Transcript Comprehensive Safety Analysis (CSA) 2010 Industry Briefing

Comprehensive Safety Analysis
(CSA) 2010
A New Way To Measure and Address
Commercial Motor Vehicle Safety
Industry Briefing
U.S. Department of Transportation
U.S. Department of Transportation
Federal
Motor
Carrier
Administration
Federal
Motor
Carrier
SafetySafety
Administration
Industry Briefing, February 2010
Presentation Agenda
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Why Change?
CSA 2010: Defined
Test and Implementation
Summary
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, February 2010
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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 laborintensive
– Only able to reach < 2% (~12,000) of total carrier population annually
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, February 2010
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Comprehensive Safety Analysis 2010
What is CSA 2010?
CSA 2010 is an important 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, February 2010
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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
• 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
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, February 2010
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CSA 2010 Defined
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, February 2010
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A New Operational Model (Op-Model)
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, February 2010
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Op-Model: Three Core Components
1. New Safety Measurement System (SMS)
Improved ability for earlier identification of demonstrated
safety problems
2. New intervention process
Employs an array of interventions instead of the current
principal option -- a labor-intensive compliance review
3. New approach to Safety Fitness Determination
(SFD)
SFD would be tied to current safety performance; not limited
to results of acute/critical violations from a compliance
review
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, February 2010
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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
• Assigns weights to time and severity of violations based on
relationship to crash risk
• Calculates safety performance based on 7 Behavior
Analysis and Safety Improvement Categories (BASICs)
• Triggers the intervention process (eventually would feed
Safety Fitness Determination)
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, February 2010
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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, February 2010
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BASIC Measures
Convert BASIC Data into Quantifiable Measure
• Considerations
– Time Weighting / Time Frame - More recent events more relevant
– Severity Weightings - Increase weighting of violations that have been
shown to create a greater risk of crash involvement
– Normalizing - Based on exposure: use of number of inspections and
power units
– Single Inspection Cap – limit violation weight of single poor
inspection
– Violation Cap – Cited section number only counts once per
inspection
SAFETY
EVENTS
BASIC DATA
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Webinar #2
BASIC
MEASURES
PERCENTILE
Industry Briefing, February 2010
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Percentile
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Based on each BASIC measure, develop percentile indicating entity's BASIC
performance
– Provides a relative assessment of performance
– Allows for prioritizing intervention resources by behavior
Considerations:
– Peer Grouping - compare measures of entities with similar levels of exposure
– Data Sufficiency standards – define events/exposure necessary to generate a
robust measure
– Intervention standards – define “critical mass” of poor performance necessary
for inclusion of entity in intervention process
SAFETY
EVENTS
BASIC DATA
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Webinar #2
BASIC
MEASURES
PERCENTILE
Industry Briefing, February 2010
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Percentile
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Based on each BASIC measure, develop percentile indicating entity's
BASIC performance
– Current Inspection and Crash Data – assignment of percentile
dependent on age and result of most recent inspection (12 months)
– Time Weight- Violations recorded in the past 6 months receive a
time weight of 3. Violations recorded between 6 and 12 months ago
receive a time weight of 2. All violations recorded earlier (older than
12 months but within the past 24 months) receive a time weight of
1. This time weighting places more emphasis on recent violations
relative to older violations
SAFETY
EVENTS
BASIC DATA
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Webinar #2
BASIC
MEASURES
PERCENTILE
Industry Briefing, February 2010
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Peer Grouping
• Create percentile based on measure for carrier with similar
exposure (same peer group)
Peer
Group
-Unsafe Driving
-Controlled Substances/Alcohol
-Crash
1
2
3
4
5
0 < PU<= 5
5 < PU <= 15
15 < PU <= 50
50 < PU <= 500
500 < PU
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Webinar #2
BASICs
-Fatigued Driving
-Driver Fitness
-Vehicle Maintenance
-Improper Loading/Cargo Securement
5 – 10 Inspections; (3-10 Fatigued)
11 – 20 Inspections
21 – 100 Inspections
101 – 500 Inspections
501+ Inspections
Industry Briefing, February 2010
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New CSA 2010 Thresholds
Basic
General
HM
Passenger
Unsafe Driving
72
67
50
Fatigued Driving
72
67
50
Driver Fitness
77
72
55
Controlled
Substances/Alcohol
77
72
55
Vehicle Maintenance
77
72
55
Improper Loading/Cargo 77
Securement
72
55
Crash Indicator
67
50
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
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Industry Briefing, February 2010
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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 BASICs
Identifies carrier for a compliance review (CR)
Identifies safety problems to determine whom to
investigate and where to focus the investigation
Uses only out-of-service (OOS) and moving
violations from roadside inspections.
