MCSAP Minimum Standards & Requirements · 2019. 12. 13. · MCSAP Planning Meeting and Grants...

MCSAP Planning Meeting and Grants Training – 2017

MCSAP Minimum Standards & Requirements


• Overview of FAST and MCSAP– FAST Requirements

• Requirements and standards• Grant program specifics

– Regulatory Requirement Overview• 49 CFR 350

– MCSAP Policy Requirements• National MCSAP elements (per 49 CFR 350.109)• CVSP numbers• OOS Catch Rate• Traffic enforcement• Overtime

4/7/2017 2

Objectives


• Program Purpose - FAST Act Sec. 5101(b)“…work in partnership to establish programs to improve motor carrier,

commercial motor vehicle, and driver safety to support a safe and efficient surface transportation system…”

• State Plan (CVSP) requirements FAST Act Sec. 5101(c)(2)(A) through (BB)

• (c)(3) - Plan posting requirements Public posting 30 days after approval Ability to redact

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MCSAP Requirements


• (e) – Intrastate compatibility• (h) – Use of grants to enforce other lawsSize and WeightHuman TraffickingDocumented enforcement of State traffic lawsMaintain 2004/2005 CMV safety activity level

FMCSA calculated as – CMV Inspections + NE Audits + CR’s

Not more than 10% Basic amount without approvalMore on this later…

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Additional notable conditions in Sec. 5101


• Defined in 49 USC 31102– Reiterated in 49 CFR 350.107

• MCSAP– All States– D.C., Puerto Rico, Northern Mariana Islands, American Samoa,

Guam, Virgin Islands• High Priority

– States– Local governments– Federally recognized Indian tribes– Other political jurisdictions or any person

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Who Gets Funding?


National MCSAP Elements49 CFR 350.109

• Driver/vehicle Inspections• Traffic Enforcement• Compliance Reviews• Public Education and awareness• Data collection

National Training Center6


350.201 - How to Qualify for MCSAP

• Adopt and enforce FMCSRs (390-397), HMRs (107 F &G, 171-173, 177, 178, 180)

• Implement performance based activities including deployment and maintenance of technology

• Governor designates Lead Agency• Obtain legal authority, resources, qualified personnel• Devote adequate resources to administrate CVSP• Level of Effort or Maintenance of Effort (MOE)• Right of Entry• Provide required reports




• Use FMCSA reporting standards (systems) and forms for recordkeeping, inspections, and investigations

• Grant reciprocity for North American Standard (NAS) inspections with a current CVSA decal

• The activities found in 350.309 – (e.g. size and weight, criminal activity, CMV and non-CMV traffic enforcement) paid with grant funds do not reduce the effectiveness of motor carrier, CMV, and driver safety




• The Lead Agency will coordinate the CVSP, data collection and information systems with the agency that develops and implements the State Strategic Highway Safety Program

• Ensure the State and subawardees participate in FMCSA information technology and data systems

• Ensure information is exchanged with other States timely• Undertake efforts to emphasize and improve

enforcement of State and local traffic laws related to CMV safety




• Will address activities in support of the National Program elements (350.109), including:– Remove impaired drivers– Ensure roadside access to alcohol detection equipment– Criminal interdiction including human trafficking when

conducted with a CMV inspection

• Dedicate sufficient resources to ensure accurate, complete and timely CMV data is collected and reported through SafetyNet




• Enforce registration and operating authority by placing out of service any vehicle operating without or outside the scope of the registration/operating authority

• Enforce financial responsibility requirements• Ensure consistent, effective and reasonable sanctions• Conduct roadside inspections at safe locations to protect

the safety of drivers and inspectors• Include in the CMV and non-CVM licensing manuals

information on best practice for driving around one another




• Conduct comprehensive and highly visible traffic enforcement and CMV safety inspections in high risk locations and corridors

• Inspections of CMVs carrying passengers are conducted at a bus station, terminal, border crossing, maintenance facility, destination or planned stop locations except weigh stations unless there is an imminent or obvious safety hazard

• Lead Agency must transmit to roadside inspectors each Federal exemption granted and provided to the State by FMCSA




• Except for a territory, conduct New Entrant Safety Audits– May use third party– State responsible for management, oversight and quality

• Agrees to fully participate in PRISM by October 1, 2020 (level six)

• If the State shares a land border with another country, conduct a border CMV safety program focusing on international commerce

• ITD maintenance and operation costs are eligible



350.301 - Level of Effort (MOE)

• Level of Effort and Maintenance of Effort (MOE) are synonyms and used interchangeably by FMCSA

• Maintain the average aggregate expenditure of the Lead Agency for CMV safety programs equal to the average level of the expenditures for the federal fiscal years 2004 and 2005

• Must exclude from the calculation:– Federal funds expended– State matching funds expended



