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FMCSA SAFETY REGULATIONS:SafeStat – CSA 2010

FMCSA Rulemaking updates

Delta Nu Alpha – July 25, 2008Henry E. Seaton, Esq.,

www.transportationlaw.net-and-

Richard “Rick” Gobbellwww.transafety.net

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CORPORATE SPONSORS

Air & Expedited Motor Carrier AssociationApex Capital LP

Champagne LogisticsGreatwide Truckload Management

Kings ExpressLandstar RMCS

USA Transportation Services, International

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About DNA

• Fraternity of transportation professionals• Open to all with interest in education• Interdisciplinary – shippers, carriers, third party

logisticians and students• Traditional chapter format – Milwaukee, Chicago,

Rockford, Nashville, Bowling Green, Grand Rapids, Louisville, Le High Valley

• Student chapters at Western IL University• Scholarship program

www.deltanualpha.org

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Syllabus of Future Webinars Contains Chronic and Acute Industry Problems

• Format is issue presentation followed by open question and answer.

• Diverse opinions are encouraged.• Goal is to assess issues, impart information and better

prepare listeners as knowledgeable professionals in any industry which too frequently ignores day-to-day problems of contracts, claims and operations in favor of “supply chain management.”

• CCPAC accreditation of 3 courses for cargo claims specialists.

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Upcoming Webinar Topics

08/19/08 The Scourge of Double Brokering09/16/08 Cargo Claim Mitigation, Adjustment and Salvage Issues10/21/08 INCOTERMS – The Language of the Global Economy11/18/08 Supply Chain Security Issues – Alphabet Soup and

New Regulations

All of the Webinars have been approved for Certified Claims Professional

Accreditation Council (CCPAC) Credit (1.5 CEUs)

For more information and to register, go to www.deltanualpha.org

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DOT or FMCSA?Who is subject to the Federal Motor Carrier Safety Regulations?

Any motor carrier that operates:

1. Any vehicle or combination of vehicles greater than 10,000 lbsGross Vehicle Weight Rating (Driver Qualification, Medicals, Logs etc)

2. Any vehicle or combination vehicles with a gross vehicle weight rating greater than 26,000 lbs is also subject to Drug & Alcohol Testing & Commercial Driver’s License regulations, in addition to Driver Qualification, Medicals, Logs etc.

3. Any vehicle transporting a hazardous materials requiring

the vehicle to be placarded (DQ, Medicals, Logs, CDL, D & A)

4. FMCSA Registration, evidence of insurance and agents for process is required for any for-hire motor vehicle conducting interstate

commerce regardless of size (SafetyLu Correction Act 2008).

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DOT-FMCSA Compliance

Review-Audits

A compliance review is currently FMCSA only tool to assess a motor carrier’s compliance with the Federal Motor Carrier Safety Regulations

1. There are currently more than 600,000 motor carriers in the US

2. There 40,000 to 50,000 new carriers that startup a trucking business

every year 3. FMCSA & State Agencies conduct about 14,000 CR every year

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DOT ComplianceReview-Audits

So the chances of a motor carrier ever being audited by DOT is very slim.

It would take DOT about 27 years to audit all the motor carriers in its system with its current staff if no new carriers begin operations

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DOT ComplianceReview

FMCSA currently prioritize motor carriers for compliance reviews for the following reasons.

1. A driver files a complaint

3. Or a carrier’s SafeStat Scores

2. The carrier is involved in a major crash

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SAFESTATis DOT’s current data collection analysis system used to prioritize what is referred to as “Possible At

Risk Motor Carriers”

DOT Collects this Data from:

State Agencies

Local Agencies

Its own Federal Staff

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FMCSA Collects Data From:

Roadside Driver/Vehicle InspectionsFederal, State and Local

Moving ViolationsTraffic stops

State and Local

Crash ReportsState and Local

Motor Carriers MCS-150s

FMCSA StaffNew Entrant Audits,Compliance Reviews & Enforcement Actions

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FMCSA’sSafeStat

• Involves analytically assessing a motor carrier in four Safety Evaluation Areas (SEAs):

– Accident SEA

– Driver SEA

– Vehicle SEA

– Safety Management SEA

• Each SEA is based on two or more indicators supported by different data sources

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The SafeStat Score• The SafeStat score only applies to carriers with safety

deficiencies.