Uses all safety-based roadside 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
Assesses carriers and drivers – the driver SMS is a
tool for investigators to identify drivers with safety
problems during carrier investigations
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, February 2010
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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, February 2010
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Carrier Measurement: SafeStat Results
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, February 2010 | 18
Carrier Measurement: SMS Results
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, February 2010 | 19
Violation Details Provided in SMS
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, February 2010 | 20
Further Drilldown in SMS
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, February 2010 | 21
Driver Measurement: By Basic
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, February 2010 | 22
Driver History: Unsafe Driver Measure and Violations
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, February 2010 | 23
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 late spring/early summer 2010
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, February 2010
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New Agency Plans for Drivers
• The new Carrier Measurement System provides
internal tools, including enhanced information on
individual drivers, to investigators to more effectively
and efficiently conduct carrier investigations
– Tools allow for targeted sampling using enhanced driver
information
– Follow up on serious violations
• Under CSA 2010, individual drivers will not be
assigned safety ratings or safety fitness determinations
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, February 2010
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New Agency Plans for Drivers (cont’d)
• Other Agency initiatives are underway, including
the Pre-employment Screening Program (PSP)
– PSP was mandated by Congress and is not a part of CSA
2010
– “Driver Profiles” from FMCSA’s Driver
Information Resource (DIR) will be available to
carriers through PSP
– Driver Profiles will only be released with driver
authorization
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, February 2010
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Roadside Data Uniformity
• Data collected at the roadside is the foundation of all
data driven traffic safety initiatives
• CSA 2010 relies on roadside data in its SMS
Methodology
• The CSA 2010 SFD methodology would use roadside
data as a component of the safety fitness
determinations
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, February 2010
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Roadside Uniformity-Background
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Effort organized into four core initiatives:
1. Consistent documentation of roadside inspection and
violation data
2. Standardized processes for challenging data
3. Increased awareness of high-level goals of the inspection
program
a)
Good inspections can support systematic enforcement
program
b) Screening vs. Inspection
4. Uniform inspection selection processes
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, February 2010
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FMCSA Data Quality
• Quality data is key to CSA 2010 Operational
Model
• Comprehensive data quality program initiated
over 5 years ago
• Current data is useful and meaningful;
improvements can always be made
• DataQs provides the public (including carriers
and drivers) the opportunity to challenge the
accuracy of federal and state reported data
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, February 2010
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Challenging Data
• Improper Challenges:
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Driver fired, please remove all these violations
Crash not our fault, please remove
Driver caused the violation, please remove
Owner operator (leased to company), please remove
• Helpful Suggestions:
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Attach document(s) that support the challenge
Be specific and detailed in your narrative
Owner operator (leased to company): attach lease agreement
Ensure contact information is accurate and updated
Check the status frequently, (additional information may be
requested)
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, February 2010
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New Interventions Process
The New 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 through use of
Safety Management Cycle and Safety Improvement
Resources
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, February 2010
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Safety Management Cycle
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, February 2010
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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, February 2010
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Current vs CSA 2010 Intervention Process
Current CR Process
CSA 2010 Intervention Process
Broad one-size-fits-all investigation
Array of interventions can be tailored to
address extent and scope of specific safety
deficiencies
Resource intensive for enforcement
