—
• 80 percent or more of its annual gross revenues in Federal awards;
• $25,000,000 or more in annual gross revenues from Federal awards; and
• the public does not have access to information about the compensation of the senior
executives of the entity through periodic reports led under section 13(a) or 15(d) of
the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the
Internal Revenue Code of 1986;
• Other relevant information specied by OMB guidance.
NONDISCRIMINATION (APPLIES TO SUBRECIPIENTS AS WELL AS STATES)
The State highway safety agency [and its subrecipients] will comply with all Federal statutes and
implementing regulations relating to nondiscrimination (“Federal Nondiscrimination Authorities”). These
include but are not limited to:
• Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d et seq., 78 stat. 252), (prohibits
discrimination on the basis of race, color, national origin);
• 49 CFR part 21 (entitled Non-discrimination in Federally-Assisted Programs of the
Department of Transportation—Effectuation of Title VI of the Civil Rights Act of 1964);
34 THSO Grants Management Manual
• 28 CFR 50.3 (U.S. Department of Justice Guidelines for Enforcement of Title VI of the Civil
Rights Act of 1964);
• The Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, (42
U.S.C. 4601), (prohibits unfair treatment of persons displaced or whose property has been
acquired because of Federal or Federal-aid programs and projects);
• Federal-Aid Highway Act of 1973, (23 U.S.C. 324 et seq.), and Title IX of the Education
Amendments of 1972, as amended (20 U.S.C. 1681–1683 and 1685–1686) (prohibit
discrimination on the basis of sex);
• Section 504 of the Rehabilitation Act of 1973, (29 U.S.C. 794 et seq.), as amended, (prohibits
discrimination on the basis of disability) and 49 CFR part 27;
• The Age Discrimination Act of 1975, as amended, (42 U.S.C. 6101 et seq.), (prohibits
discrimination on the basis of age);
• The Civil Rights Restoration Act of 1987, (Pub. L. 100–209), (broadens scope, coverage
and applicability of Title VI of the Civil Rights Act of 1964, The Age Discrimination Act of
1975 and Section 504 of the Rehabilitation Act of 1973, by expanding the denition of the
terms “programs or activities” to include all of the programs or activities of the Federal aid
recipients, subrecipients and contractors, whether such programs or activities are Federally-
funded or not);
• Titles II and III of the Americans with Disabilities Act (42 U.S.C. 12131–12189) (prohibits
discrimination on the basis of disability in the operation of public entities, public and private
transportation systems, places of public accommodation, and certain testing) and 49 CFR
parts 37 and 38;
• Executive Order 12898, Federal Actions to Address Environmental Justice in Minority
Populations and Low-Income Populations (preventing discrimination against minority
populations by discouraging programs, policies, and activities with disproportionately high
and adverse human health or environmental effects on minority and low-income populations);
• Executive Order 13166, Improving Access to Services for Persons with Limited English
Prociency (requiring that recipients of Federal nancial assistance provide meaningful
access for applicants and beneciaries who have limited English prociency (LEP));
• Executive Order 13985, Advancing Racial Equity and Support for Underserved Communities
through the Federal Government (advancing equity across the Federal Government); and
• Executive Order 13988, Preventing and Combating Discrimination on the Basis of Gender
Identity or Sexual Orientation (clarifying that sex discrimination includes discrimination on
the grounds of gender identity or sexual orientation).
The preceding statutory and regulatory cites hereinafter are referred to as the “Acts” and “Regulations,”
respectively.
GENERAL ASSURANCES
In accordance with the Acts, the Regulations, and other pertinent directives, circulars, policy,
memoranda, and/or guidance, the Recipient hereby gives assurance that it will promptly take any
measures necessary to ensure that:
“No person in the United States shall, on the grounds of race, color, or national origin, be excluded
from participation in, be denied the benets of, or be otherwise subjected to discrimination under any
program or activity, for which the Recipient receives Federal nancial assistance from DOT, including
NHTSA.”
THSO Grants Management Manual 35
The Civil Rights Restoration Act of 1987 claried the original intent of Congress, with respect to Title VI
of the Civil Rights Act of 1964 and other non-discrimination requirements (the Age Discrimination Act
of 1975, and Section 504 of the Rehabilitation Act of 1973), by restoring the broad, institutional-wide
scope and coverage of these nondiscrimination statutes and requirements to include all programs and
activities of the Recipient, so long as any portion of the program is Federally assisted.