• Only carriers that have deficient SEA values of 75 and

higher (the worst 25th percentile) in two or more of the four SEAs receive a SafeStat Score.

• For calculations and website details, see Appendix A.

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Single SEACategories

Specific SEA SEA Value

D Accident 75-100E Driver 75-100F Vehicle 75-100G Safety Management 75-100

Categories of carriers deficient in one SEA (SEA Value of 75 or higher)

SafeStat Categories for Carriers with One SEA Value

Single-SEA SafeStat Categories

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Example of SafeStat Results

99.23

87.36

97.2

65.75

0

25

50

75

100

ACSEA DRSEA VHSEA SMSEA

Sea Values

SafeStat Score: 383.02

Overall Rank: 19

State Rank: 3

Previous Status: Warning letter

Current Status:

Category A ( At Risk)

CR Recommended

Name: Rollemover ExpressDOT # 12345 Physical Address Mailing Address Power units: 35 Launch Pad Road P.O... BOX 1234 Hazmat Carrier: yes Yourtown, Ourstate 12345 Yourtown, Ourstate 12345 Passenger Carrier: No

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DOT ComplianceReview

Category A & B SafeStat Carriers are priority motor carriers that will be selected for an on site Compliance Review - Audit

DOT Policy

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DOT ComplianceReview - Audit

Is where DOT determines:1. What a motor carrier’s Safety Rating will be:

- Satisfactory- Conditional- Un-Satisfactory

2. If a carrier will have to pay a fine as a result of the violations discovered.

3. If a carrier will be able to continue to do business

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Comprehensive Safety AnalysisCSA 2010

FMCSA’s development and deployment of a new operational model to use FMCSA resources to identify drivers and motor

carriers that pose safety problems and to intervene to address those problems as soon

as they become apparent to the Agency.

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CSA 2010

• It is a current FMCSA high priority safety initiative –

• It is much a much more in-depth analysis of the data currently

captured by DOT on motor carrier performance

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CSA 2010 vs. Safestat

• SafeStat’s only intervention is based on:– Safety fitness determination tied to compliance review.– It is very labor intensive.– Result: It only assess a small fraction

of industry.– Focus is on carriers.

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CSA 2010 vs. Safestat

• CSA 2010 Operational Model ---– Target unsafe behavior.– Safety fitness tied to data; not CR or acute/critical

violations.– Broad array of progressive interventions.– Focus is on carriers and drivers. – Leverage new technology, training, and

information.

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CSA 2010 Description

• Four major elements ---– Measurement– Interventions– Safety Fitness Determination– COMPASS

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CSA 2010 Measurement

Today’s Model - SafeStat

• Four Safety Evaluation Areas (SEAs)

• Only roadside out-of-service & moving violations

• SafeStat – results support prioritization of compliance reviews

• No risk-based violation weightings

• Carriers

CSA 2010

• Seven Safety Behavioral Areas (BASICs)

• All roadside safety violations• Results determine ---

– When to intervene– When proposed notice of Unfit

• Risk-based violation weightings• Carriers and Drivers

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Behavioral Analysis & Safety Improvement Categories

BASICs for Carriers and DriversBehaviors That Lead To Crashes

1. Unsafe Driving2. Fatigued Driving3. Driver Fitness4. Drugs and Alcohol5. Vehicle Maintenance6. Cargo Securement7. Crash Experience

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CSA 2010 Interventions

Today’s Model

• Limited to compliance review (CR); one size fits all

• CR is resource intense• CR assesses compliance through

rigid set of acute/critical regulations• Generally, audit approach • CR used to determine whether

enforcement is needed

CSA 2010

• Broad array of progressive interventions

• More interventions; many less resource intense

• Interventions target unsafe behavior through weighted BASICs

• Investigative approach; root cause and educational element

• Goal: Change unsafe behavior early, and initiate earlier enforcement

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CSA 2010 Interventions - Carrier

Tier 1 – Informative– Warning Letter– Focused Roadside Inspection

Tier 2 – Interactive– Off-Site Investigation– Cooperative Safety Plan– Notice of Violation– Focused On-Site Investigation– Comprehensive On-Site Investigation

Tier 3 – Prescriptive– Notice of Claim– Consent Agreement– Unfit Suspension

(Safety Fitness Determination)

Incr

easi

ng

Sev

erit

y

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CSA 2010 Interventions - Carrier

• Intervention process triggered by: – One or more deficient BASICs,– High crash indicator, or – Complaints or fatal crash.

