DOT Compliance Improving Your CSA Performance

Session No. 552 DOT Compliance Improving Your CSA Performance Charlie Halfen President, CNH Safety, LLC UPS Fleet Safety Manager (retired) Austin, TX The safety of the employees and the general public should always be one of the highest priorities of any organization. Drivers represent the company. Their safety and service reliability defines the company image. The prevention of crashes has been an ongoing battle for years. Auto crashes still account for the highest number of severe injuries and fatalities in the workplace and are the leading cause of death from the ages of 5 to 35 throughout the world. According to the 2013 Motor Vehicle Crashes: Overview published by the U.S. Department of Transportation, the U.S. experienced 5.7 million crashes in 2013 which resulted in 32,719 fatalities leaving 2.3 million injured. The Bureau of Labor Statistics also stated in their Census of Fatal Occupational Injuries Summary, 2013 that transportation incidents accounted for 2 out of every 5 (40%) fatal work injuries in 2013. Auto crashes are no longer the cost of doing business; they are a failure of business. Without a comprehensive safety process, accident and fatality trends will go up and down over the years with no consistent improvement or solution. Many consider auto crashes based purely on chance or bad luck. Nothing is further from the truth. All crashes can be reduced by the reduction of unsafe driving behaviors and fatality crashes can only be reduced by the reduction of all crashes. While changing these long entrenched mindsets is not easy, businesses no longer have a choice. Reduce your crashes or face enforcement. Every Commercial Motor Vehicle must be operated in accordance with the laws and regulations of the jurisdiction in which it is operated. The Department of Transportation (DOT) through the Federal Motor Carrier Safety Administration (FMCSA) continues to hold motor carriers responsible for driver behavior and job performance. The Compliance, Safety, Accountability (CSA) initiative is the FMCSA enforcement and compliance program used to reduce vehicle crashes, injuries, and fatalities. The program leverages the use of technology by using safety performance data collected during roadside stops and through crash reports to identify unsafe carriers and drivers and to identify safety performance problems. Within the CSA, the Safety Measurement System (SMS) quantifies the on-road performance of carriers and drivers to identify candidates for intervention, determine the specific safety problems exhibited, and to monitor whether safety concerns are improving. The SMS uses a motor carrier s data from roadside inspections, including all safety-based violations, State-reported crashes, and the Federal motor carrier census to quantify performance in the following Seven Behavior Analysis and Safety Improvement Categories (BASICs). 1. Unsafe Driving involves the operation of commercial motor vehicles (CMVs) by drivers in a dangerous or careless manner (FMCSR Parts 392 and 397). Employers are held responsible for the poor driving habits of their drivers. The goal of safe driver training and education should be to have each individual understand what is needed to prevent a crash. Companies can no longer accept the liability that

comes with a poor driver. Trainers must have the tools and knowledge to be successful in training safe driving skills. To comply, companies should: Develop a policy stating that drivers are responsible for adhering to all safe-driving related Federal, State, and local laws and ordinances. Develop a written and progressive disciplinary policy focused on taking corrective action to ensure drivers comply with regulations and policies. A progressive disciplinary policy could include, among other things, written warnings, suspensions, monetary penalties, and termination. This policy should also specify consequences for any carrier official who knowingly and willfully allows unsafe driving violations. Ensure that all drivers and other employees receive documented new-hire and refresher training in safe driving as required by company procedures. Implement a system for keeping accurate records of employee safe driving training needs and completed training. While all driver training, whether computer based, classroom or hands on, works to some degree, drivers need on-road training. Mental and physical habits, such as driving, cannot be taught in a classroom. Everyone learns at a different pace. There is no correct amount of training for all employees. To be sure that training is effective and begins to develop into a habit let the following quote be your guide: What I hear, I forget; What I see, I remember; But what I do, I understand. The basic management skill of demonstrating the method and accountability for its performance will always produce the greatest comprehension. Companies should ensure that management: Is held accountable for the safe driving training of their employees. Define and document roles and responsibilities of managers and supervisors for implementing safe driving policies and monitoring compliance with them. Regularly communicates and demonstrates their commitment to safe driving. Provides seminars on topics relevant to safe driving. Awareness and education are important ingredients in the prevention of auto crashes. A comprehensive communication plan should be created utilizing daily, weekly or monthly publications. This standardized safe driving material based on the most serious and common auto accidents should be sent to all driver locations and posted to an internal web address. Topics would include safe driving methods as well as bad weather activities and fatigue related issues. Drivers should know the most serious injury producing crashes which are intersection, head-on, hitting another vehicle in the rear, pedestrians and cyclists. While any crash can be deadly, these crashes cause the most severe injuries. There are several things every driver must be taught about the hazards they face behind the wheel. First, distractions are the number one cause of all crashes. Driving requires their undivided attention from start to finish. In other words, if they just pay attention and look for hazards while driving they can cut their chance of having a crash in half. The most common crashes are backing and hitting stationary objects. They must learn how to handle their vehicle. While on-road safe driving can be started in a classroom, the safe driving methods that the driver will use will be set behind-the-wheel. Safety Rides are used to observe and correct the driver s ability to recognize the hazards they face while driving. A good trainer should take the wheel during this ride and show the student how to keep their eyes scanning. They should recognize those hazards that may affect their travel path and know how to react accordingly.

