CSA: A Way to Measure and Address Commercial Motor Vehicle Safety Driver Briefing December 2012 - PowerPoint PPT Presentation


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CSA: A Way to Measure and Address Commercial Motor Vehicle Safety Driver Briefing December 2012


SIs use the SMC to walk carriers through their operations and to identify process breakdowns likely to result in safety ... NOV NOC Operations OOS Order ... – PowerPoint PPT presentation

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Title: CSA: A Way to Measure and Address Commercial Motor Vehicle Safety Driver Briefing December 2012

CSA A Way to Measure and Address Commercial
Motor Vehicle Safety Driver Briefing December
  • What is Compliance, Safety, Accountability (CSA)?
  • CSAs Results
  • CSAs Three Core Components
  • What Does CSA Mean for Drivers?
  • Summary
  • Safety Measurement System (SMS) Improvements

What Is CSA?
  • CSA is the Federal Motor Carrier Safety
    Administrations (FMCSA) enforcement and
    compliance program used to achieve the Agencys
    mission to prevent commercial motor vehicle (CMV)
    crashes, fatalities, and injuries.
  • CSA was designed, field-tested, and refined over
    five years prior to national launch in December

Where It All Started
CSA Operational Model
Model based on Safety Fitness Determination (SFD)
CSAs Results
  • Violations per roadside inspection are down 8
  • Driver violations per roadside inspection are
    down 10
  • The SMS has enough performance data to evaluate
    nearly 40 of active carriers
  • Those carriers are responsible for more than 92
    of reported crashes
  • As of January 2012, FMCSA sent more than 50,000
    warning letters
  • An independent evaluation of the field test
    showed that most carriers improved safety
    compliance after receiving a warning letter or
    other intervention
  • The website housing the SMS hosted 48 million
    user sessions in 2012 a 60 increase over the
    prior year

CSAs Three Core Components
  • An SMS that
  • Identifies unsafe carrier and driver behaviors
    that lead to crashes
  • Uses all safety-based roadside inspection
    violations to assess compliance with existing
  • Includes investigation findings
  • A Safety Interventions process that
  • Includes an array of interventions
  • Focuses on specific unsafe behaviors
  • Identifies causes of safety problems
  • Defines and requires corrective actions
  • An SFD process that
  • Requires rulemaking, expected to begin in early
  • Would be tied to on-the-road safety performance
    and replace the current system

1. The SMS
  • The SMS is FMCSAs workload prioritization tool
  • Uses State-reported crash records, all roadside
    inspection safety-based violations, and certain
    violations found during inspections to identify
    carriers for interventions
  • Previous system used only out-of-service (OOS)
    and certain moving violations
  • Uses 24 months of data recent events are
    weighted more heavily than older ones
  • Assigns severity weights to violations based on
    relationship to crash risk

1. The SMS (cont.)
  • The SMS is FMCSAs workload prioritization tool
  • Calculates safety performance based on seven
  • Triggers the Safety Interventions process (e.g.,
    warning letters, investigations)
  • Will feed the new SFD process once rulemaking is
  • Is designed to be continually improved as more
    information is available through data and

  • BASICs focus on behaviors linked to crash risk
  • Unsafe Driving (Parts 392 397)
  • Hours-of-Service (HOS) Compliance
  • (Parts 392 395)
  • Driver Fitness (Parts 383 391)
  • Controlled Substances/Alcohol (Parts 382 392)
  • Vehicle Maintenance (Parts 392, 393 396)
  • HM Compliance (Federal Motor Carrier Safety
    Regulations (FMCSRs) Part 397 HM Regulations
    (HMRs) Parts 171, 172, 173, 177, 178, 179, and
  • Crash Indicator

Driver Information
  • All violations count toward a carriers
    percentile rank
  • If received while driving for that carrier
  • Only violations within the control of the driver
    (as deemed by the Agency) count toward a drivers
    safety profile
  • For example speeding, HOS violations, etc.
  • Carriers cannot see the historic driver safety
  • Carriers can only see the violations received
    while the driver was employed by the drivers
    current company.

