Transcript Comprehensive Safety Analysis (CSA) 2010 Re

Comprehensive Safety Analysis
(CSA) 2010
A New Way To Measure and Address
Commercial Motor Vehicle Safety
Industry Briefing
October 2009
U.S. Department of Transportation
U.S. Department of Transportation
Federal
Motor
Carrier
Administration
Federal
Motor
Carrier
SafetySafety
Administration
Industry Briefing, October 2009
Presentation Agenda
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Why Change?
A Change to Save Lives
CSA 2010: Defined
Test and Implementation
Summary
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, October 2009 | 2
Why Change?
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, October 2009
Commercial Motor Vehicle Fatalities
Rate of Commercial Motor Vehicle Fatalities is Leveling Off
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, October 2009 | 4
A Need For A More Agile, Efficient Program
• Current Operational Model Limitations
– Limited intervention tool-box for safety investigators (SIs)
– Safety fitness determination tied to compliance review
– Focus largely on carriers
• Limited number of federal/state investigators compared to large
number of carriers
– U.S. Department of Transportation’s (U.S. DOT) Federal Motor Carrier
Safety Administration (FMCSA) regulates ~725,000 interstate and foreignbased truck and bus companies
• U.S. DOT/FMCSA audit (Compliance Review) is labor
intensive
– Only able to reach < 2% (~12,000) of total carrier population annually
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, October 2009 | 5
A Change to Save Lives
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, October 2009
Comprehensive Safety Analysis 2010
What is CSA 2010?
CSA 2010 is a pro-active
initiative to improve the
efficiency and effectiveness of
FMCSA’s enforcement and
compliance program to achieve
the Agency’s mission to reduce
commercial motor vehicle
(CMV) crashes, fatalities, and
injuries.
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, October 2009 | 7
What is Changing?
• The way FMCSA assesses carrier safety
– Identifies unsafe carrier and driver behaviors that lead to crashes
– Uses all safety-based roadside inspection violations count
– Evaluates/tracks driver performance individually
• How FMCSA addresses carrier safety issues
– Reaches more carriers earlier and more frequently
– Improves efficiency of investigations
• Focuses on specific unsafe behaviors
• Identifies root causes
• Defines and requires corrective actions
• How FMCSA promotes safety
– Forces carriers/drivers to be accountable for their safety performance
• Demands and enforces safe on-road performance
– Makes more complete safety performance assessments publicly available
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, October 2009
8
Early Results Are Promising
• Eight states are testing model with promising
results via earlier contact with more carriers
• Carrier feedback is generally positive; an
investigator in the test state of Missouri reports:
“…the new model has had a positive reaction from most
carriers. Many are trying to do well but sometimes do not realize
they have deficiencies or problems in one area or
another. Carriers also like that CSA 2010 allows us to do a
focused investigation on the specific areas that have violation
problems and to identify the process breakdowns in their safety
management systems to help them correct the deficiency.”
- Steff Copeland, State Enforcement Investigator, MO DOT
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, October 2009 | 9
CSA 2010 Defined
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, October 2009
A New Operational Model (Op-Model)
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, October 2009
Op-Model: Three Core Components
1. New Safety Measurement System (SMS)
Improved ability to identify demonstrated safety problems
2. Proposed change for evaluation: new approach
to the Safety Fitness Determination (SFD)
SFD tied to current safety performance; not limited to
acute/critical violations from a Compliance Review
3. New intervention process
Employs an array of interventions instead of the single option,
labor-intensive compliance review
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, October 2009 | 12
New Safety Measurement System
CSA 2010 introduces a new safety measurement
system (SMS) that…
• Uses crash records and ALL roadside inspection safetybased violations to determine carrier/driver safety
• Weights time and severity of violations based on
relationship to crash risk
• Triggers the intervention process (eventually will feed the
proposed Safety Fitness Determination)
• Calculates safety performance based on 7 Behavior
Analysis and Safety Improvement Categories (BASICs)