Not using safe driving methods will result in more auto accidents. Managers and supervisors should monitor and track unsafe driving behaviors by drivers. Discipline the unsafe driving method, not the crash. Management must also Lead by Example by regularly communicating and demonstrating their commitment to safe driving. An employee will never be accountable to follow the safe driving methods by an immediate supervisor who does not follow those same methods. 2. Hours of Service (HOS) Compliance involves the operation of CMVs by drivers who are ill, fatigued, or in non-compliance with the regulations (FMCSR Part 395). HOS regulations were developed to get tired drivers off the road before serious crashes could occur. These rules apply to those carriers with vehicles that have a gross vehicle weight of over 10,000 pounds or transport hazardous materials that require placarding. Both employers and drivers have an obligation to comply. The roles and responsibilities of all personnel as they pertain to HOS policies and procedures should be reviewed in new-hire, initial and refresher training. Companies should: Develop procedures describing how management will monitor and track logs, ensuring proper retention of Records of Duty Status (RODS) according to regulations. Develop a written and progressive disciplinary procedure focused on taking corrective action to ensure drivers comply with HOS regulations. Define and document responsibilities for verifying that HOS are available even though the driver may work in other operations or positions. Ensure that whoever is responsible for monitoring and tracking HOS knows the current DOT regulations, how the carrier operates, the company s disciplinary policy and procedures, and how to train both drivers and management. Ensure that all staff (drivers, dispatchers, sales) involved in the HOS process receives training as required by regulations. Implement a system for keeping accurate records of employees HOS training needs and completed training. Ensure that there are enough people to review HOS data for all drivers, or invest in Electronic Onboard Recorders (EOBRs) for continuous, real-time review. Give employees immediate feedback, and require corrective action as soon as the company is aware of HOS issues. 3. Driver Fitness involves the operation of CMVs by drivers who are unfit to operate a CMV due to lack of training, experience or medical qualifications (FMCSR Parts 383 and 391). Motor carriers are required by law to use qualified drivers to move their passengers and goods. It is also in the best interest of the carrier since a safe, dependable driver can be a top asset to an organization. With fleets, creating a safe driving workforce starts at the front door. Crash history is one of the stronger predictors of future crashes. Past behavior almost always predicts future behavior. If you hire a bad driver, you have a bad driver. Hoping they ll get better doesn t work. A careless driver takes more chances and is more likely to be involved in an auto crash. They have learned their driving habits through their own experiences and will continue to take those same chances until they have a significant emotional event (an accident where they accept responsibility), or they receive instructional training to overcome years of poor driving habits. To hire the best drivers, companies should: Ensure that the employment application captures all information required by the FMCSRs, such as that pertaining to moving violations and prior convictions.

Ensure that prospective drivers will drive safely by querying applicants, checking with previous employers and references, and obtaining necessary documents regarding drivers safety performance going back three years. Ensure that Motor Vehicle Records (MVRs) from States issuing CDLs are reviewed for violations of all prospective drivers for the last three years. Ensure that applicants for safety-sensitive positions do not have a current controlled substance and/or alcohol problem by querying them and checking with their previous employers regarding controlled substance and alcohol violations, related background, conditions and behaviors indicative of controlled substance and/or alcohol abuse or misuse, and by conducting pre-employment testing as required by regulations. Create a detailed written record of each inquiry. Provide hiring officials with guidance on how best to attract, screen, and qualify applicants who are most likely to adhere to unsafe driving regulations and company policies and procedures. The FMCSA has a program that helps motor carriers make more informed hiring decisions by providing electronic access to a driver s history. Pre-Employment Screening Program (PSP) records are available for commercial drivers and persons conducting pre-employment screening services for the motor carrier industry. For hiring and document retention best practices, a carrier should: Develop a procedure for document retention and recordkeeping, including documents that are to be in the possession of the driver. These documents should be kept in Driver Qualification Files (DQFs). Maintain each Driver s Investigation History File in a secure location with limited and controlled access for as long as the driver is employed and for three years thereafter. Develop procedures for the periodic review of DQFs. The motor carrier should not rely on third-party sources, such as insurance agencies. The procedure should include controls to ensure that documents requiring renewals are in place, reminding drivers of expiration dates. Define and document roles and responsibilities of managers and supervisors in providing training and maintaining qualifications for all employees according to driver fitness regulations and company procedures. Require that drivers are examined for their Medical Exam Certificate by the carrier s preferred doctor to ensure that DOT medical qualifications are accurate. Ensure that all driver-qualification data, including annual MVR results, driver certifications, changes in credentials, and driver-reported violations, are properly communicated to managers, supervisors, and dispatchers to enable them to make appropriate assessments about each driver s fitness. Implement an effective process for monitoring and documenting all drivers job functions, training, qualifications, renewal dates, disclosed medical conditions, and operational restrictions. Give employees immediate feedback, and require corrective action as soon as the company is aware that driver fitness responsibilities are not being fulfilled. 4. Controlled Substances/Alcohol involves the operation of CMVs by drivers who are impaired due to alcohol, illegal drugs, and misuse of prescription or over-the-counter medications. (FMCSR Parts 382 and 392). Nothing can ruin a company s reputation faster than mistakes in this area. Carriers should:

