MCSAP Minimum Standards & Requirements - MCSAP Planning Meeting and Grants Training 2017
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MCSAP Planning Meeting and Grants Training – 2017
MCSAP Minimum
Standards & RequirementsMCSAP Planning Meeting and Grants Training – 2017
Objectives
• 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
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MCSAP Requirements
• 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
3MCSAP Planning Meeting and Grants Training – 2017
Additional notable conditions in Sec. 5101
• (e) – Intrastate compatibility
• (h) – Use of grants to enforce other laws
Size and Weight
Human Trafficking
Documented enforcement of State traffic laws
Maintain 2004/2005 CMV safety activity level
FMCSA calculated as – CMV Inspections + NE Audits + CR’s
Not more than 10% Basic amount without approval
More on this later…
4MCSAP Planning Meeting and Grants Training – 2017
Who Gets Funding?
• 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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National MCSAP Elements
49 CFR 350.109
• Driver/vehicle Inspections
• Traffic Enforcement
• Compliance Reviews
• Public Education and awareness
• Data collection
National Training
6 CenterMCSAP Planning Meeting and Grants Training – 2017
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
National Training
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350.201 - How to Qualify for MCSAP
• 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
National Training
8 CenterMCSAP Planning Meeting and Grants Training – 2017
350.201 - How to Qualify for MCSAP
• 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
National Training
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350.201 - How to Qualify for MCSAP
• 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
National Training
10 CenterMCSAP Planning Meeting and Grants Training – 2017
350.201 - How to Qualify for MCSAP
• 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
National Training
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350.201 - How to Qualify for MCSAP
• 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
National Training
12 CenterMCSAP Planning Meeting and Grants Training – 2017
350.201 - How to Qualify for MCSAP
• 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
National Training
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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
National Training
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350.309 - MCSAP activities allowed
• 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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NAS Inspection Levels
• 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.
17MCSAP Planning Meeting and Grants Training – 2017
Schedule Inspections
• 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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Traffic Enforcement
• 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)
19MCSAP Planning Meeting and Grants Training – 2017
MCP 5.4 - Traffic Enforcement Cost Eligibility
• 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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Overtime
• 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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MCP- Operations & Maintenance
• 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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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
National Training
24 CenterMCSAP Planning Meeting and Grants Training – 2017
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
National Training
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350.333 Compatibility Guidelines
• 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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350.335 Consequence for incompatibility
• 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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350.341 Intrastate variances
• 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
28MCSAP Planning Meeting and Grants Training – 2017
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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350.341 Intrastate variances
• 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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350.343 Obtain intrastate exemption?
• 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 exemption
3. Safety performance of the specific industry
4. Inspection information for the specific industry
5. Other CMV safety rules enforce by other State Agencies
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350.343 Obtain intrastate exemption?
6. Commodity Transported
7. Similar variations granted and the circumstances
8. Justification for the exemption
9. Identifiable effects on safety
10. State’s economic environment and its ability to compete in
foreign and domestic markets
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350.345 Additional intrastate variances?
• 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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350.215 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
National Training
34 CenterMCSAP Planning Meeting and Grants Training – 2017
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
National Training
35 CenterMCSAP Planning Meeting and Grants Training – 2017
Thank you
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