• Intervention selection influenced by:– Safety performance,– HM or passenger carrier, and– Intervention history.

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CSA 2010 Safety Fitness Determination (SFD)

Today’s Model

• SFD tied to compliance review

• Satisfactory, Conditional, or Unsatisfactory

• SFD effective until next CR• SFD based on acute/critical

violations

CSA 2010

• SFD tied to performance data; not necessarily CR

• Continue Operation, Marginal, or Unfit

• SFD assigned to all carriers with sufficient data; updated regularly

• SFD based on performance data

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CSA 2010 Safety Fitness Determination - Carrier

• Status --- CSA 2010 will require:– A major rulemaking– Revise Part 385, Safety Fitness Procedures– NPRM publication - Targeting spring/summer 2008

Look for rulemaking later this fall

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CSA 2010 Proposed Operational Model

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CSA 2010 Operational Model Test

• Where ---– Approximately 40 investigators state and federal– Four states – one in each FMCSA Service Center

• Colorado• Georgia• Missouri• New Jersey

– Outreach --- September/October

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CSA 2010Outreach to Partners and Stakeholders

• Six Listening Sessions --- Sept/Oct-04 • Listening Session – Nov-06

– Washington, DC– Ninety-two persons

• Next Listening Session Targeting ---– Four breakout sessions – 611 responses– Early Nov-07– St. Louis, MO– Federal Register notice– Three topics

• Demonstrate Measurement Systems• Further describe Operational Model Test• Safety Fitness Determination Methodology

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Industry Concerns with CSA 2010

Small carrier can become “marginal” based on limited and inaccurate data reported by states.

All drivers will be tagged for every citation and their driving histories will effect carrier rating.

Vicarious liability concerns plus publication of new system will throw carriers, shippers and brokers into purgatory.

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New Entrant RulemakingDocket No. FMCSA-2001-11061

December 21, 2006

Will be much more in-depth than current procedures

Will have 11 violations that will automaticallyresult in a failing grade

Based on current analysis up to 40% of new entrantswill fail the audit

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Minimum Training Requirements for Entry Level Commercial Motor Vehicle Drivers

Docket No. FMCSA-2007-27748 - December 17, 2007

Requirements

•Accreditation Requirements for Entry-Level Trainees – Institutional and motor carrier training programs must be accredited

•Hours-Based Training Requirements – 120 hours of training (at least 76 classroom and 44 BTW)

Driver Skill Instructors Must have at Least Two Years of CMV Driving Experience

New-Entrant CDL Licensing Process driver training certificates must be provided to the State Licensing

Agency before a CDL License will be issued.

3 year implementation period from date of final rule

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Hours of Service RuleJuly 24, 2007 Court Ruling

FMCSA Published an Interim Final Rule

Expect the final rule before the end of the year.

11 hour rule34 hour reset

Split Sleeper Berth

U. S.Department of EnergyAgricultural Organizations

and other have requested exemptionsto existing rules

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On-Board Hours of Service Recording Devices

FMCSA-2004-18940Revised January 7, 2007

Requiring CMV to have install tamper proof electronic onBoard Hours Of Service recording devices

Two year effective date from date of final rule

Expect rule by the end of the year, possibly corresponding to the Hours of Service Rule

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Hazardous Materials Awareness, Familiarization, Function Specific, Security and In-Depth

Security Training

49 CFR 174.704(a)(1-5)

Applies to Brokers, Forwarding Agents, Freight Forwarders and Warehouses

PHSMA Guide November 2005

Applies to Motor Carriers drivers that only transport Consumer Commodity - ORM-D

(hair spray, small cans of spray paint, cigarette lighters andBaskin Robins whip cream)

Verbal Interpretation April 2008Waiting for written confirmation

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Questions