Transcript Available technology

Preparing for CSA Interventions
This webcast will cover ...
• CSA Interventions,
• Safety Management Cycle and Best
Practices,
• Meijer’s Program,
• Question & Answer
Moderator
Dr. Gary Petty, President & CEO, NPTC
Panelists
Tom Bray, Editor – Transportation Management,
J. J. Keller & Associates, Inc.
Tom Moore, Vice President of Education, NPTC
Carol Heinowski, Private Fleet Manager, Meijer Inc.
Attention Attendees:
+ Thank you for attending!
+ The presentation will start in a few
minutes at 1:00 PM Central.
+ Please use your computer speakers to
listen to the event. If you have audio
issues, dial-in info is below.
+ You will be muted during the event.
+ Please use the Question feature to text
questions to “Q & A”. We’ll try to answer
them during the Q&A period if they are
not covered in the presentation.
+ The slides and recording will be posted
within 7 days at:
http://www.jjkeller.com/nptcinfo
Dial-in: 1-888-824-5783, Pass Code: 75154299#;
Tech Support: 1-888-259-8414, Webinar ID: 532509898
Dr. Gary Petty
President & CEO
National Private Truck Council
Dial-in: 1-888-824-5783, Pass Code: 75154299#;
Tech Support: 1-888-259-8414, Webinar ID: 532509898
Introduction
• CSA Interventions – Tom Bray
• Safety Management Cycle and Best
Practices – Tom Moore
• Meijer’s Program – Carol Heinowski
• Housekeeping issues:
Gary Petty
National Private
Truck Council
 You will be muted during the event.
 Please use the Question feature to text questions to the Q&A
Panelist. We’ll try to answer them during the Q&A period if they are
not covered in the presentation.
 If you lose sound at any point, you can dial-in by phone using the
number and Pass Code listed below.
 If you lose the program window and need to re-login
be sure to enter a different e-mail address to avoid
being denied access for multiple logins.
Dial-in: 1-888-824-5783, Pass Code: 75154299#;
Tech Support: 1-888-259-8414, Webinar ID: 532509898
Introduction and
Disclaimers
• The content in this webcast is intended for
Gary Petty
information purposes only and should not be
National Private
construed as providing legal advice.
Truck Council
• This is an introductory course and is intended
to highlight critical safety and compliance topics. Time
constraints limit our ability to go in depth.
• We invite you to ask questions. We will answer them
throughout today’s webcast.
Dial-in: 1-888-824-5783, Pass Code: 75154299#;
Tech Support: 1-888-259-8414, Webinar ID: 532509898
Why Are We Here?
• Over 50,000 carriers are over the threshold
Gary Petty
in at least one BASIC
National Private
Truck Council
• Most have received a warning letter, an
investigation, or are on the “Investigation List”
• Exception is carriers that were previously warned or
investigated
• Compare this to “old system” (12,000 to 16,000
carriers a year contacted total)
Dial-in: 1-888-824-5783, Pass Code: 75154299#;
Tech Support: 1-888-259-8414, Webinar ID: 532509898
Tom Bray
Editor, Transportation Management
J. J. Keller & Associates, Inc.
Dial-in: 1-888-824-5783, Pass Code: 75154299#;
Tech Support: 1-888-259-8414, Webinar ID: 532509898
Why Carriers are
Investigated
•
•
•
•
•
•
CSA
Complaint investigation
High crash rate
Involvement in a serious crash(es)
Follow-up
New Entrant Audit
Dial-in: 1-888-824-5783, Pass Code: 75154299#;
Tech Support: 1-888-259-8414, Webinar ID: 532509898
Tom Bray
J. J. Keller &
Associates, Inc.
CSA Intervention Process
•
•
•
In CSA process, being over the threshold
places the carrier in the
INTERVENTION
“Alert” status and
Early Contact
• Warning Letter
starts the intervention
• Carrier Access to Safety Data and
Measurement
process
• Targeted Roadside Inspection
Based on FMCSA policy, Investigation
• Offsite Investigation
• Onsite Investigation – Focused
not regulations
• Onsite Investigation –
Comprehensive
Drivers, too, but only in
Follow-on
• Cooperative Safety Plan
relation to a carrier
• Notice of Violation
• Notice of Claim
investigation
• Operations Out-of Service Order
Dial-in: 1-888-824-5783, Pass Code: 75154299#;
Tech Support: 1-888-259-8414, Webinar ID: 532509898
Tom Bray
J. J. Keller &
Associates, Inc.