SPECIFIC ASSURANCES
More specically, and without limiting the above general Assurance, the Recipient agrees with and
gives the following Assurances with respect to its Federally assisted Highway Safety Grant Program:
1. The Recipient agrees that each “activity,” “facility,” or “program,” as dened in § 21.23(b)
and (e) of 49 CFR part 21 will be (with regard to an “activity”) facilitated, or will be (with regard
to a “facility”) operated, or will be (with regard to a “program”) conducted in compliance with
all requirements imposed by, or pursuant to the Acts and the Regulations.
2. The Recipient will insert the following notication in all solicitations for bids,
Requests For Proposals for work, or material subject to the Acts and the Regulations
made in connection with all Highway Safety Grant Programs and, in adapted
form, in all proposals for negotiated agreements regardless of funding source:
“The [name of Recipient], in accordance with the provisions of Title VI of the Civil Rights Act
of 1964 (78 Stat. 252, 42 U.S.C 2000d to 2000d–4) and the Regulations, hereby noties
all bidders that it will afrmatively ensure that in any contract entered into pursuant to this
advertisement, disadvantaged business enterprises will be afforded full and fair opportunity
to submit bids in response to this invitation and will not be discriminated against on the
grounds of race, color, or national origin in consideration for an award.”
3. The Recipient will insert the clauses of appendix A and E of this Assurance (also referred
to as DOT Order 1050.2A)[1] in every contract or agreement subject to the Acts and the
Regulations.
4. The Recipient will insert the clauses of appendix B of DOT Order 1050.2A, as a covenant
running with the land, in any deed from the United States effecting or recording a transfer
of real property, structures, use, or improvements thereon or interest therein to a Recipient.
5. That where the Recipient receives Federal nancial assistance to construct a facility,
or part of a facility, the Assurance will extend to the entire facility and facilities operated in
connection therewith.
6. That where the Recipient receives Federal nancial assistance in the form of, or for the
acquisition of, real property or an interest in real property, the Assurance will extend to rights
to space on, over, or under such property.
7. That the Recipient will include the clauses set forth in appendix C and appendix D of
this DOT Order 1050.2A, as a covenant running with the land, in any future deeds, leases,
licenses, permits, or similar instruments entered into by the Recipient with other parties:
a. For the subsequent transfer of real property acquired or improved under the
applicable activity, project, or program; and
b. For the construction or use of, or access to, space on, over, or under real property
acquired or improved under the applicable activity, project, or program.
36 THSO Grants Management Manual
8. That this Assurance obligates the Recipient for the period during which Federal nancial
assistance is extended to the program, except where the Federal nancial assistance is
to provide, or is in the form of, personal property, or real property, or interest therein, or
structures or improvements thereon, in which case the Assurance obligates the Recipient,
or any transferee for the longer of the following periods:
a. The period during which the property is used for a purpose for which the Federal
nancial assistance is extended, or for another purpose involving the provision of
similar services or benets; or
b. The period during which the Recipient retains ownership or possession of the
property.
9. The Recipient will provide for such methods of administration for the program as are
found by the Secretary of Transportation or the ofcial to whom he/she delegates specic
authority to give reasonable guarantee that it, other recipients, sub-recipients, sub-
grantees, contractors, subcontractors, consultants, transferees, successors in interest, and
other participants of Federal nancial assistance under such program will comply with all
requirements imposed or pursuant to the Acts, the Regulations, and this Assurance.
10. The Recipient agrees that the United States has a right to seek judicial enforcement with
regard to any matter arising under the Acts, the Regulations, and this Assurance.
By signing this ASSURANCE, the State highway safety agency also agrees to comply (and
require any sub-recipients, sub-grantees, contractors, successors, transferees, and/or
assignees to comply) with all applicable provisions governing NHTSA’s access to records,
accounts, documents, information, facilities, and staff. You also recognize that you must
comply with any program or compliance reviews, and/or complaint investigations conducted
by NHTSA. You must keep records, reports, and submit the material for review upon request
to NHTSA, or its designee in a timely, complete, and accurate way. Additionally, you must
comply with all other reporting, data collection, and evaluation requirements, as prescribed
by law or detailed in program guidance.
The State highway safety agency gives this ASSURANCE in consideration of and for
obtaining any Federal grants, loans, contracts, agreements, property, and/or discounts,
or other Federal-aid and Federal nancial assistance extended after the date hereof to
the recipients by the U.S. Department of Transportation under the Highway Safety Grant
Program. This ASSURANCE is binding on the State highway safety agency, other recipients,
sub-recipients, sub-grantees, contractors, subcontractors and their subcontractors’,
transferees, successors in interest, and any other participants in the Highway Safety Grant
Program. The person(s) signing below is/are authorized to sign this ASSURANCE on behalf
of the Recipient.