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, October 2009 | 13
SMS BASICs
SMS BASICs focus on behaviors linked to crash risk
1. Unsafe Driving (Parts 392 & 397)
2. Fatigued Driving (Hours-of-Service);
Parts 392 & 395)
3. Driver Fitness (Parts 383 & 391)
4. Controlled Substances/Alcohol
(Parts 382 & 392)
5. Vehicle Maintenance (Parts 393 & 396)
6. Cargo Related
(Parts 392, 393, 397 & HM)
7. Crash Indicator
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, October 2009 | 14
SafeStat vs SMS
Today’s Measurement System: SafeStat
CSA 2010 SMS
Organized by four broad categories - Safety
Evaluation Areas (SEAs): Accident, Driver,
Vehicle, and Safety Management
Organized by seven specific Behavior Analysis
Safety Improvement Categories (BASICs)
Identifies carrier for a compliance review (CR)
Identifies safety problems to determine who to
investigate and where to focus the investigation
From roadside inspections, uses only out-ofservice (OOS) and moving violations
Emphasizes on-road safety performance, using all
safety-based road-side inspection violations
No impact on safety rating
Used to propose adverse safety fitness
determination based on carriers’ current on-road
safety performance (future)
Violations are not weighted based on relationship
to crash risk
Violations are weighted based on relationship to
crash risk
Assesses carriers only
Two distinct safety measurement systems-one for
individual carriers and one for individual
commercial motor vehicle (CMV) drivers
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, October 2009
Driver Safety Measurement System (DSMS)
DSMS quantifies commercial motor vehicle
(CMV) driver performance in terms of BASICs,
using available roadside performance data
• Allows Safety Investigators (SI) to see an individual CMV driver’s
safety record across employers
• Allows SIs to examine drivers who have been cited for severe driver
violations, in conjunction with carrier interventions
• May result in driver Notice of Violation or Notice of Claim based on
driver violation history across current and previous employers
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, October 2009 | 16
Commonly Asked Question About Driver Data
When Will Carriers Have Access to Driver Data for
Employment Decisions?
• FMSCA’s Driver Information Resource (DIR) attributes roadside
inspection and crash data to individual CMV drivers
• “Driver Profiles” from DIR that contain inspection and crash
histories for individual drivers will be made available through
FMCSA’s Commercial Driver Pre-employment Screening
Program (PSP) later in 2009; drivers would authorize release of
profiles
• FMCSA is negotiating with 3rd party vendors to provide access to
PSP data for carriers and drivers
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, October 2009 | 17
Example of SafeStat vs SMS
The following slides provide
examples of key differences between
SafeStat and the new SMS
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, October 2009 | 18
Carrier Measurement: SafeStat Results
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, October 2009 | 19
Carrier Measurement: SMS Results
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, October 2009 | 20
Violation Details Provided in SMS
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, October 2009 | 21
Further Drilldown in SMS
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, October 2009 | 22
Carrier Access to Data
When will the Carrier SMS data be made
available?
• Currently, only test state carriers have access
to Carrier SMS data, by using the
Comprehensive Safety Information (CSI) system
• The Carrier SMS data will be accessible beyond
the test states when CSA 2010 begins full
implementation in summer 2010
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, October 2009 | 23
Safety Fitness Determination: Current
Limitations
The current safety rating/SFD process
has limitations
• Only issued with on-site Compliance Review (resource
intensive)
• Only a snapshot of carrier compliance taken at the time
of most recent Compliance Review
− Safety ratings (Sat, Conditional or Unsat) are often
outdated and may not reflect current safety posture
• Heavily based on violations deemed “critical” or “acute”
• Unsatisfactory/Unfit SFD rating requires multiple areas
of deficiency
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, October 2009 | 24
Proposed Change to the SFD Process
Proposed change would:
• Incorporate on-road safety performance via new
SMS on a monthly basis
• Continue to include major safety violations found as
part of CSA 2010 investigations
• Produce a Safety Fitness Determination of
– Unfit or
– Marginal or
– Continue Operation
Draft rulemaking is currently in review within FMCSA;
NPRM scheduled to be published Fall ’09.