Driver Information (cont.)
  • Individual driver safety profiles are used by
    investigators during carrier investigations only
  • To identify drivers with safety problems
  • To prioritize the driver sample during carrier
  • To issue Notice of Violations (NOVs)/Notice of
    Claims (NOCs) to individual drivers based on this
    driver investigation as appropriate
  • The SMS BASICs are sent to Roadside Inspectors
  • Assist in determining the level of inspection
  • North American Standard Inspection procedure does
    not change

CSAs Three Core Components
  • The SMS
  • Safety Interventions process
  • SFD process

2. Safety Interventions Process
  • The Safety Interventions process addresses the
  • WHAT
  • Discovering violations and defining the problem
  • WHY Identifying the cause or where the
    processes broke down
  • HOW Determining how to fix it/prevent it by
    using the Safety Management Cycle (SMC)

Intervention Tools
  • Warning letters
  • Investigations
  • Offsite Investigations
  • Onsite Focused Investigations
  • Onsite Comprehensive Investigations
  • Follow-on corrective actions
  • Cooperative Safety Plan (CSP)
  • NOV
  • NOC
  • Operations OOS Order (OOSO)

CSAs Three Core Components
  • The SMS
  • Safety Interventions process
  • SFD process

3. SFD Process
  • SFD would
  • Incorporate on-road safety performance via the
    SMS, which is updated on a monthly basis
  • Continue to include major safety violations found
    as part of investigations
  • Produce an SFD to determine if a carrier is unfit
    to operate

Draft rulemaking is currently in review within
3. SFD Process
  • Current Safety Rating Process
  • CSA incorporates the existing safety rating
    process and will continue to do so until SFD goes
    into effect
  • Drivers are not rated
  • Drivers do not face any more suspension risk
    under CSA

What CSA Means to Drivers
How Does CSA Impact Drivers?
  • CSA puts an emphasis on drivers
  • All violations found during roadside inspections
    count toward carrier and driver safety
    measurement according to vehicle or driver
    violation type
  • BASIC information/percentile ranks are sent to
    Roadside Inspectors as a tool in the decision of
    whether to inspect and what level to inspect a
    specific CMV
  • Roadside Inspectors see carrier
    information/percentile ranks
  • Roadside Inspectors do not see driver measurement

Information on Drivers
  • The SMS provides investigators with information
    on individual drivers to
  • Enable investigators to conduct more effective
    and efficient investigations
  • Allow for a targeted sampling of drivers for
    those carriers already identified for
  • Facilitate follow-up for Serious Violations
  • Under CSA, individual drivers are not assigned
    safety ratings or SFDs
  • The SMS has been made available to the public to
    facilitate transparency

Information on Drivers (cont.)
  • Pre-employment Screening Program (PSP)
  • Mandated by Congress and is not a part of CSA
  • Driver Profiles from FMCSAs Driver Information
    Resource are available to carriers through PSP
  • Driver Profiles are only released with driver
    authorization and include inspection and crash
  • PSP is currently available access and additional
    information can be found at www.psp.fmcsa.dot.gov

What Can Drivers Do Now?
  • Know and follow safety rules and regulations
  • CMV web-based driving tips can be found at

What Can Drivers Do?
  • Become knowledgeable about the BASICs and how
    FMCSA evaluates safety under CSA
  • Review the SMS Methodology at http//csa.fmcsa.dot
  • Advocate for safety among all professional drivers

What Can Drivers Do? (cont.)
  • Spread the word about CSA and encourage fellow
    drivers to
  • Check the CSA Website for more information and
    updates at http//csa.fmcsa.dot.gov
  • Maintain copies of inspection reports
  • Become knowledgeable about employers safety
    records by checking carrier safety information
    online (http//ai.fmcsa.dot.gov/)

Frequently Asked Questions
Frequently Asked Questions (FAQs)
  • Does CSA give FMCSA the authority to put drivers
    out of work?
  • No. CSA does NOT give the Agency the authority to
    remove drivers from their jobs. A change of that
    magnitude would require rulemaking and no such
    effort is underway.
  • Does CSA give FMCSA the authority and processes
    to rate drivers and revoke their Commercial
    Drivers Licenses (CDLs)?
  • No. Driver safety profiles are available to
    investigators, but these are not used to rate
    drivers and/or revoke CDLs State licensing
    agencies perform that function.