THE DRUG-FREE WORKPLACE ACT OF 1988 (41 U.S.C. 8103)
The State will provide a drug-free workplace by:
a. Publishing a statement notifying employees that the unlawful manufacture, distribution,
dispensing, possession or use of a controlled substance is prohibited in the grantee’s
workplace, and specifying the actions that will be taken against employees for violation of
such prohibition;
THSO Grants Management Manual 37
b. Establishing a drug-free awareness program to inform employees about:
1. The dangers of drug abuse in the workplace;
2. The grantee’s policy of maintaining a drug-free workplace;
3. Any available drug counseling, rehabilitation, and employee assistance programs;
4. The penalties that may be imposed upon employees for drug violations occurring
in the workplace;
5. Making it a requirement that each employee engaged in the performance of the
grant be given a copy of the statement required by paragraph (a);
c. Notifying the employee in the statement required by paragraph (a) that, as a condition of
employment under the grant, the employee will—
1. Abide by the terms of the statement;
2. Notify the employer of any criminal drug statute conviction for a violation occurring
in the workplace no later than ve days after such conviction;
d. Notifying the agency within ten days after receiving notice under subparagraph (c)(2)
from an employee or otherwise receiving actual notice of such conviction;
e. Taking one of the following actions, within 30 days of receiving notice under subparagraph
(c)(2), with respect to any employee who is so convicted—
1. Taking appropriate personnel action against such an employee, up to and including
termination;
2. Requiring such employee to participate satisfactorily in a drug abuse assistance
or rehabilitation program approved for such purposes by a Federal, State, or local
health, law enforcement, or other appropriate agency;
f. Making a good faith effort to continue to maintain a drug-free workplace through
implementation of all of the paragraphs above.
POLITICAL ACTIVITY (HATCH ACT) (APPLIES TO SUBRECIPIENTS AS WELL AS STATES)
The State will comply with provisions of the Hatch Act (5 U.S.C. 1501–1508), which limits the political
activities of employees whose principal employment activities are funded in whole or in part with Federal
funds.
38 THSO Grants Management Manual
CERTIFICATION REGARDING FEDERAL LOBBYING (APPLIES TO SUBRECIPIENTS AS WELL AS
STATES)
Certication for Contracts, Grants, Loans, and Cooperative Agreements
The undersigned certies, to the best of his or her knowledge and belief, that:
1. No Federal appropriated funds have been paid or will be paid, by or on behalf of the
undersigned, to any person for inuencing or attempting to inuence an ofcer or employee
of any agency, a Member of Congress, an ofcer or employee of Congress, or an employee
of a Member of Congress in connection with the awarding of any Federal contract, the making
of any Federal grant, the making of any Federal loan, the entering into of any cooperative
agreement, and the extension, continuation, renewal, amendment, or modication of any
Federal contract, grant, loan, or cooperative agreement;
2. If any funds other than Federal appropriated funds have been paid or will be paid to any
person for inuencing or attempting to inuence an ofcer or employee of any agency, a
Member of Congress, an ofcer or employee of Congress, or an employee of a Member of
Congress in connection with this Federal contract, grant, loan, or cooperative agreement,
the undersigned shall complete and submit Standard Form-LLL, “Disclosure Form to Report
Lobbying,” in accordance with its instructions;
3. The undersigned shall require that the language of this certication be included in the
award documents for all sub-awards at all tiers (including subcontracts, subgrants, and
contracts under grant, loans, and cooperative agreements) and that all subrecipients shall
certify and disclose accordingly.
This certication is a material representation of fact upon which reliance was placed when
this transaction was made or entered into. Submission of this certication is a prerequisite
for making or entering into this transaction imposed by section 1352, title 31, U.S. Code.
Any person who fails to le the required certication shall be subject to a civil penalty of not
less than $10,000 and not more than $100,000 for each such failure.
RESTRICTION ON STATE LOBBYING (APPLIES TO SUBRECIPIENTS AS WELL AS STATES)
None of the funds under this program will be used for any activity specically designed to urge or
inuence a State or local legislator to favor or oppose the adoption of any specic legislative proposal
pending before any State or local legislative body. Such activities include both direct and indirect (e.g.,
“grassroots”) lobbying activities, with one exception. This does not preclude a State ofcial whose
salary is supported with NHTSA funds from engaging in direct communications with State or local
legislative ofcials, in accordance with customary State practice, even if such communications urge
legislative ofcials to favor or oppose the adoption of a specic pending legislative proposal.
THSO Grants Management Manual 39
CERTIFICATION REGARDING DEBARMENT AND SUSPENSION (APPLIES TO SUBRECIPIENTS
AS WELL AS STATES)
Instructions for Primary Tier Participant Certication (States)
1. By signing and submitting this proposal, the prospective primary tier participant is providing
the certication set out below and agrees to comply with the requirements of 2 CFR parts
180 and 1200.