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, October 2009 | 25
Benefits of the Proposed CSA 2010 SFD
• Maximizes the use of data collected during roadside
inspections
– Approx. 3 million inspections performed annually
• Creates carrier accountability for sustained unsafe
operations and performance
• Assesses more carriers based on current safety
performance
CSA 2010 issues safety ratings within the existing regulatory
framework. This will continue until the SFD rule goes into effect
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, October 2009 | 26
New Interventions Process
The New Interventions Process addresses the…
• WHAT
Discovering violations and
defining the problem (similar to
current model), but also expanding
to include the why and how
• WHY
Identifying the cause or
where the processes broke down
• HOW
Determining how to fix it/prevent it through use of
Safety Management Cycle and Safety Improvement
Resources
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, October 2009 | 27
Safety Management Cycle
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, October 2009 | 28
New Intervention Tools
New intervention tools reach more carriers and
influence safety compliance earlier
•Warning Letters
•Investigations
− Offsite Investigations
− Onsite Investigations - Focused
− Onsite Investigations - Comprehensive
•Follow-on corrective actions
− Cooperative Safety Plan (CSP)
− Notice of Violation (NOV)
− Notice of Claim (NOC)
− Operations Out-of-Service Order (OOS)
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, October 2009 | 29
Current vs CSA 2010 Intervention Process
Current CR Process
CSA 2010 Intervention Process
Broad one-size fits-all investigation
regardless of extent or scope of safety
deficiencies
Array of interventions can be tailored to
address extent and scope of specific safety
deficiencies
Resource intensive for agency and time
consuming for carrier/fewer carriers
contacted
Less resource intensive for agency and less
time consuming for carrier/more carriers
contacted
Focuses on broad compliance based on
rigid set of acute/critical violations
Focuses on improving behaviors that are
linked to crash risk
Discover what violations exist
Discover what safety problem(s) are and
why they exist, to facilitate corrective action
Major safety problems result in fines
(Notice of Claim (NOC))
When problems found, major focus on
carrier proving corrective action; significant
problems continue to result in fines
Focuses on carrier
Expands focus to include investigating
individual drivers Industry Briefing, October 2009
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
What Can Carriers Do To Prepare Now?
• Learn more about CSA: http://csa2010.fmcsa.dot.gov
– Understand the BASICs
– Check the site for implementation schedule
– Sign up for latest news: RSS/listserv
• Check and update records
– Motor Carrier Census (Form MCS -150)
– Inspection and crash report
• Ensure compliance
– Review inspections and violation history over the past 2 years
– Address safety problems now
– Educate drivers about how their performance impacts their own driving record
and the safety assessment of the carrier
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, October 2009
31
CSA 2010 Test and
Implementation
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, October 2009
CSA 2010 Field Test
Op-Model Field Test Design:
• Design completed January 2008
– Divides representative carriers into
comparable test and control groups
Op-Model Field Test:
• February 2008 – June 2010
• Designed to test validity, efficiency and
effectiveness of new model
• Independent evaluation by University of
Michigan Transportation Research Institute (UMTRI)
• Colorado, Georgia, Missouri, New Jersey
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, October 2009 | 33
100% States in Field Test
• Additional states
– Spring 2009: MT, MN
– Fall 2009: KS, MD
• 100% of the State participates in CSA 2010
– Offers a more accurate picture of efficiencies, capabilities and
benefits
– Tests integration with national program goals and
Congressional mandates
– Provides more data to evaluate test including workload and
workforce analyses
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, October 2009
34
Preliminary Results
So far, CSA 2010 is:
• Reaching its goal of contacting more carriers
– One objective of CSA 2010 was to conduct more investigations per
FTE, per month
– This goal is being met or exceeded by test state SIs
• Resulting in strong enforcement; similar to current model
• Employing the full array of investigations to achieve
efficiency and effectiveness
– Investigations in test states have been done in the following proportions
• Onsite Investigations – Comprehensive (~25%)
• Onsite Investigations – Focused (~45%)
• Offsite Investigations (~30%)
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, October 2009 | 35
More Preliminary Results
Warning letters are having a positive impact:
• About 4,000 sent
• 45% of recipients logged in to view safety scores
• Feedback from test states indicate that carriers
appreciate the early alert
“…carrier officials thanked us for notifying them of their safety problems…
once carrier officials understand that the new system enables them to identify
their problem drivers, a light goes on. They see CSA 2010 as a tool that they
can use to stress the importance of roadside inspections with their drivers, to
hold their drivers accountable for their on-road safety performance, and to
thereby improve their companies’ overall safety performance.”
- Daniel Drexler, Division Administrator in Minnesota
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, October 2009 | 36
National Implementation Elements and Timeline
Summer 2010
• Replace SafeStat with SMS
• Inspect carriers with deficient BASICs on the
roadside
July through December 2010
• Roll out interventions tool box
• Send warning letters nationwide
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, October 2009 | 37
Summary
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, October 2009
In Summary…
CSA 2010 introduces improvements in three main areas
1. New Safety Measurement System
– More comprehensive
– Better able to pinpoint safety problems
– Better identifies high crash-risk behavior
2. Proposed change in evaluation: Safety Fitness Determination
– Assess safety performance of larger segment of industry
– Based on roadside performance and intervention results
3. New interventions process and tools
– More efficient/effective enforcement and compliance process
– Wider range of interventions to influence compliance earlier
– Match intervention with level of safety performance
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, October 2009 | 39
For more information, see
csa2010.fmcsa.dot.gov
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, October 2009