FAQs (cont.)
  • Do tickets or warnings that drivers receive while
    operating their personal vehicles impact the SMS?
  • No.
  • Does the SMS hold carriers responsible for
    drivers errors, such as speeding?
  • Yes. Carriers are held accountable for drivers
    errors because they are responsible for the job
    performance of those who work for them.

FAQs (cont.)
  • Do carriers and drivers need to register for CSA
    and fulfill mandatory training?
  • No. CSA is primarily focused on helping FMCSA
    improve its enforcement operations. Carriers and
    drivers do not need to register for CSA nor is
    there a mandatory training requirement.
  • Is there a way to request a data review of
    potentially erroneous or improper violations on
    carrier and/or driver records?
  • Yes. The DataQs program (https//dataqs.fmcsa.dot.
    gov) allows carriers and drivers to request a
    data review of information that resides in FMCSA
    databases such as crash and inspection reports.

FAQs (cont.)
  • Is it considered an inspection every time I talk
    to an inspector at a weigh station?
  • Not necessarily. Law enforcement perform two
    types of actions at the roadside a screening and
    an inspection. A screening evaluates a CMV to
    determine if that driver and/or vehicle warrants
    an inspection. Screening methods may vary by
    jurisdiction. A screening does not constitute an
    inspection and an inspection report is not

The SMS Improvements
The SMS Improvement Process
  • The SMS is designed and intended to be
    continually improved.
  • Better technology, new data, and continuing
    analysis will provide both means and opportunity
    for refinement
  • FMCSA has taken a systematic approach to rolling
    out improvements.
  • Prioritizing and packaging changes at regular
  • Providing a preview period for motor carriers
    prior to implementation

Schedule of SMS Changes
  • March 2012
  • Motor carriers and enforcement staff previewed
    the SMS changes
  • Preview participants are able to view the
    carriers percentile ranks without the changes
    (normal/public SMS site) and with the
    enhancements (preview site)
  • March 27, 2012 through July 30, 2012
  • Federal Register Docket was open for comments
    about the SMS Preview
  • December 2012
  • SMS public website was updated with the SMS
    changes discussed
  • Both logged-in users and the general public can
    see percentile ranks
  • Crash Indicator and the HM Compliance BASIC
    percentile ranks are available to only logged-in

The SMS Changes
  • Strengthened the Vehicle Maintenance BASIC by
    incorporating cargo/load securement violations
    from the Cargo-Related BASIC
  • Changed the Cargo-Related BASIC to the HM
    Compliance BASIC to better identify safety
    problems related to HM
  • Better aligned the SMS with Intermodal Equipment
    Provider (IEP) regulations
  • Aligned violations included in the SMS with
    Commercial Vehicle Safety Alliance (CVSA)
    inspection levels by eliminating vehicle
    violations derived from driver-only inspections
    and driver violations from vehicle-only

The SMS Changes (cont.)
  • More accurately identifying carriers involved in
    transporting HM or passengers
  • Modified the SMS Display to
  • Change terminology (replaced terms Insufficient
    Data and Inconclusive) to fact-based definitions
  • Break out crashes with injuries and crashes with

The SMS Changes (cont.)
  • Strengthened the Vehicle Maintenance BASIC by
    incorporating cargo/load securement violations
    from the Cargo-Related BASIC
  • Allows for appropriate workload prioritization
    while reducing a bias in the Cargo-Related BASIC
    whereby flatbed operators were disproportionately
    identified for intervention
  • ?This bias was the reason that the Cargo-Related
    BASIC was not public
  • Analysis showed that moving these violations
    resulted in more effective and efficient workload
  • The Vehicle Maintenance BASIC remains public