Early Contact Interventions
•
•
“Warning letter”: Carrier notified via
Tom Bray
warning letter
J. J. Keller &
“Targeted roadside enforcement” - Carrier’s Associates, Inc.
ISS recommendation changed to “Optional” or
“Inspect” if over threshold in
any BASIC
Dial-in: 1-888-824-5783, Pass Code: 75154299#;
Tech Support: 1-888-259-8414, Webinar ID: 532509898
Warning Letters Issued by
Month in 2011
12000
11035
Tom Bray
J. J. Keller &
Associates, Inc.
10000
8000
6000
7226
5526
5063
4000
2642
3068
2781
2120
2000
2183 2444
1655
0
Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec
Dial-in: 1-888-824-5783, Pass Code: 75154299#;
Tech Support: 1-888-259-8414, Webinar ID: 532509898
Warning Letter Issuance
Top 10 States for 2011
State
2011 Total
California
4,307
Texas
3,914
Florida
2,207
Illinois
1,956
North Carolina
1,654
Pennsylvania
1,652
New York
1,305
Ohio
1,300
Iowa
1,299
Michigan
1,274
Dial-in: 1-888-824-5783, Pass Code: 75154299#;
Tech Support: 1-888-259-8414, Webinar ID: 532509898
Tom Bray
J. J. Keller &
Associates, Inc.
Investigative Interventions
•
•
•
•
Focused Off-Site
Focused On-Site
Comprehensive
In all cases:
Tom Bray
J. J. Keller &
Associates, Inc.
 Notification and request for documents starts process
 Investigator looking for violations
 Investigator also checking carrier’s Safety Management
Controls (policies, procedures, responsibilities, accountabilities,
qualifications processes, training, internal tracking, corrections, etc.)
Dial-in: 1-888-824-5783, Pass Code: 75154299#;
Tech Support: 1-888-259-8414, Webinar ID: 532509898
Investigative Interventions
• Which records will they ask for?
 Drivers that have been




Involved in crashes
Placed out of service or received violations on the road
Recently hired
Top performers (most miles or hours)
 Vehicles that have been
 Involved in crashes
 Placed out of service or received violations on the road
Dial-in: 1-888-824-5783, Pass Code: 75154299#;
Tech Support: 1-888-259-8414, Webinar ID: 532509898
Tom Bray
J. J. Keller &
Associates, Inc.
Investigative Interventions
• “Focused” reviews (on and off-site):
Tom Bray
 Based on BASIC(s) the carrier is above the intervention
J. J. Keller &
threshold
Associates, Inc.
 Example: Fatigued Driving will lead to check of “General”
audit components and “Operational” audit components (this includes
scheduling and hours-of-service compliance)
• Off-Site Safety Investigators requests
records be sent to them
• On-Site Safety Investigator comes to
carrier’s location
Dial-in: 1-888-824-5783, Pass Code: 75154299#;
Tech Support: 1-888-259-8414, Webinar ID: 532509898
Investigative Interventions
• “Comprehensive” review
Tom Bray
 Full and complete audit
J. J. Keller &
 All six factors are examined (General, Drivers,
Associates, Inc.
Operational, HazMat, Vehicles, and Accident Rate)
 This is the only intervention that can lead to a “Safety Rating”
(Satisfactory, Conditional, Unsatisfactory)
Dial-in: 1-888-824-5783, Pass Code: 75154299#;
Tech Support: 1-888-259-8414, Webinar ID: 532509898
6 Factors
• Factor 1 - General:
 Part 387 Financial Responsibility, Part 390 General
Compliance
• Factor 2 - Driver:
 Part 382 Drug and Alcohol, Part 383 CDL and 391 Driver
Qualifications
• Factor 3 - Operational:
 Parts 392 Safe Operations, Part 395 Hours of Service
Dial-in: 1-888-824-5783, Pass Code: 75154299#;
Tech Support: 1-888-259-8414, Webinar ID: 532509898
Tom Bray
J. J. Keller &
Associates, Inc.
