New Entrants Safety Education Seminar for Georgia Motor Carriers CHAPTER 3

New Entrants Safety Education Seminar for Georgia Motor Carriers CHAPTER 3

Chapter 3 CSA

CSA Compliance * Safety * Accountability A Way to Measure and Address Commercial Motor Vehicle Safety

COMPLIANCE, SAFETY, ACCOUNTABILITY What is CSA? CSA is FMCSA s new (as of 2011) enforcement and compliance program. It is not a new regulation, but a new way to measure compliance with existing regulations.

THREE MAIN PARTS OF CSA 1. Safety Measurement System (SMS) The overall system, composed of BASICs 2. Interventions process New options (warning letters, etc.) instead of reliance only on compliance reviews 3. Proposed approach to Safety Fitness Determination (SFD) SFD is tied to real-world safety performance, not just paperwork in Compliance Reviews

SAFETY MEASUREMENT SYSTEM (SMS) Identifies carriers for Interventions Along with investigation findings, determines what problems need to be addressed by intervention process Monitors carriers on road performance for improvements throughout the process Measurement designed to support future Safety Fitness Determinations Refinements continue as of 2011 Provides stakeholders with safety information to assist in safety-based business decisions (shippers can see carrier results)

CSA OVERVIEW Gather 24 months of on-road safety event data (i.e., inspections, crashes) to create a safety event history Place each carrier violation and/or crash into a BASIC Convert BASIC data into quantifiable measure/rate Develop a percentile rank for each BASIC based on each carrier BASIC measure

THE SMS BASICS BASIC s focus on behaviors linked to crash risk 1. Unsafe Driving (Parts 392 & 397) 2. Hours-of-Service (Parts 392 & 395) 3. Driver Fitness (Parts 383 & 391) 4. Controlled Substances/Alcohol (Parts 382 & 392) 5. Vehicle Maintenance (Parts 392, 393 & 396) 6. Hazardous Materials (Part 397 & U.S. DOT HM Parts 171-173 and 177-180) 7. Crash Indicator

BASIC BASIC Data Quantifiable Measures Considerations: Time Weighting / Time Frame More recent events more relevant Severity Weighting Increase weighting of violations shown to create a greater risk of crash involvement/consequence Severity Weight Cap Limit total severity weight in BASIC in one inspection Violation Cap Cited section number only counts once per inspection Segmentation (Crash and Unsafe Driving) Segment carrier population into two groups based on types of vehicles operated: Combo and Straight Normalization Based on exposure: For Crash and Unsafe Driving: Power Units (PUs) and Vehicle Miles Travelled (VMT) For all other BASICs: Number of relevant inspections

UNSAFE DRIVING BASIC Operation of CMVs in a dangerous or careless manner. Examples: Speeding Reckless driving Improper lane change National Training Center

HOURS OF SERVICE (HOS) BASIC Operation of CMVs by drivers ill, fatigued, or in non-compliance with the hours-of-service (HOS) regulations Examples: HOS Form and Manner Operating CMV while ill or fatigued (all Part 395). Refers to Regulations: 49CFR392, 395 National Training Center

DRIVER FITNESS BASIC Operation of CMVs by drivers who are unfit to operate a CMV due to lack of training, experience, or medical qualifications. Examples: Failure to have valid and appropriate CDL Medically unqualified to operate a CMV. Refers to Regulations: 49CFR383, 386, 391, 172, 177, 374 National Training Center

CONTROLLED SUBSTANCE/ALCOHOL Deals with operation of CMVs by drivers who are impaired due to alcohol, illegal drugs or misuse of other drugs Will be addressed more thoroughly in section on testing Refers to Regulations: 49CFR383, 386, 391, 172, 177, 374 National Training Center

VEHICLE MAINTENANCE BASIC Operation of CMVs having improper or inadequate maintenance. Examples include: Brakes Lights Tires Failure to make required repairs Other mechanical defects Failure to properly prevent shifting loads, spilled or dropped cargo, overloading Refers to Regulations: 49CFR365, 374, 385, 392, 393, 396, 399 National Training Center