The SMS Changes (cont.)
  • Changed the Cargo-Related BASIC to the HM
    Compliance BASIC
  • Removed load securement violations so that only
    HM violations remained
  • Provided a more objective comparison with respect
    to HM compliance consequences of crashes and
    cargo spills can be greatly exacerbated when HM
    are involved
  • Enabled enforcement staff to better identify and
    address HM safety issues
  • FMCSA intends to make the HM Compliance BASIC
    public however, the final decision will be made
    at the end of the preview period

The SMS Changes (cont.)
  • Better aligned the SMS with IEP regulations
  • Previously, the SMS did not use violations
    associated with the condition of an IEP trailer
    (if it is assigned to an IEP).
  • FMCSA has recently revised IEP logic to properly
    attribute each IEP trailer violation to either
    the IEP or the motor carrier based on the ability
    of the driver to find the violation as part of a
    pre-trip inspection.
  • IEP violations assigned to a motor carrier are
    now used towards calculating the carriers
    Vehicle Maintenance BASIC.

The SMS Changes (cont.)
  • Eliminated vehicle violations derived from
    driver-only inspections and driver violations
    from vehicle-only inspections
  • The SMS includes Level III (driver-only)
    inspections in the Vehicle Maintenance BASIC,
    only when vehicle violations are noted on the
  • Enforcement and industry have raised concerns
    that some vehicle violations fall outside the
    scope of the inspection and could bias the BASIC
  • Analysis showed that this concern merited
    attention, so FMCSA has
  • ?Removed vehicle violations found during
    driver-only inspections
  • ?Removed driver violations found during
    vehicle-only inspections

The SMS Changes (cont.)
  • More accurately identifying carriers involved in
    transporting HM or passengers
  • These carriers are subject to more stringent
    thresholds in the SMS

HM Carriers New definition enables FMCSA to focus resources on carriers involved in the majority of placardable HM transport
At least 2 HM placardable vehicle inspections 1 within the past 12 months At least 5 total inspections indicated as HM placardable vehicle inspections
Passenger Carriers New definition removes many low-capacity vehicles (e.g., vans and taxis) that are generally outside of FMCSAs authority
Adds all for-hire carriers with 9-15 passenger capacity vehicles and private carriers with 16 capacity Removes all carriers with only 1-8 capacity and private carriers with 1-15 passenger capacity
The SMS Changes (cont.)
  • Modified the SMS Display to address feedback
    about current terminology
  • Feedback has indicated that stakeholders find
    some current terminology confusing
  • FMCSA previewed its effort to modify that
    terminology by
  • Replacing the terms Insufficient data and
    Inconclusive with fact-based descriptions
  • Breaking out crashes with fatalities and crashes
    with injuries

Additional SMS Changes for December 2012
  • Based on feedback gathered during the comment
    period, the Agency also incorporated additional
    changes to the SMS in December
  • Removed 1 to 5 mph speeding violations
  • FMCSA has aligned speeding violations to be
    consistent with current speedometer regulations
    (49 CFR 393.82) that require speedometers to be
    accurate within 5 mph.
  • Applies to the prior 24 months of data used by
    the SMS and all SMS data moving forward.
  • Lowered the severity weight for speeding
    violations that do not designate mph range above
    the speed limit.
  • The severity weight was lowered to 1 for

Additional SMS Changes for December 2012
  • Aligned the severity weight of paper and
    electronic logbook violations
  • FMCSA now equally weights paper and electronic
    logbook violations in the SMS for consistency
  • Changed the name of the Fatigued Driving (HOS)
    BASIC to the HOS Compliance BASIC
  • This BASIC continues to have a strong association
    with future crash risk. This action was taken to
    reflect that the BASIC includes HOS recordkeeping
    requirements that, by themselves, do not
    necessarily indicate fatigued driving or driving
    in excess of allowable hours.

For more information, visit http//csa.fmcsa.dot
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