6 Factors
• Factor 4 - Vehicle:
 Part 393 Parts and Accessories, Part 396 Inspection and
Maintenance
• Factor 5 - Hazardous Materials:
 Parts 171, 177, 180, and 397
• Factor 6 - Accident:
 Recordable Accident Rate per MM
Upon completion of full audit carrier will receive a “Rating”
(Satisfactory, Conditional, or Unsatisfactory) based on
violations discovered in the six factors
Dial-in: 1-888-824-5783, Pass Code: 75154299#;
Tech Support: 1-888-259-8414, Webinar ID: 532509898
Tom Bray
J. J. Keller &
Associates, Inc.
Investigative Interventions
• All states are now conducting Focused
Tom Bray
On-Site Investigations
J. J. Keller &
Associates, Inc.
• 10 states conducting Focused Off-Site
Investigations (more to be added as IT upgraded
and training completed)
• All FMCSA offices now using Safety Management
Cycle to check carrier’s Safety Management Controls
Dial-in: 1-888-824-5783, Pass Code: 75154299#;
Tech Support: 1-888-259-8414, Webinar ID: 532509898
Investigative Intervention
Scoring
• Investigation cannot improve BASIC Score,
but can “flip” a BASIC to “Alert Status”
regardless of calculated score
• Based on violations of serious regulations
discovered during investigations and audits
Tom Bray
J. J. Keller &
Associates, Inc.
 One “very serious” violation or a pattern of “other serious violations”
Dial-in: 1-888-824-5783, Pass Code: 75154299#;
Tech Support: 1-888-259-8414, Webinar ID: 532509898
Follow-up Interventions
•
•
•
•
Used if a problem is found
Cooperative Safety Plan
Notice of Violation
Notice of Claim
 Settlement agreement
• Unfit suspension: Carrier
declared “Unsatisfactory”
following Comprehensive
Review and fails to make
necessary corrections and/or
settle Notice of Claim
Dial-in: 1-888-824-5783, Pass Code: 75154299#;
Tech Support: 1-888-259-8414, Webinar ID: 532509898
Tom Bray
J. J. Keller &
Associates, Inc.
Which Intervention?
• The interventions are NOT used in order,
the specific intervention will depend on:




Tom Bray
J. J. Keller &
Associates, Inc.
Which BASIC(s) the carrier is over
How far over the threshold the carrier is
How many BASICs the carrier is over the threshold
Enforcement history (if the carrier has already been intervened
with…)
• If carrier has no BASIC over the threshold,
intervention is unlikely
 However, carrier should still look to improve their “worst” BASIC(s)
to avoid future problems
Dial-in: 1-888-824-5783, Pass Code: 75154299#;
Tech Support: 1-888-259-8414, Webinar ID: 532509898
Tom Moore, CTP
Vice President of Education
National Private Truck Council
Dial-in: 1-888-824-5783, Pass Code: 75154299#;
Tech Support: 1-888-259-8414, Webinar ID: 532509898
NPTC Member Poll:
What is the highest level of FMCSA
intervention faced by your fleet?
On-site, 3%
Other, 3%
Tom Moore
National Private
Truck Council
Off-site,
13%
Warning
Letter, 24%
Dial-in: 1-888-824-5783, Pass Code: 75154299#;
Tech Support: 1-888-259-8414, Webinar ID: 532509898
None, 57%
Safety Management
Controls
From Part 385:
Tom Moore
Safety management controls means the
National Private
Truck Council
systems, policies programs, practices, and
procedures used by a motor carrier to ensure
compliance with applicable safety and hazardous
materials regulations…
To reduce the risk of highway accidents and
hazardous materials incidents resulting in fatalities,
injuries, and property damage.
