Comprehensive Safety Analysis (CSA) 2010 for CMV Drivers July 2010

Presentation Agenda Background CSA 2010: The New Approach Today’s Status and Next Steps What CSA 2010 Means for Drivers Frequently Asked Questions 2 2

CSA 2010 Background

FMCSA’s Current Enforcement Program SafeStat –measurement system used today to determine the safety performance of motor carriers Compliance Review Process –onsite review of a motor carrier’s operations Safety Ratings –result of the Compliance Review, Satisfactory, Conditional, or Unsatisfactory This is a brief explanation of FMCSA’s compliance and enforcement model as it is applied today: SafeStat is the measurement system that collects information from Roadside Inspections and Crash Reports to determine the relative safety of carriers. That measurement score is then used to prioritize which carriers the Agency should go see to look at their business operations. The Compliance Review is the onsite review/investigative procedure that the agency uses to look into the carriers operations. Finally, carriers are issued a Safety Rating of Satisfactory, Marginal or Unsatisfactory based on that Compliance Review

Limitations of Current Model Approximately 5,000 people killed per year More carriers than Federal/State Investigators FMCSA regulates ~725,000 interstate and foreign-based truck and bus companies Compliance Review (CR) is effective, but it is labor intensive – Only able to reach < 2% (~12,000) of total carrier population annually Though FMCSA has been successful in decreasing fatality rates using today’s model, that decrease has leveled over time. At the same time the carrier population has increased and there are now significantly more carriers than Agency resources. Though the CR is an effective tool in determining the safety practices of a carrier, it is labor intensive and therefore, the Agency is only able to reach about 2% of the carrier population annually.

CSA 2010 The New Approach

Comprehensive Safety Analysis 2010 What is CSA 2010? Improves the efficiency and effectiveness of FMCSA Reduces commercial motor vehicle (CMV) crashes, fatalities, and injuries.

Why Change? Close your eyes, think about a loved one or significant other, do you have the picture of them in your mind? Open your eyes. Let’s work towards them not being on this slide from our MC News briefs. WE can continue to reduce fatalities, crashes, and the impact they have on all of us. How - together, we are all responsible for saving lives 8

Where does it all start… Talking Points : This program is dependent on roadside inspection data. Data is tied to the motor carrier USDOT number within the data collected on carrier performance is driver information and driver performance. Driver data is collected as well used in driver prioritization during carrier investigations. DRIVERS WILL NOT BE RATED and DRIVERS are at no greater risk of license suspension than they are in the current model that includes CR’s and the use of SAFESTAT for measurement purposes. 9 9

The New Model CSA 2010 introduces three new components to FMCSA’s enforcement and compliance model: New Safety Measurement System (SMS) to replace SafeStat New intervention process to augment compliance reviews New approach to the Safety Fitness Determination (SFD) This slide gives an overview of the 3 main components of this new operational model: SMS allows the agency the improved ability to identify demonstrated safety problems CSA 2010 employs an array of interventions instead of one single labor-intensive option –the Compliance Review SFD would be tied to current safety performance; not limited to acute/critical violations from a Compliance Review SFD requires rulemaking, not part of initial rollout 10

A New Operational Model (Op-Model) This is a diagram of the new operational model once it is fully deployed (post Safety Fitness Determination Rulemaking.) Beginning on the left, the model shows how safety violations from roadside inspections and crash data from crash reports feed into MCMIS (FMCSA’s collection system of data) The raw data is then measured (green Measurement box) and carrier performance is measured in 7 BASIC categories – Behavior Analysis and Safety Improvement Categories (BASICs) In turn, the measures are used for Safety Evaluation in two ways (green Safety Evaluation box). First, from a policy perspective an evaluation is made to determine intervention selection (see arrows and yellow interventions box). Second, to the right of the traffic lights in the box, the measurements may be used in the future to determine safety fitness (in rulemaking) .

New Measurement System Assesses safety of carriers and CMV drivers based on unsafe behaviors that lead to crashes Calculates safety performance based on 7 Behavior Analysis and Safety Improvement Categories (BASICs) Weights time and severity of violations based on relation to crash risk Uses crash records and all safety-based violations found at roadside Measures carrier safety performance Includes a new tool for use by Safety Investigators to assess driver safety performance In the future, measurement results will support future Safety Fitness Determinations Now in rulemaking; success of CSA 2010 not dependent on rule ALL SAFETY-BASED VIOLATIONS FOUND ROADSIDE GO INTO THE CARRIER SAFETY PERFORMANCE ASSESSMENT. ONLY THOSE VIOLATIONS WITHIN THE CONTROL OF THE DRIVER ARE ATTRIBUTED TO HIM/HER Currently, the driver safety performance results are strictly being used as an investigative tool for law enforcement and are not available to carriers, drivers, or the public. Under CSA 2010, FMCSA will not rate or determine the safety fitness of individual CMV drivers beyond what is currently defined in the Federal Motor Carrier Safety Regulations.  However, this does not preclude FMCSA from developing a driver rating or safety fitness determination process at some time in the future.