Develop a written company policy incorporating by reference all regulations regarding controlled substances and alcohol use, testing, training, and records retention for all employees. Establish written procedures that promote, verify, and enforce adherence to all controlled substance and alcohol rules and regulations. Procedures should be tailored to company operations and should provide specific checks and guidelines for interacting with a consortium, if applicable. Monitor and adjust the drug and alcohol testing program to ensure proper annual driver sampling. Provide new-hire and refresher training, to all drivers, managers, and other designated personnel on: controlled substance and alcohol regulations; testing protocols and monitoring; the consequences of a positive test result; referral to a Substance Abuse Professional (SAP); and confidentiality requirements in relation to recordkeeping. Implement a system for keeping accurate records of controlled substance and alcohol completed training needs and completed training Establish a process to ensure that test results are properly safeguarded from disclosure without specific written consent. 5. Vehicle Maintenance involves failure to properly maintain a CMV and/or properly prevent shifting loads (FMCSR Parts 392, 393 and 396). A carrier s inspection and maintenance programs are critical to a carrier s on-road safety process. Preventive maintenance and periodic inspection procedures can help prevent mechanical failures from occurring while vehicles are being operated. Worn, failed or incorrectly adjusted components can cause or contribute to an incident. Required inspection procedures and documentation assist the process. Carriers should: Develop a system of preventive maintenance for compliant, safe, and efficient fleet operations, including a schedule for training, periodic maintenance, inspection, and accurate recordkeeping. Develop procedures to ensure that management is notified of vehicle defects through the use of Driver Vehicle Inspection Records (DVIRs) by the end of the day of the trip and prior to a subsequent assignment. Define and document responsibilities of managers, supervisors, drivers, dispatchers, mechanics, and technicians as related to vehicle inspection, repair, and maintenance policies, including the monitoring and documentation of defects and repairs. Define and document roles and responsibilities of managers and supervisors for implementing cargo handling, loading, and securement policies and for monitoring compliance with them. Establish a procedures for employee completion of training on cargo handling, load-limit verification, loading/unloading, securement, and route inspections. Regularly review cargo handling, loading, and securement methods, procedures, equipment, and devices used, and evaluate opportunities for new methods. 6. Hazardous Material (HM) Compliance involves unsafe handling of HM on a CMV (FMCSR Parts 397and HM Regulations). Transporting hazardous material can be extremely dangerous, not only to the driver but the general public. The general public is subject to a greater safety risk if hazardous materials are involved in a motor carrier crash and any unmarked or poorly marked cargo can result in a less effective emergency response leading to injuries or fatalities for emergency responders. Effective HM carriers will:

Develop policies and procedures addressing regulatory requirements for HAZMATtransportation registration, recordkeeping, packaging, securement, marking, labeling, placarding, reporting, documentation, security, and emergency response. Define and document roles and responsibilities of drivers, dispatchers, registered inspectors, managers, and other designated personnel in relation to regulations and company procedures involving HAZMAT. Provide and document new hire and refresher HAZMAT awareness training. Develop a security plan according to regulations; include the requirement for appropriate security awareness and in-depth security training. Implement an effective process for monitoring, tracking, and evaluating compliance by all designated employees according to HAZMAT-handling regulations and company procedures. Ensure that the database used to generate HAZMAT documents is updated and current with the latest version of the HAZMAT regulations. 7. Crash Indicator involves emphasizing histories or patterns of high crash involvement, including frequency and severity. It is based on information from State-reported crashes. Maintain high standards when it comes to crash avoidance. An auto crash should be defined as any occurrence in which a vehicle is in any way involved and which results in personal injury, property damage, or collision. Collection of information is critical. There can be no analysis and accountability without the accurate reporting of results. Companies should: Develop procedures requiring drivers to report and submit copies of all roadside inspections, moving violation citations, and crash involvements to carrier management within 24 hours. Develop a written and progressive disciplinary policy focused on taking corrective action to ensure drivers comply with their training on safe driving methods. Maintain and record crash accident details and evaluate the company s crash experience over time to identify potential patterns or trends. If the safest driving methods are trained and crashes still occur, then a review of the crash will likely show a failure to follow the prescribed safety methods. In that case, the attention must focus on poor driver training or lack of driver accountability by their management team. Management must be held accountable for results. The best practices for an organization would be to: Include prevention training, crash frequency and crash cost in Management Appraisals. No matter the size of the organization, there must be safety processes in place at every level to ensure a reduction of risk. Good safety practices will only enhance service and performance of an organization. Accountability for results can be the impetus for change to any organization. While all safety improvement is seen in the bottom line, gains are a direct result of the increased use of compliance procedures and safe driving methods.