Dial-in: 1-888-824-5783, Pass Code: 75154299#;
Tech Support: 1-888-259-8414, Webinar ID: 532509898
Safety Management Cycle
Safety Management Cycle
Tom Moore
National Private
Truck Council
Dial-in: 1-888-824-5783, Pass Code: 75154299#;
Webinar ID: 532509898
U.S. Department
of Transportation
Tech
Support:
1-888-259-8414,
Federal Motor Carrier Safety Administration
Industry Briefing, November 2009 | 28
Phase 1: Policies and
Procedures
• Policies
 Clear, concise, simple and straightforward
 Actionable and measureable
 Should exceed federal regulations
• Procedures
 Support policies by detailing what will be done and how
 Include the process, validation and metrics
• Checklist for ensuring effectiveness




Confirm consistency with other policies/procedures
Communicate to all affected personnel
Conduct implementation and refresher training
Routinely verify compliance
Remember: You’re not judged on the plan. You’re
judged on implementation and outcomes.
Dial-in: 1-888-824-5783, Pass Code: 75154299#;
Tech Support: 1-888-259-8414, Webinar ID: 532509898
Tom Moore
National Private
Truck Council
Phase 2: Roles and
Responsibilities
• Assign people to implement the policies and
Tom Moore
procedures and document assignments
National Private
Truck Council
• Everyone needs to know their roles and
responsibilities within each safety program
• Don’t forget to assign someone to verify policy
implementation and compliance
Dial-in: 1-888-824-5783, Pass Code: 75154299#;
Tech Support: 1-888-259-8414, Webinar ID: 532509898
Phase 3: Qualifications
and Hiring
•
•
•
•
Getting the right person into the right job
Robust system for qualifying applicants
Job descriptions critical component
Structured hiring process with standards
Tom Moore
National Private
Truck Council
This applies to all positions related to safety,
not just drivers!
Dial-in: 1-888-824-5783, Pass Code: 75154299#;
Tech Support: 1-888-259-8414, Webinar ID: 532509898
Phase 4: Training and
Communications
• Three training components: initial (a.k.a.
“orientation”), ongoing, and remedial
Tom Moore
National Private
Truck Council
 Orientation should target all new hires and should
cover your policies, expectations, equipment, paperwork
 Ongoing should focus on fleet-level areas for improvement and
should be data driven
 Remedial should focus on individual employee issues, should be
corrective in nature and must stress accountability
• Communications
 Keeps everyone focused on safety and compliance between
training sessions
 Communication is the key to building a safety culture!
Dial-in: 1-888-824-5783, Pass Code: 75154299#;
Tech Support: 1-888-259-8414, Webinar ID: 532509898
Phase 5: Monitoring and
Tracking
• What gets measured gets fixed!
• Measuring shows what needs to be fixed
• Data sources:
 FMCSA data
 In-house data (OBC, Scorecards, Studies, Monitoring, etc.)
• Tracking Metrics
 DOT recordable crashes
 ALL crashes and incidents, no matter how
minor (including near-misses and complaints)
 ALL roadside inspections and violations
 Out-of-service violations
 ALL injuries
Dial-in: 1-888-824-5783, Pass Code: 75154299#;
Tech Support: 1-888-259-8414, Webinar ID: 532509898
Tom Moore
National Private
Truck Council
Phase 6 Meaningful Action
Regulation
Best Practices
Minimum age of 21
Minimum age of 23
Correct license and
endorsements
Correct license, endorsements
AND 2 years of experience
Valid medical card and pass
drug test
Pass company physical, fitness
testing and drug test
Must get MVR and complete
SPH with any DOT-regulated
previous employer
Must pass company
background check, including:
SPH, PSP, and personal
interview
Dial-in: 1-888-824-5783, Pass Code: 75154299#;
Tech Support: 1-888-259-8414, Webinar ID: 532509898
Tom Moore
National Private
Truck Council
Carol Heinowski
Private Fleet Manager
Meijer, Inc.
Dial-in: 1-888-824-5783, Pass Code: 75154299#;
Tech Support: 1-888-259-8414, Webinar ID: 532509898
Meijer, Inc. Fleet Operations
• Fleet profile




155 Power Units
2,000 Trailers
240 CDL Drivers
17+ million miles
• Network
 4 Distribution facilities
 2 Manufacturing facilities
 199 stores
Dial-in: 1-888-824-5783, Pass Code: 75154299#;
Tech Support: 1-888-259-8414, Webinar ID: 532509898
Carol Heinowski
Meijer, Inc.