SMS BASICs This slide lists the seven Behavior Analysis Safety Improvement Categories The methodology is designed to weight on-road safety data based on its relationship to crash risk and focuses on behaviors that lead to crash risk. The data is also time-weighted over a 24 month time period so that it is reflective of current on-road safety performance. If a carrier’s performance improves over the time, the safety performance score improves. HM regulation violations (171, 172, 173, 177, 178, 180) may also be found /included in other BASICs such as driver fitness, but the most concentrated BASIC for these is Cargo Related so they are listed there.

New Measurement System –Driver Information All violations count toward a carrier’s score If received while driving for that carrier Only violations within the control of the driver (as deemed by the Agency) count toward a driver’s assessment For example: speeding, hours-of-service violations, etc. Carriers cannot see historic driver assessments Carriers can only see the violations received while the driver was employed by the driver’s current company ALL SAFETY-BASED VIOLATIONS FOUND ROADSIDE GO INTO THE CARRIER SAFETY PERFORMANCE ASSESSMENT. ONLY THOSE VIOLATIONS WITHIN THE CONTROL OF THE DRIVER ARE ATTRIBUTED TO HIM/HER

New Measurement System –Driver Information (cont’d) Individual driver assessments are used by investigators during carrier investigations only To identify drivers with safety problems To prioritize driver sample during carrier investigation To issue Notice of Violations/Notice of Claims to individual drivers based on this driver investigation as appropriate SMS BASICs will replace SafeStat Safety Evaluation Areas (SEAs) data sent to Roadside Inspectors Assist in determining level of inspection North American Standard (NAS) Inspection procedure does not change

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 New Interventions Process provides more tools to reach more carriers and influence safety compliance before crashes occur. SMS alerts FMCSA agents when an intervention is needed and recommends the appropriate type based on the safety problems. The focus of the new process is on changing behavior – For example: If a carrier has a particular problem, SIs will now look at WHY that carrier has that problem providing carriers insight and guidance to take corrective action. In the new model, FMCSA works with carriers to take real corrective action, while NOCs continue to be an important part of the process. SIs will use the Safety Management Cycle to walk carriers through their operations and to identify process breakdowns likely to result in safety problems. Safety Improvement Resources (SIRs) are a part of the new model and used to guide carriers in improving their operations.

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 carrier Safety Fitness Determination (SFD) of Unfit or Marginal or Continue Operation It’s important to note that this is a proposed rule and that the success of CSA 2010 is not reliant on this proposed rule. What is really important is that there is a process that is used in the test today (and that will be used upon roll-out) for rating carriers under the existing regulations. Draft rulemaking is currently in review within DOT; NPRM expected to be published in late 2010. 17

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 Drivers will not face any more suspension risk in the future than exists today 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) More language if needed: Per statutory language, a safety rating can only be issued to a carrier following a Compliance Review; and a Compliance Review is defined as an on-site investigation of a carrier; therefore, a rating can only be issued during an investigation that occurs at the carrier’s place of business. Because the onsite focused review only looks at a few areas of a carrier’s regulatory compliance, only a Conditional or Unsatisfactory rating may be applied based on findings.  The Agency cannot provide a Satisfactory rating since it will not have reviewed all areas.  As is current policy, a carrier may apply for an administrative request for upgrade and provide evidence of corrective action. 18

CSA 2010 Today’s Status and Next Steps

CSA 2010 Operational Model Test Operational Model Test in 9 states: Began February 2008 Completed June 2010 Designed to test validity, efficiency and effectiveness of new model 20 20

Preliminary Test 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 (~30%) Onsite Investigations – Focused (~45%) Offsite Investigations (~25%) 21 21

Preliminary Test Results So far, CSA 2010 is: Following up with carriers: Over 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 22 22

More Preliminary Results Warning letters are having a positive impact: Over 6,500 sent Over 50% of recipients logged in to view their data and safety assessments Feedback from test states indicate that some carriers appreciate the early alert 23 23

Roll-Out Schedule Guiding Principles Integrate lessons-learned from 9-state test and feedback from national stakeholder outreach Create a phased approach to methodically step stakeholders into new measurement system (SMS): Drive industry to information on how they will be measured; urge immediate safety improvements Build a foundation for enforcement staff to understand and effectively utilize SMS by internalizing concepts of behaviors and BASICs Maximize resources Respond to industry information needs Use new measurement system to identify and prioritize carriers with safety problems Train field staff in new intervention process 24 24