• Five national program elements (350.109)• Sanitary food transportation inspections (49 USC 5708)• When accompanied by a NAS inspection and report

– Size and Weight at other than fixed facilities where there is a link to a documented safety problem such as steep grades, mountainous terrains, ports where intermodal container enter and leave US

– Detection of and enforcement of criminal activity including human trafficking by any occupant of a CMV

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350.309 - MCSAP activities allowed


• Documented enforcement of State traffic laws and regulations to promote safe operations of CMVs– Includes documented enforcement of non-CMVs around CMVs– The number of motor carrier safety activities must equal the

average activities conducted in federal fiscal years 2004 and 2005

– The State cannot use more than 10% of MCSAP Basic funds for enforcement activities on non-CMVs

• A State may ask FMCSA Administrator to increase the 10% using data to show a significant increases in CMV safety.

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350.309 - MCSAP activities allowed


• Ultimately, each State is responsible for determining the level of NAS inspection to be conducted. – It is recognized that the percentage of Level I, II and III inspections

conducted by a State will vary depending on the safety problem being addressed, type of inspection facilities, location, and other factors within the State.

– The FMCSA encourages each State to conduct at least 25% of its inspections as NAS Level I.

– FMCSA encourages each State to conduct at least 33% of its inspections as NAS Level III.

• If your data shows the you need to deviate from these numbers, provide your analysis with data to show your need.

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NAS Inspection Levels


• The FMCSA recognizes that some States schedule inspections and give the motor carriers advance notice.– These inspections should be Level I or Level V inspections, to allow

inspectors to meet certification requirements. – FMCSA requests that the States closely monitor the use of scheduled

inspections to ensure that a motor carrier is not inappropriately altering its SMS scores and safety history

• How do you determine if the scheduled inspection is truly Level 1 or Level 5

• Do you have a process to determine if the inspections will not alter the SMS scores?

• Are you coordinating with the Division Office since MAP-21 requires FMCSA visit every passenger carrier every three years?

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Schedule Inspections


• Documented traffic enforcement on CMVs without an inspection.

• Documented traffic enforcement on non-CMVs without an inspection when necessary to promote the safe operation by and around CMVs (amount limited as described below).

• Documented traffic enforcement during strike force activities in high risk locations and/or corridors.

• Coordination with other Agencies grants (e.g. NHTSA, FHWA, DOJ)

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Traffic Enforcement


• The statutory language and FMCSA policy allowing MCSAP funding to be used for documented traffic enforcement against non-CMVs has several requirements:

– 1. The activity must be designed to promote the safe operation of CMVs; – 2. The number of motor carrier safety activities (including roadside inspections, compliance reviews, safety

audits, etc.) conducted by the State is maintained at a level at least equal to the average for FYs 2004 and 2005;

– 3. The State does not spend more than 10% of its MCSAP Basic funding amount for non-CMV traffic enforcement unless FMCSA determines that a higher percentage will result in significant increases in CMV safety;

– 4. Enforcement activities targeting CMVs and non-CMVs must be documented and the documentation provided to FMCSA; and

– 5. Detection and enforcement actions taken as a result of criminal activity, including the trafficking of human beings, in CMV or by any occupant, including the operator is allowed as long as the previous requirements are met.

• The statutory 10 % limitation applies only to traffic enforcement on non-CMVs, and only to the MCSAP Basic funding amount received. For example, if a State receives a $1,000,000 Basic grant (Federal share), the State could request reimbursement for no more than $100,000 of the costs for documented traffic enforcement against non-CMVs.

• States must report their non-inspection traffic enforcement activities to FMCSA in the quarterly performance progress report.

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MCP 5.4 - Traffic Enforcement Cost Eligibility


• A MCSAP lead agency may annually allocate up to 15% of the total approved grant project cost for expenditures associated with overtime, either incidental or planned, to conduct eligible MCSAP activities.

• If a State identifies a need to go beyond the 15% overtime limitation, FMCSA will consider such requests in the CVSP approval process if the State provides adequate written justification to FMCSA in the annual CVSP.

• If a State identifies the need to modify the amount of overtime after the CVSP is approved by FMCSA, the State must submit a budget amendment request in accordance with the procedures outlined in the FMCSA Grants Management Manual.

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Overtime


• 5.2- Use of MCSAP Funds for Operations and Maintenance– Grantees may apply for O&M costs associated with ITD (or PRISM) projects

that entail routine maintenance (e.g. server host fees), standard operation (e.g. renewal of software license), preventative care and servicing to maintain current functional levels of systems and to avoid failures before they develop into major defects.

– States may also apply for O&M to identify and correct faults that once addressed will allow the item to be restored to an operational condition.

– Activities that do not require detailed technical knowledge of an item’s function and design (e.g., inspecting, cleaning, servicing) may also be requested under O&M.