Know Your DOT Data
• SAFER
 safer.fmcsa.dot.gov/CompanySnapshot.aspx
 Carrier census information
 Inspection OOS rates compared to National Averages over
last 24 months
 Carrier crashes over last 24 months
 Carrier Safety Fitness Rating
 Flag if Carrier is Prohibited from Operating
Dial-in: 1-888-824-5783, Pass Code: 75154299#;
Tech Support: 1-888-259-8414, Webinar ID: 532509898
Carol Heinowski
Meijer, Inc.
Know Your DOT Data
• Safety Measurement System (SMS)
Carol Heinowski
 ai.fmcsa.dot.gov/SMS/
Meijer, Inc.
 Carrier census information
 36 months of inspection, intervention and crash data (including
identification of serious violations)
 BASIC percentile rankings and over threshold notice
 Data download functionality
 Informational materials on improving BASIC percentile rankings
• Compass Portal
 portal.fmcsa.dot.gov
 Daily, un-scored roadside inspection and crash data
 Access to other FMCSA sites
Dial-in: 1-888-824-5783, Pass Code: 75154299#;
Tech Support: 1-888-259-8414, Webinar ID: 532509898
SAFER Screenshot – Access to
Company Snapshot
Carol Heinowski
Meijer, Inc.
Dial-in: 1-888-824-5783, Pass Code: 75154299#;
Tech Support: 1-888-259-8414, Webinar ID: 532509898
SAFER Screenshot –
Company Snapshot
Carol Heinowski
Meijer, Inc.
Dial-in: 1-888-824-5783, Pass Code: 75154299#;
Tech Support: 1-888-259-8414, Webinar ID: 532509898
SMS Screenshot – Login
Carol Heinowski
Meijer, Inc.
Dial-in: 1-888-824-5783, Pass Code: 75154299#;
Tech Support: 1-888-259-8414, Webinar ID: 532509898
SMS Screenshot – Login
Carol Heinowski
Meijer, Inc.
Dial-in: 1-888-824-5783, Pass Code: 75154299#;
Tech Support: 1-888-259-8414, Webinar ID: 532509898
SMS Screenshot –
Percentile Rankings
Carol Heinowski
Meijer, Inc.
Dial-in: 1-888-824-5783, Pass Code: 75154299#;
Tech Support: 1-888-259-8414, Webinar ID: 532509898
Portal Screenshot – Login
Carol Heinowski
Meijer, Inc.
Dial-in: 1-888-824-5783, Pass Code: 75154299#;
Tech Support: 1-888-259-8414, Webinar ID: 532509898
Portal Screenshot –
Inspection Data Access
Carol Heinowski
Meijer, Inc.
Dial-in: 1-888-824-5783, Pass Code: 75154299#;
Tech Support: 1-888-259-8414, Webinar ID: 532509898
Challenge Inaccurate Data
through DataQ’s
• Access DataQ’s from the SAFER website,
Carol Heinowski
the SMS website or at:
Meijer, Inc.
https://dataqs.fmcsa.dot.gov/login.asp
• Challenges are reviewed by the state that
entered the data, with federal oversight.
• 65% of challenges are successful
• Can appeal to state motor carrier safety office if you
do not like the results of a challenge.
Dial-in: 1-888-824-5783, Pass Code: 75154299#;
Tech Support: 1-888-259-8414, Webinar ID: 532509898
Challenge Inaccurate Data
through DataQ’s
• Don’t bother with challenging
Carol Heinowski
non-preventable accidents--they will
Meijer, Inc.
not be removed.
• Submit additional documents to back up your claim.
• Remember, that CSA data is available to the public,
so get the bad data off of your record!
Dial-in: 1-888-824-5783, Pass Code: 75154299#;
Tech Support: 1-888-259-8414, Webinar ID: 532509898
DataQs Screenshot –
Challenge List
Carol Heinowski
Meijer, Inc.