2. The inability of a person to provide the certication required below will not necessarily
result in denial of participation in this covered transaction. The prospective primary tier
participant shall submit an explanation of why it cannot provide the certication set out
below. The certication or explanation will be considered in connection with the department
or agency’s determination whether to enter into this transaction. However, failure of the
prospective primary tier participant to furnish a certication or an explanation shall disqualify
such person from participation in this transaction.
3. The certication in this clause is a material representation of fact upon which reliance
was placed when the department or agency determined to enter into this transaction. If
it is later determined that the prospective primary tier participant knowingly rendered an
erroneous certication, in addition to other remedies available to the Federal Government,
the department or agency may terminate this transaction for cause or default or may pursue
suspension or debarment.
4. The prospective primary tier participant shall provide immediate written notice to the
department or agency to which this proposal is submitted if at any time the prospective
primary tier participant learns its certication was erroneous when submitted or has become
erroneous by reason of changed circumstances.
5. The terms covered transaction, civil judgment, debarment, suspension, ineligible,
participant, person, principal, and voluntarily excluded, as used in this clause, are dened
in 2 CFR parts 180 and 1200. You may contact the department or agency to which this
proposal is being submitted for assistance in obtaining a copy of those regulations.
6. The prospective primary tier participant agrees by submitting this proposal that, should
the proposed covered transaction be entered into, it shall not knowingly enter into any
lower tier covered transaction with a person who is proposed for debarment under 48 CFR
part 9, subpart 9.4, debarred, suspended, declared ineligible, or voluntarily excluded from
participation in this covered transaction, unless authorized by the department or agency
entering into this transaction.
7. The prospective primary tier participant further agrees by submitting this proposal that it
will include the clause titled “Instructions for Lower Tier Participant Certication” including
the “Certication Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion—
Lower Tier Covered Transaction,” provided by the department or agency entering into this
covered transaction, without modication, in all lower tier covered transactions and in all
solicitations for lower tier covered transactions and will require lower tier participants to
comply with 2 CFR parts 180 and 1200.
8. A participant in a covered transaction may rely upon a certication of a prospective
40 THSO Grants Management Manual
participant in a lower tier covered transaction that it is not proposed for debarment under
48 CFR part 9, subpart 9.4, debarred, suspended, ineligible, or voluntarily excluded from
the covered transaction, unless it knows that the certication is erroneous. A participant
is responsible for ensuring that its principals are not suspended, debarred, or otherwise
ineligible to participate in covered transactions. To verify the eligibility of its principals, as
well as the eligibility of any prospective lower tier participants, each participant may, but is
not required to, check the System for Award Management Exclusions website (https://www.
sam.gov/).
9. Nothing contained in the foregoing shall be construed to require establishment of a system
of records in order to render in good faith the certication required by this clause. The
knowledge and information of a participant is not required to exceed that which is normally
possessed by a prudent person in the ordinary course of business dealings.
10. Except for transactions authorized under paragraph 6 of these instructions, if a participant
in a covered transaction knowingly enters into a lower tier covered transaction with a person
who is proposed for debarment under 48 CFR part 9, subpart 9.4, suspended, debarred,
ineligible, or voluntarily excluded from participation in this transaction, in addition to other
remedies available to the Federal Government, the department or agency may terminate
the transaction for cause or default.
CERTIFICATION REGARDING DEBARMENT, SUSPENSION, AND OTHER RESPONSIBILITY
MATTERS—PRIMARY TIER COVERED TRANSACTIONS
(1) The prospective primary tier participant certies to the best of its knowledge and belief,
that it and its principals:
(a) Are not presently debarred, suspended, proposed for debarment, declared
ineligible, or voluntarily excluded from participating in covered transactions by any
Federal department or agency;
(b) Have not within a three-year period preceding this proposal been convicted of
or had a civil judgment rendered against them for commission of fraud or a criminal
offense in connection with obtaining, attempting to obtain, or performing a public
(Federal, State, or local) transaction or contract under a public transaction; violation
of Federal or State antitrust statutes or commission of embezzlement, theft, forgery,
bribery, falsication or destruction of records, making false statements, or receiving
stolen property;
(c) Are not presently indicted for or otherwise criminally or civilly charged by a
governmental entity (Federal, State, or local) with commission of any of the offenses
enumerated in paragraph (1)(b) of this certication; and
(d) Have not within a three-year period preceding this application/proposal had one
or more public transactions (Federal, State, or local) terminated for cause or default.