CSA 2010 Roll-out Schedule April 12 – November 30, 2010 Motor carriers can preview their own data by seeing their roadside inspections/violations and crash events organized by Behavior Analysis and Safety Improvement Category (BASIC) Summer 2010 June 30th – The Operational Model (Op-Model) Test ended July – The four test states partially applying the CSA 2010 Operational Model (Colorado, Georgia, Missouri, and New Jersey ) will fully switch over to CSA 2010, bringing total CSA 2010 states to nine August The Safety Measurement System (SMS) Methodology will be modified to increase its effectiveness Motor carriers will be able to see an assessment of their violations based on the new Carrier Safety Measurement System (CSMS) that will replace SafeStat later in 2010 Fall/Winter 2010 SafeStat will be replaced by the CSMS, which will be available to the public, including shippers and insurance companies FMCSA/States will prioritize enforcement using the CSMS FMCSA will begin to issue warning letters to carriers with deficient BASICs Roadside inspectors will use the CSMS results to identify carriers for inspection Coming in 2011 Safety Fitness Determination Notice of Proposed Rulemaking (NPRM) is scheduled to be released Enforcement staff will be trained, and new interventions will be implemented state-by-state Spring 2010 – CSA 2010 Data Review Along with enforcement staff across the country, Motor Carriers will be able to see their safety data arrayed by the BASICs.  They will receive guidance around how to improve in each of the BASICs and have an opportunity to work with their drivers and change their operations to improve their safety performance.  They will have an opportunity to challenge any potentially erroneous data so that upon the Safety Management System (SMS) rollout, later in the year, enforcement resources will be deployed effectively and efficiently based on an improved data set.   Fall/Winter 2010 – National Launch of CSA 2010 will include The new Safety Measurement System (SMS) will replace SafeStat – public will have access and enforcement will use it to identify and prioritize unsafe carriers for interventions SMS’s BASIC values will replaces today’s Safety Evaluation Area (SEA) values at the roadside Warning letters will be sent Nationwide, launching the first component of the new interventions process A step-by-step educational process for enforcement and motor carriers will begin in early 2010 and will include careful introduction of the new investigations (off-site, on-site focused and on-site comprehensive) and the new follow up interventions (comprehensive safety plans, increased use of notices of violation) Intensive, state-by-state, training for enforcement will begin later in 2011, in preparation for implementation of the new interventions process which will replace the one-size-fits all compliance review Upon completion of that training, on a state-by-state basis, the new program will be implemented.  At that point, the Agency’s new enforcement program will be in place Nationwide

What CSA 2010 Means to Drivers

How Does This Impact Drivers? CSA 2010 puts more emphasis on drivers than the previous enforcement model: ALL violations found during Roadside Inspections count toward carrier and driver safety measurement according to vehicle or driver violation type. BASIC information/scores will be sent to roadside inspectors as a tool in the decision of whether to inspect and what level to inspect a specific CMV Roadside Inspectors will see carrier information/scores Roadside Inspectors will not see driver measurement information

How Does This Impact Drivers? (cont’d) Safety Investigators will be able to see the safety performance history of drivers when they are conducting a carrier investigation This information is not available to carriers Assessment includes the entire history of the driver Assessment is a tool for investigators to use in sampling and to issue NOCs/NOVs to drivers based on performance Drivers will not be rated (i.e. unfit) under CSA 2010

Pre-employment Screening Program (PSP) PSP was mandated by Congress under SAFETEA-LU PSP is not a part of CSA 2010 “Driver Profiles” from FMCSA’s Driver Information Resource (DIR) are available to carriers through PSP Driver Profiles will only be released with driver authorization Drivers are able to obtain their own driver information record PSP is currently available, access and additional information can be found at www.psp.fmcsa.dot.gov 29 29

What Can Drivers Do Now to Prepare? Know and follow safety rules and regulations CMV web-based driving tips can be found at http://www.fmcsa.dot.gov/about/outreach/education/driverTips/index.htm

What Can Drivers Do Now to Prepare? Become knowledgeable about the new BASICs and how FMCSA will assess safety under CSA 2010 Review the SMS Methodology at http://csa2010.fmcsa.dot.gov/outreach.aspx Advocate for safety among all professional drivers 31

What Can Drivers Do Now to Prepare? Spread the word about CSA 2010 and encourage fellow drivers to: Check the CSA 2010 website for more information and updates at http://csa2010.fmcsa.dot.gov Maintain copies of inspection reports Become knowledgeable about employers’ safety records by checking carrier safety information at SafeStat on line (http://ai.fmcsa.dot.gov/) 32

Frequently Asked Questions

Frequently Asked Questions (FAQs) Does CSA 2010 give FMCSA the authority to put drivers out of work? No. CSA 2010 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 2010 give FMCSA the authority and processes to rate drivers and revoke their CDLs? No. Driver assessments are available to investigators but these are not used to rate drivers and/or revoke CDLs; State licensing agencies perform that function.

FAQs (cont’d) Do tickets or warnings that drivers receive while operating their personal vehicles impact the new Safety Measurement System? No. Does the Safety Measurement System 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’d) Do carriers and drivers need to register for CSA 2010 and fulfill mandatory training? No. CSA 2010 is primarily focused on helping FMCSA improve its enforcement operations. Carriers and drivers do not need to register for CSA 2010 nor is there a mandatory training requirement. Is there a way to challenge 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’d) 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 would not be generated.

For more information, visit csa2010.fmcsa.dot.gov