CRASH INDICATOR Histories or patterns of high crash involvement including frequency and severity measures. Includes information from state-reported crashes. National Training Center

FINANCIAL RESPONSIBILITY Carriers logged into SMS will see the Insurance / Other category in addition to the BASICs Category includes violations cited during investigations that do not coincide with the 7 BASIC buckets Insurance or authority violations If one of the serious violations in this category is discovered during an investigation, the category will show as alert

PERCENTILE BASIC Measures Percentile Rank Based on each BASIC measure, develop percentile rank indicating carrier s BASIC performance Provides a relative assessment of performance Allows for prioritizing intervention resources by behavior Higher percentage = worse performance (i.e. 87% means carrier is worse than 87% of carriers that have similar numbers of safety events in the given BASIC) Considerations: Data Sufficiency Standards define events/exposure necessary to generate a robust measure Current Inspection and Crash Data assignment of percentile dependent on age and result of most recent inspection (12 months) Safety Event Grouping compare measures of carriers with similar numbers of safety events

PERCENTILES AND INVESTIGATIONS Goal: identify carriers with both Crash rate higher than population average Known on-road compliance issues Intervention thresholds for carriers are organized by BASIC and are set based on the BASIC s relationship to crash risk Carriers that exceed the BASIC threshold are identified for interventions Unsafe Driving, Fatigued Driving (HOS), Crash Indicator Driver Fitness, Drugs / Alcohol, Vehicle Maintenance, Cargo-Related BASIC General HM Passenger 65% 60% 50% 80% 75% 65%

HOW DOES A CARRIER IMPROVE AND GET OUT OF THE INTERVENTION PROCESS? Good Inspections Get Well Rules Unsafe Driving and Controlled Substances/Alcohol BASICs No percentile assigned if no inspections with a violation in these BASICs in the last year Crash Indicator No percentile assigned if no crashes in last year Fatigued Driving (HOS), Driver Fitness, Vehicle Maintenance and Cargo-Related BASICs No percentile assigned if: No inspections with a violation in that BASIC within the past year; and Most recent relevant inspection does not have a violation of that BASIC

CARRIER ACCESS Carriers have access to full SMS results and BASIC measurements Public has access to SMS results and BASIC measurements except for percentile scores for the Crash Indicator and Cargo- Related BASIC Cargo-Related violations are available to the public Decision regarding what to display was based on feedback through out the field test and data preview List of Crashes are available to the public Similar to the Accident SEA in SafeStat

FOR DRIVERS The new measurement system provides an internal tool to address CMV drivers called the Driver Safety Measurement System (DSMS): Provides enhanced information on individual drivers to investigators to identify drivers with safety problems Allows for prioritizing driver sampling during carrier investigation Supports investigator follow up on significant violations (Red Flag Violations) Under CSA, individual drivers are not be assigned safety ratings or safety fitness determinations

FOR DRIVERS (CONT D) Other Agency initiatives include the Pre-employment Screening Program (PSP) PSP was mandated by Congress and is not a part of CSA Driver Profiles from FMCSA s Driver Information Resource (DIR) are available to carriers through PSP Driver Profiles are only released with driver authorization To sign up for an account, visit: www.psp.fmcsa.dot.gov

ROADSIDE DATA UNIFORMITY Data collected at the roadside is the foundation of all data driven traffic safety initiatives CSA relies on roadside data in its SMS Methodology The CSA SFD methodology would use roadside data as a component of safety fitness determinations

CSMS AND SAFETY FITNESS DETERMINATION SFD : Incorporates on-road safety performance via new CSMS that updates on a monthly basis Continues to include major safety violations found as part of CSA investigations Produces a Safety Fitness Determination (SFD) of Unfit or Marginal or Continue Operation

WHAT CAN CARRIERS DO?

MORE INFORMATION ON SMS For more information regarding SMS and to view your company data, visit http://ai.fmcsa.dot.gov/sms For more information regarding CSA, visit http://csa.fmcsa.dot.gov