(2) Where the prospective primary tier participant is unable to certify to any of the Statements
in this certication, such prospective participant shall attach an explanation to this proposal.
THSO Grants Management Manual 41
INSTRUCTIONS FOR LOWER TIER PARTICIPANT CERTIFICATION
1. By signing and submitting this proposal, the prospective lower tier participant is providing
the certication set out below and agrees to comply with the requirements of 2 CFR parts
180 and 1200.
2. The certication in this clause is a material representation of fact upon which reliance was
placed when this transaction was entered into. If it is later determined that the prospective
lower tier participant knowingly rendered an erroneous certication, in addition to other
remedies available to the Federal Government, the department or agency with which this
transaction originated may pursue available remedies, including suspension or debarment.
3. The prospective lower tier participant shall provide immediate written notice to the person
to which this proposal is submitted if at any time the prospective lower tier participant learns
that its certication was erroneous when submitted or has become erroneous by reason of
changed circumstances.
4. The terms covered transaction, civil judgment, debarment, suspension, ineligible,
participant, person, principal, and voluntarily excluded, as used in this clause, are dened in
2 CFR parts 180 and 1200. You may contact the person to whom this proposal is submitted
for assistance in obtaining a copy of those regulations.
5. The prospective lower tier participant agrees by submitting this proposal that, should
the proposed covered transaction be entered into, it shall not knowingly enter into any
lower tier covered transaction with a person who is proposed for debarment under 48 CFR
part 9, subpart 9.4, debarred, suspended, declared ineligible, or voluntarily excluded from
participation in this covered transaction, unless authorized by the department or agency
with which this transaction originated.
6. The prospective lower tier participant further agrees by submitting this proposal that it
will include the clause titled “Instructions for Lower Tier Participant Certication” including
the “Certication Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion—
Lower Tier Covered Transaction,” without modication, in all lower tier covered transactions
and in all solicitations for lower tier covered transactions and will require lower tier participants
to comply with 2 CFR parts 180 and 1200.
7. A participant in a covered transaction may rely upon a certication of a prospective
participant in a lower tier covered transaction that it is not proposed for debarment under
48 CFR part 9, subpart 9.4, debarred, suspended, ineligible, or voluntarily excluded from
the covered transaction, unless it knows that the certication is erroneous. A participant
is responsible for ensuring that its principals are not suspended, debarred, or otherwise
ineligible to participate in covered transactions. To verify the eligibility of its principals, as
well as the eligibility of any prospective lower tier participants, each participant may, but is
not required to, check the System for Award Management Exclusions website (https://www.
sam.gov/).
8. Nothing contained in the foregoing shall be construed to require establishment of a system
of records in order to render in good faith the certication required by this clause. The
knowledge and information of a participant is not required to exceed that which is normally
possessed by a prudent person in the ordinary course of business dealings.
9. Except for transactions authorized under paragraph 5 of these instructions, if a participant
42 THSO Grants Management Manual
in a covered transaction knowingly enters into a lower tier covered transaction with a person
who is proposed for debarment under 48 CFR part 9, subpart 9.4, suspended, debarred,
ineligible, or voluntarily excluded from participation in this transaction, in addition to other
remedies available to the Federal Government, the department or agency with which this
transaction originated may pursue available remedies, including suspension or debarment.
CERTIFICATION REGARDING DEBARMENT, SUSPENSION, INELIGIBILITY AND VOLUNTARY
EXCLUSION—LOWER TIER COVERED TRANSACTIONS:
1. The prospective lower tier participant certies, by submission of this proposal, that neither
it nor its principals is presently debarred, suspended, proposed for debarment, declared
ineligible, or voluntarily excluded from participating in covered transactions by any Federal
department or agency.
2. Where the prospective lower tier participant is unable to certify to any of the statements
in this certication, such prospective participant shall attach an explanation to this proposal.
BUY AMERICA (APPLIES TO SUBRECIPIENTS AS WELL AS STATES)
The State and each subrecipient will comply with the Buy America requirement (23 U.S.C. 313) when
purchasing items using Federal funds. Buy America requires a State, or subrecipient, to purchase with
Federal funds only steel, iron and manufactured products produced in the United States, unless the
Secretary of Transportation determines that such domestically produced items would be inconsistent
with the public interest, that such materials are not reasonably available and of a satisfactory quality, or
that inclusion of domestic materials will increase the cost of the overall project contract by more than
25 percent. In order to use Federal funds to purchase foreign produced items, the State must submit
a waiver request that provides an adequate basis and justication for approval by the Secretary of
Transportation.