agencies and time consuming for
carrier/fewer carriers contacted
Less resource intensive for enforcement
agencies 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
Discovers what violations exist at that
time
Discovers what safety problem(s) are, why
they exist, and how to correct them
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 driver violations
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, February 2010
34
Current Rating Process in CSA 2010
• CSA 2010 incorporates the existing safety rating
process and will continue to do so until SFD would go
into effect
• Drivers will not be rated
• Ratings are issued based on investigation findings:
– On-site comprehensive investigations can result in Satisfactory,
Conditional or Unsatisfactory ratings
– Onsite focused investigations can result in Conditional or
Unsatisfactory Ratings
– Offsite investigations do not result in a rating
– Carriers can request an administrative review of its safety
rating(§385.17)
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, February 2010
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Safety Fitness Determination (SFD)
SFD would:
• Incorporate on-road safety performance via new
SMS which is updated on a monthly basis
• Continue to include major safety violations found as
part of CSA 2010 investigations
• Produce a Safety Fitness Determination (SFD) of
– Unfit or
– Marginal or
– Continue Operation
Draft rulemaking is currently in review within DOT;
NPRM expected to be published in early 2010.
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, February 2010
36
CSA 2010 Test and
Implementation
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, February 2010
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CSA 2010 Field Test
Operational-Model Field Test Design:
• Design completed January 2008
– Divides representative carriers into
comparable test and control groups
Operational-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 (first test group)
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, February 2010
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100% States in Field Test
• Additional states
– Spring 2009: MT (AB), MN (ON)
– Fall 2009: KS, MD, DE
• 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, February 2010
39
Preliminary Results
So far, CSA 2010 is:
• Reaching its goal of contacting more carriers
– Research shows more contacts equals improved safety performance
• Resulting in strong enforcement; similar to current model
• Employing the full array of investigations
– Investigations in test states have been done in the following proportions
• Onsite Investigations – Comprehensive (~25%)
• Onsite Investigations – Focused (~45%)
• Offsite Investigations (~30%)
• Following up with carriers: 50% of investigations result in one of
following:
• Notice of Claim or Violation
• Cooperative Safety Plan
• Driver-Specific follow-on activities
– Notice of Violation
– Notice of Claim
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, February 2010
40
More Preliminary Results
Warning letters are having a positive impact:
• Almost 5,500 sent
• Almost 50% of recipients logged in to view their data
and safety assessments
• Feedback from test states indicate that some carriers
appreciate the early alert
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, February 2010
41
National Implementation Elements and Timeline
Summer 2010
• Replace SafeStat with SMS
• Send SMS results (BASICs scores) to roadside
inspectors
Summer through December 2010
• Roll out training to enforcement agencies on
new interventions
• Send warning letters nationwide
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, February 2010
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Summary
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, February 2010
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In Summary…
CSA 2010 introduces improvements in three main areas
1. New Safety Measurement System
– More comprehensive profile of carriers and drivers
– Better able to pinpoint the source of safety problems
– Better identifies high crash-risk behavior
2. 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
3. Proposed change in evaluation: Safety Fitness Determination
– Assess safety performance of larger segment of industry
– Based on roadside performance and intervention results
– Rating will be updated more often, conveying current safety condition
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, February 2010
44
What Can Carriers Do To Prepare Now?
• Educate Yourselves and Your Employees:
– Understand the SMS Methodology and the BASICs
– Check the website for information and updates (http://csa2010.fmcsa.dot.gov)
– Raise awareness that every inspection counts and every violation counts
• 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
• Check and update records
– Motor Carrier Census (Form MCS -150)
– Routinely monitor and review inspection and crash data
– Question potentially incorrect data (DataQs: https://dataqs.fmcsa.dot.gov)
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, February 2010
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For more information, please visit:
csa2010.fmcsa.dot.gov
U.S. Department of Transportation
Federal Motor Carrier Safety Administration
Industry Briefing, February 2010
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