Dial-in: 1-888-824-5783, Pass Code: 75154299#;
Tech Support: 1-888-259-8414, Webinar ID: 532509898
Internal Auditing
• Start with areas that you have a high CSA
Carol Heinowski
score, and/or serious violations that could
Meijer, Inc.
lead to accidents
• Then go back and look at company policies and
procedures that address all areas of the FMCSR’s.
 Note – only one policy is required by regulation (Part 382 –
Drug & Alcohol Testing), but DOT will look for management
controls via your internal policies and procedures to ensure
compliance.
Dial-in: 1-888-824-5783, Pass Code: 75154299#;
Tech Support: 1-888-259-8414, Webinar ID: 532509898
Internal Auditing – Part 382
• If you are struggling in this area, the best
practice is to use a 3rd Party consortium
Carol Heinowski
Meijer, Inc.
 Random drug and alcohol testing
 MRO Services
 Some may help with required training and policy
• Meijer is large enough that we have an HR
Department that runs our D&A program; however, as
the Fleet Manager, I make sure to stay on top of it to
ensure my drivers are in compliance.
Dial-in: 1-888-824-5783, Pass Code: 75154299#;
Tech Support: 1-888-259-8414, Webinar ID: 532509898
Internal Auditing – CDL
and Medicals
• Don’t assume that the drivers will remember
Carol Heinowski
to renew their medicals and CDL’s on time.
Meijer, Inc.
• You are responsible for their compliance.
• Have a “tickler” file to notify you of expirations.
• Meijer has two systems:
 A 3rd party online system notifies us of expirations
 Our dispatch system also does 30-day notifications and will not allow
a dispatcher to assign a trip to a driver that still has an expired
medical or CDL.
Dial-in: 1-888-824-5783, Pass Code: 75154299#;
Tech Support: 1-888-259-8414, Webinar ID: 532509898
Internal Audit – DQ Files
• Run MVR’s and annual reviews at the same
Carol Heinowski
time each year.
Meijer, Inc.
• Meijer utilizes a 3rd party system – all DQ
documents are scanned into the program allowing for
easy reporting of incomplete files and upcoming
expirations.
Dial-in: 1-888-824-5783, Pass Code: 75154299#;
Tech Support: 1-888-259-8414, Webinar ID: 532509898
Internal Audit – Hours of
Service
• First and foremost – the Safety and
Carol Heinowski
Operation departments HAVE to be on the
Meijer, Inc.
same page.
• Safety and Compliance has to come from the top.
• Focus on critical violations first – then worry about
form and manner.
• Electronic logs –
 Our logbook violations went to zero
 False logs become a thing of the past
 Weekly audits take 2 minutes
Dial-in: 1-888-824-5783, Pass Code: 75154299#;
Tech Support: 1-888-259-8414, Webinar ID: 532509898
Internal Audit - Maintenance
• Ensure proper training on pre-trip
Carol Heinowski
inspections
Meijer, Inc.
• Follow up on DVIR write-ups
• Keep accurate maintenance records
• Look for patterns – this will help guide you on where
to focus
Dial-in: 1-888-824-5783, Pass Code: 75154299#;
Tech Support: 1-888-259-8414, Webinar ID: 532509898
Question & Answer
Gary Petty
National Private
Truck Council
Tom Bray
J. J. Keller &
Associates, Inc.
Tom Moore
National Private
Truck Council
Please submit questions to
“Q&A” using the Q&A tool
Dial-in: 1-888-824-5783, Pass Code: 75154299#;
Tech Support: 1-888-259-8414, Webinar ID: 532509898
Carol Heinowski
Meijer, Inc.
Closing Remarks
• Checkout the archive of past topics at:
http://www.jjkeller.com/nptcinfo
 PowerPoint slides up in 1-2 days
 Recording up in 1 week
Gary Petty
National Private
Truck Council
• Topics for 2012:
 May 9 - Roadside Inspections
 July 11 - Improving Fleet Productivity Through Quality and Lean
Initiatives
 October 3 - Effective Motor Carrier Safety Training Programs
Dial-in: 1-888-824-5783, Pass Code: 75154299#;
Tech Support: 1-888-259-8414, Webinar ID: 532509898