CERTIFICATION ON CONFLICT OF INTEREST (APPLIES TO SUBRECIPIENTS AS WELL AS
STATES)
GENERAL REQUIREMENTS
No employee, ofcer or agent of a State or its subrecipient who is authorized in an ofcial capacity
to negotiate, make, accept or approve, or to take part in negotiating, making, accepting or approving
any subaward, including contracts or subcontracts, in connection with this grant shall have, directly or
indirectly, any nancial or personal interest in any such subaward. Such a nancial or personal interest
would arise when the employee, ofcer, or agent, any member of his or her immediate family, his or
her partner, or an organization which employs or is about to employ any of the parties indicated herein,
has a nancial or personal interest in or a tangible personal benet from an entity considered for a
subaward. Based on this policy:
1. The recipient shall maintain a written code or standards of conduct that provide for
disciplinary actions to be applied for violations of such standards by ofcers, employees, or
agents.
THSO Grants Management Manual 43
a. The code or standards shall provide that the recipient’s ofcers, employees, or
agents may neither solicit nor accept gratuities, favors, or anything of monetary
value from present or potential subawardees, including contractors or parties to
subcontracts.
b. The code or standards shall establish penalties, sanctions or other disciplinary
actions for violations, as permitted by State or local law or regulations.
2. The recipient shall maintain responsibility to enforce the requirements of the written code
or standards of conduct.
DISCLOSURE REQUIREMENTS
No State or its subrecipient, including its ofcers, employees or agents, shall perform or continue to
perform under a grant or cooperative agreement, whose objectivity may be impaired because of any
related past, present, or currently planned interest, nancial or otherwise, in organizations regulated by
NHTSA or in organizations whose interests may be substantially affected by NHTSA activities. Based
on this policy:
1. The recipient shall disclose any conict of interest identied as soon as reasonably
possible, making an immediate and full disclosure in writing to NHTSA. The disclosure shall
include a description of the action which the recipient has taken or proposes to take to avoid
or mitigate such conict.
2. NHTSA will review the disclosure and may require additional relevant information from
the recipient. If a conict of interest is found to exist, NHTSA may
(a) terminate the award, or
(b) determine that it is otherwise in the best interest of NHTSA to continue the award
and include appropriate provisions to mitigate or avoid such conict.
3. Conicts of interest that require disclosure include all past, present or currently planned
organizational, nancial, contractual or other interest(s) with an organization regulated by
NHTSA or with an organization whose interests may be substantially affected by NHTSA
activities, and which are related to this award. The interest(s) that require disclosure include
those of any recipient, afliate, proposed consultant, proposed subcontractor and key
personnel of any of the above. Past interest shall be limited to within one year of the date
of award. Key personnel shall include any person owning more than a 20 percent interest
in a recipient, and the ofcers, employees or agents of a recipient who are responsible for
making a decision or taking an action under an award where the decision or action can have
an economic or other impact on the interests of a regulated or affected organization.
44 THSO Grants Management Manual
PROHIBITION ON USING GRANT FUNDS TO CHECK FOR HELMET USAGE (APPLIES TO
SUBRECIPIENTS AS WELL AS STATES)
The State and each subrecipient will not use 23 U.S.C. Chapter 4 grant funds for programs to check
helmet usage or to create checkpoints that specically target motorcyclists.
POLICY ON SEAT BELT USE
In accordance with Executive Order 13043, Increasing Seat Belt Use in the United States, dated April 16,
1997, the Grantee is encouraged to adopt and enforce on-the-job seat belt use policies and programs
for its employees when operating company-owned, rented, or personally-owned vehicles. The National
Highway Trafc Safety Administration (NHTSA) is responsible for providing leadership and guidance
in support of this Presidential initiative. For information and resources on trafc safety programs and
policies for employers, please contact the Network of Employers for Trafc Safety (NETS), a public-
private partnership dedicated to improving the trafc safety practices of employers and employees.
You can download information on seat belt programs, costs of motor vehicle crashes to employers,
and other trafc safety initiatives at www.trafcsafety.org. The NHTSA website (www.nhtsa.gov) also
provides information on statistics, campaigns, and program evaluations and references.
POLICY ON BANNING TEXT MESSAGING WHILE DRIVING
In accordance with Executive Order 13513, Federal Leadership On Reducing Text Messaging While
Driving, and DOT Order 3902.10, Text Messaging While Driving, States are encouraged to adopt and
enforce workplace safety policies to decrease crashes caused by distracted driving, including policies
to ban text messaging while driving company-owned or rented vehicles, Government-owned, leased or
rented vehicles, or privately-owned vehicles when on ofcial Government business or when performing
any work on or behalf of the Government. States are also encouraged to conduct workplace safety
initiatives in a manner commensurate with the size of the business, such as establishment of new
rules and programs or re-evaluation of existing programs to prohibit text messaging while driving, and
education, awareness, and other outreach to employees about the safety risks associated with texting
while driving.