– States may also apply for ongoing O&M for memberships, fees, dues, program travel, and other related program costs that maintain or support related projects or activities.

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MCP- Operations & Maintenance


• 6.3- Category 3: ITD Operations and Maintenance Grants– FMCSA allows ITD grant funding for ongoing Operation and

Maintenance (O&M) costs associated with ITD deployment projects that maintain and repair real property, or a system, based on its current status and abilities.

– O&M costs may also include memberships, fees, dues, program travel, and other related program costs that maintain or support deployment activities, as defined previously in section 5.2.

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MCP- Operations & Maintenance


350.301 Level of Effort (MOE)

• May also exclude in the calculation:– Border enforcement expenditures– New Entrant expenditures

• May use Unified Carrier Registration (UCR) fees as part of the MOE if not used as a match

• May request a waiver or modification from FMCSA:– For one fiscal year– State must explain why a waiver or modification is needed



350.303 What % Feds pay?

• FMCSA will reimburse at least 85%• The State provide a match of up to 15%• The FMCSA funds plus State match must equal 100%• In-kind contributions are acceptable if they represent

eligible costs• State may use Unified Carrier Registration fees if not

used for MOE or as a match for another federal grant



• Law or regulation has same effect as Federal– Yes – Compatible– No – Intrastate – see 350.341– No – Interstate – Less stringent – cannot enforce– No – Interstate – more stringent – authorized if the State can

demonstrate this law or regulation has a safety benefit or does not create an undue burden on interstate commerce (see Part 355)

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350.333 Compatibility Guidelines


• FMCSA may initiate a proceeding to withdraw the Plan from approval or withhold MCSAP funds (see 350.215) when:– State has compatible laws and rules then enacts a law or rule

that is incompatible– State fails to adopt new FMCSR or HMR within 3 years of its

effective date– A finding by FMCSA that a State law, rule or enforcement

practice in interstate or intrastate commerce is incompatible• Any decision of the HMR requiring an interpretation is

referred to PHMSA of the DOT before proceeding

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350.335 Consequence for incompatibility


• May exempt CMVs with GVWR, GCW or GCWR of less than 26,000 lbs. unless– HM requiring a placard– Designed or used to transport 16 or more people including the

driver

• May not grant exemptions based upon transportation type (e.g. for-hire, private, etc.)

• May retain exemptions in effect before April 1988 that are still in affect and apply to specific industries

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350.341 Intrastate variances


• Must not include exemptions based upon the distance a motor carrier or driver operates from the work reporting location. May extend the 100 miles found in 395.1(e) to 150 miles.

• Hours of service– 12 hour driving limit with 16 hours on duty– 70 hours in 7 days or 80 hours in 8 days

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• Driver Qualifications– May drive if don’t meet 391.41 if meet all three:

• Driver was qualified under previous State law at the time the State adopted FMCSR 391.41

• The non-qualifying medical or physical condition has not substantially worsened

• No other non-qualifying medical or physical condition has developed

– State may grant medical or physical variances under State’s equivalent to 391.41

– May decide to not adopt their own registry of medical examiners for intrastate commerce ( use FMCSAs)

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• Exemptions for specific industries are strongly discouraged by FMCSA

• FMCSA will consider based upon 10 factors:1. Type and scope of industry including percentage of total

industry affected, number of vehicles, miles traveled, number of companies involved

2. Type and scope of the exemption3. Safety performance of the specific industry4. Inspection information for the specific industry5. Other CMV safety rules enforce by other State Agencies

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350.343 Obtain intrastate exemption?


6. Commodity Transported7. Similar variations granted and the circumstances8. Justification for the exemption9. Identifiable effects on safety10. State’s economic environment and its ability to compete in

foreign and domestic markets

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350.343 Obtain intrastate exemption?


• Apply to Administrator• Granted if (meets all three):

– Achieves substantially the same purpose as the similar Federal regulation

– Does not apply to interstate commerce– Is not likely to have an adverse impact on safety

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350.345 Additional intrastate variances?


350.215 What if I don’t comply?

• If a State does not comply with their plan or 350.201 (conditions to qualify)– FMCSA Administrator sends letter to Governor or other

designated official– The letter lists the reasons for the determination– State has 30 days to reply specifically addressing each

deficiency or incompatibility cited in the letter

• Administrator will review and make a final decision• Adverse action may seek judicial review



350.203 How to Qualify for HP

• Meet MCSAP Qualifications that apply (such as using FMCSA systems, rules, etc.)

• Other than a State, the applicant must:– Coordinate with Lead Agency– Prepare an application that is responsive to the NOFA– Certify they have the legal authority, resources and personnel

to do what is proposed– Designate the person, primary contact, for implementing,

reporting, administering the project



Thank you

Questions?

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MCSAP Minimum Standards & Requirements · 2019. 12. 13. · MCSAP Planning Meeting and Grants...

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