SECTION 402 REQUIREMENTS
1. To the best of my personal knowledge, the information submitted in the annual grant
application in support of the State’s application for a grant under 23 U.S.C. 402 is accurate
and complete.
2. The Governor is the responsible ofcial for the administration of the State highway safety
program, by appointing a Governor’s Representative for Highway Safety who shall be
responsible for a State highway safety agency that has adequate powers and is suitably
equipped and organized (as evidenced by appropriate oversight procedures governing such
areas as procurement, nancial administration, and the use, management, and disposition
of equipment) to carry out the program. (23 U.S.C. 402(b)(1)(A))
3. At least 40 percent of all Federal funds apportioned to this State under 23 U.S.C. 402
for this scal year will be expended by or on behalf of political subdivisions of the State in
THSO Grants Management Manual 45
carrying out local highway safety programs (23 U.S.C. 402(b)(1)(C)) or 95 percent by and
on behalf of Indian tribes (23 U.S.C. 402(h)(2)), unless this requirement is waived in writing.
(This provision is not applicable to the District of Columbia, Puerto Rico, the U.S. Virgin
Islands, Guam, American Samoa, and the Commonwealth of the Northern Mariana Islands.)
4. The State’s highway safety program provides adequate and reasonable access for the
safe and convenient movement of physically handicapped persons, including those in
wheelchairs, across curbs constructed or replaced on or after July 1, 1976, at all pedestrian
crosswalks. (23 U.S.C. 402(b)(1)(D))
5. As part of a comprehensive program, the State will support a data-based trafc safety
enforcement program that fosters effective community collaboration to increase public
safety, and data collection and analysis to ensure transparency, identify disparities in trafc
enforcement, and inform trafc enforcement policies, procedures, and activities. (23 U.S.C.
402(b)(1)(E))
6. The State will implement activities in support of national highway safety goals to reduce
motor vehicle related fatalities that also reect the primary data-related crash factors within
the State, as identied by the State highway safety planning process, including:
• Participation in the National high-visibility law enforcement mobilizations as
identied annually in the NHTSA Communications Calendar, including not less than
3 mobilization campaigns in each scal year to—
○ Reduce alcohol-impaired or drug-impaired operation of motor vehicles;
and
○ Increase use of seat belts by occupants of motor vehicles;
• Sustained enforcement of statutes addressing impaired driving, occupant protection,
and driving in excess of posted speed limits;
• An annual statewide seat belt use survey in accordance with 23 CFR part 1340 for
the measurement of State seat belt use rates, except for the Secretary of Interior on
behalf of Indian tribes;
• Development of statewide data systems to provide timely and effective data analysis
to support allocation of highway safety resources;
• Coordination of triennial Highway Safety Plan, data collection, and information
systems with the State strategic highway safety plan, as dened in 23 U.S.C. 148(a);
and
• Participation in the Fatality Analysis Reporting System (FARS), except for American
Samoa, Guam, the Commonwealth of the Northern Mariana Islands, or the United
States Virgin Islands.
(23 U.S.C. 402(b)(1)(F))
7. The State will actively encourage all relevant law enforcement agencies in the State to
follow the guidelines established for vehicular pursuits issued by the International Association
of Chiefs of Police that are currently in effect. (23 U.S.C. 402(j))
46 THSO Grants Management Manual
8. The State will ot expend Section 402 funds to carry out a program to purchase, operate,
or maintain an automated trafc enforcement system, except in a work zone or school zone.
(23 U.S.C. 402(c)(4))
THSO Grants Management Manual 47
Appendix B - Allowable Items (Supplies & Equipment)
Included below is a list of allowable items. An item costing less than $5,000 is considered a supply. An
item costing $5,000 or more is considered equipment (capital purchase). Some items are not allowed
based on a grant’s funding source. All items $5,000 or more must comply with the Buy America Act, 23
U.S.C. § 313. Please direct any questions regarding allowable items to your THSO program manager.
In accordance with the memo issued by NHTSA on May 18, 2016, supply items are not to be used as
incentive items. With the exception of child safety seats, supplies are to be kept by the grant recipient
for use by the program, not distributed for retention by individuals.
Child Passenger Safety Items
These items are generally used for child safety seat checkup events or daily car seat installation and
could include the following: child safety seats, locking and belt shortening clips, clipboards, pens and
pencils, foam swim noodles, shelf liner, latex gloves, rst aid kits, anti-bacterial soap/hand sanitizer,
waste receptacles, training dolls, folding table, tape, scissors, staples, storage bins, trafc cones,
barricades, chalk, awnings/tents, event signs, folding chairs, dollies, bottled water/cooler, scales,
measuring tape and/or height chart, screw drivers, copier paper, post-it notes, highlighters, etc.
Emergency Medical Services Supplies/Equipment
These items are generally used to conduct rst responder or extrication training courses or equipment
for rst responder personnel and could include the following: rst responder books and workbooks,
training kits and supplies, rst responder kits, Automated External Debrillator trainer, CPR/training
mannequins, multi-cuff blood pressure kits, extrication rams, extrication hydraulic pumps, extrication
spreading tools, extrication hoses, extrication hydraulic cutters, ram support units, cribbing equipment,
backboards, cadaver bags, cervical collars, disposable blankets, disposable linen sheets, disposable
splints, head blocks, immobilizers, oral/nasal airway sets, pedilite boards, pocket masks, resuscitators,
stretchers, stocked trauma bags, suction devices, traction splints, universal arm slings, automated
external debrillator, etc.
48 THSO Grants Management Manual
General Ofce Supplies
Items typically utilized to conduct normal business activities that are relevant to the primary function
of the grant and outside of the agency’s regular budgetary allowances. Otherwise, the purchase is
considered supplanting and not allowed under federal grant regulations. Typically enforcement grants
are not allowed to purchase general ofce supplies. A good reference of ofce supplies may be what
is available through Staples, Ofce Max, or Ofce Depot, and other similar type businesses. Allowable
ofce supplies could include the following:
• Writing instruments – pens, pencils, markers, highlighters, chalk, crayons, correction uid,
erasers
• Organizers – bags, cases, binders, accessories, calendars, planners, desk accessories,
organizers, le folders and accessories, labels and label makers, laminating and binding, post-it
notes and ags, storage and archive accessories
• Presentation – boards, easels, easel pads, presentation equipment
• Fasteners – clips, fasteners, rubber bands, staplers and staples, hole punchers, tape, glue, and
adhesives
• Measurement and Cutting – scissors, trimmers, rulers, drafting supplies
• Mailroom & Shipping – labels, boxes, envelopes
• Paper – computer/copier, colored, fax, inkjet/laser, photo, preprinted certicates, machine rolls,
notebooks, bound pads, message pads, post-it notes
• Audio/Visual – cables, batteries, computer accessories, hard drives, CDs/DVDs/data storage,
keyboards, mouse pads, battery back-up, monitors, networking supplies, PC memory, software,
copiers, fax machines, printers, scanners, USB drives, ash/stick/thumb drives, computers,
landline phones, headsets, GPS units, camcorders, voice recorders, calculators, shredders,
projectors
• Printer and copier ink/ink drums, toner
THSO Grants Management Manual 49
Law Enforcement Supplies/Equipment
These items are generally used to conduct sobriety checkpoints or trafc saturations. All items purchased
with highway safety grant funds must be used to address the problem identied in your agency’s
grant application. The following list of commonly purchased items are allowable based on your grant’s
funding source. This list is not an all-inclusive list and may be revised as needed by the THSO. If you
have questions about these or other items not listed, contact your THSO program manager.
154 and 405d (Impaired Driving Enforcement/Education) approved equipment:
• In-car video cameras/systems
• Computers and mounts for vehicles
• Fatal vision products
• DUI checkpoint supplies (ashlights, cones, PBT/alcohol sensor, checkpoint signs, and reective
gloves/vests)
• Generator for lighting used at a sobriety checkpoint
• Vehicle lighting/scene lighting for sobriety checkpoints
• Cargo trailer (only for sobriety checkpoint supplies / equipment)
• DRE supply items
402 (Police Trafc Services – PT) approved equipment:
• All items listed under 154 and 405d, plus the following:
• Radar
• LiDAR
• Radar trailer
• Pole mounted speed signs
• Speed spy data collection (or similar)
• Simulators
• E-Citation items (scanners/printers)
50 THSO Grants Management Manual
Items not allowable under any funding source:
• All weapons including rearms, tasers, or ammunition
• Consoles, cages, or push bumpers
• Uniforms, jackets, shirts, duty belts, shoes, etc.
• Desks, chairs, cabinets, or any type of furniture
• Trafc signal devices including school zone lighting
• Guardrails, barricades
• Spike strips
• Sirens
• Radio equipment
• Total Station or related software
• Tint meters
• Golf carts / UTV / ATV
• License plate readers (LPR)
• Body-worn cameras
THSO Grants Management Manual 51
Appendix C - Travel
The THSO follows the state of Tennessee travel policy which follows what is provided on GSA.gov.
