CSA 2010

1. CSA 2010 Just the facts Thomas Bray J. J. Keller & Associates

2. CSA 2010 What is it? It is an enforcement system for: Tracking, measuring, evaluating, and intervening with motor carriers (replacement for SafeStat) A new method for rating carriers (will require rulemaking)

3. CSA 2010 Who does it apply to? All interstate carriers that have a USDOT number (regardless of “type”), including: For hire (common or contract) Private Construction Utility Ag exempt Non-CDL

4. CSA 2010 Overview CSA 2010 process: Data collection New Safety Measurement System (SMS) Safety Evaluation (Fitness Determination) based on SMS Comprehensive and progressive interventions Here is the process FMCSA has proposed, and followed, when it comes to the CSA 2010 program.Here is the process FMCSA has proposed, and followed, when it comes to the CSA 2010 program.

5. CSA 2010 Data Data collection All crash data Roadside inspection data Intervention data Here is where the CSA 2010 system will be getting its data from. This is much like the present SafeStat and profile systems, in that it will rely on MCMIS for the bulk of the data.Here is where the CSA 2010 system will be getting its data from. This is much like the present SafeStat and profile systems, in that it will rely on MCMIS for the bulk of the data.

6. CSA 2010 Measurement SMS: Uses seven “BASICs” (Behavior Analysis and Safety Improvement Categories) to analyze carriers Measures safety performance using all roadside inspection safety-based violations and all violations discovered during interventions Weights based time and severity of violations (based on relationship to crash risk) The SMS system could easily be described as “SafeStat on steroids”. It will use seven narrow “BASICs” rather than Four broad SEAs. This way, the driver that has a DUI in a CMV will be treated differently than the driver that did not have his log current. Two key words…ALL and Violations. Any violation noted on a roadside inspection will be used when calculating a BASIC. The SMS system could easily be described as “SafeStat on steroids”. It will use seven narrow “BASICs” rather than Four broad SEAs. This way, the driver that has a DUI in a CMV will be treated differently than the driver that did not have his log current. Two key words…ALL and Violations. Any violation noted on a roadside inspection will be used when calculating a BASIC.

7. CSA 2010 Measurement Seven BASICs Unsafe Driving (Parts 392, 397, and traffic laws) Fatigued Driving (Parts 392 and 395) Driver Fitness (Parts 383 and 391) Controlled Substances/Alcohol (Part 382 and 392) Vehicle Maintenance (Parts 392, 393, and 396) Cargo Related (Parts 392, 393 Subpart I, and HM regulations) Crash Indicator Here are the seven BASICs and the related regulatory areas. Violations discovered on the roadside or during an intervention will be assigned to the appropriate BASIC. Discuss the BASIC names (may be different than expected)Here are the seven BASICs and the related regulatory areas. Violations discovered on the roadside or during an intervention will be assigned to the appropriate BASIC. Discuss the BASIC names (may be different than expected)

8. CSA 2010 Measurement BASIC process Relevant intervention, inspection, violation, and crash data assigned to the carrier Violations and crashes are classified into the correct BASIC Events are time weighted and severity weighted BASICs are totaled and normalized (BASIC Measure) Carriers are peer grouped and compared Percentile in peer group assigned (BASIC Score) As mentions a minute ago, the violations will then be time and risk weighted, normalized using standards groupings, and then the BASIC score will be peer compared to locate the carriers that have problems in that BASIC. This process is much like the present SafeStat SEAs, except more detailed and risk is considered. As mentions a minute ago, the violations will then be time and risk weighted, normalized using standards groupings, and then the BASIC score will be peer compared to locate the carriers that have problems in that BASIC. This process is much like the present SafeStat SEAs, except more detailed and risk is considered.

9. CSA 2010 Evaluation Safety Evaluation/Safety Fitness Determination (SFD) Continue to Operate (no contact) Marginal (progressive interventions) Unfit (correct or cease operations) Once the BASICs are scored, then the system will make a safety evaluation, referred to as “Safety Fitness Determination” (SFD). Here are the tree determination and the related follow-up that the FMCSA will conduct. Remember, this SFD can be made based strictly based on data.Once the BASICs are scored, then the system will make a safety evaluation, referred to as “Safety Fitness Determination” (SFD). Here are the tree determination and the related follow-up that the FMCSA will conduct. Remember, this SFD can be made based strictly based on data.

10. CSA 2010 Evaluations Here are the intervention thresholds that have been in use in the pilot states. If a carrier is over these, an intervention will be coming. The bottom line is preventing violations keeps the BASIC Measure low enough that you do not need to worry about what the thresholds are or how the scoring works. The FMCSA may be making minor adjustments to these as the pilot states report back on their workload. Here are the intervention thresholds that have been in use in the pilot states. If a carrier is over these, an intervention will be coming. The bottom line is preventing violations keeps the BASIC Measure low enough that you do not need to worry about what the thresholds are or how the scoring works. The FMCSA may be making minor adjustments to these as the pilot states report back on their workload.

11. CSA 2010 Interventions Interventions Warning letter Targeted roadside enforcement (ISS-D) Focused off-site investigation Focused on-site investigation Comprehensive review (compliance review) Cooperative (corrective) safety plan Notice of Violation Notice of Claim/Consent Agreement Here are the interventions that will be used on carriers found to be marginal or unfit. The worse the carrier in the SMS and SFD, the more aggressive the intervention. A carrier found unfit in the SFD phase will not “start” at “Warning Letter,” they will start at CSP or Consent agreement. Warning letters inform the carrier that the FMCSA has seen a problem, and inform the carrier that they need to correct it, or further action will be forthcoming. There is no response required, only improvement. TRE is the equivalent of having a bad ISS-D score presently, roadside inspectors will be “looking” for you vehicles. Difference: BASIC (or BASICs) that has led to the ISS trigger will be shown in the “Reason for Recommendation” box. The “focused” interventions involve the auditor only checking the BASIC areas that the carrier is having trouble in. Example: the only BASIC a carrier is having trouble in is Fatigued Drivers (too many drivers found not in compliance with the HOS regulations). The focused on or off site investigation will only involve HOS, unless other problems are found or suspected. The “Comprehensive Review” will be the equivalent of the present compliance review. The following interventions are all ones that are presently in use following a compliance review.Here are the interventions that will be used on carriers found to be marginal or unfit. The worse the carrier in the SMS and SFD, the more aggressive the intervention. A carrier found unfit in the SFD phase will not “start” at “Warning Letter,” they will start at CSP or Consent agreement. Warning letters inform the carrier that the FMCSA has seen a problem, and inform the carrier that they need to correct it, or further action will be forthcoming. There is no response required, only improvement. TRE is the equivalent of having a bad ISS-D score presently, roadside inspectors will be “looking” for you vehicles. Difference: BASIC (or BASICs) that has led to the ISS trigger will be shown in the “Reason for Recommendation” box. The “focused” interventions involve the auditor only checking the BASIC areas that the carrier is having trouble in. Example: the only BASIC a carrier is having trouble in is Fatigued Drivers (too many drivers found not in compliance with the HOS regulations). The focused on or off site investigation will only involve HOS, unless other problems are found or suspected. The “Comprehensive Review” will be the equivalent of the present compliance review. The following interventions are all ones that are presently in use following a compliance review.

12. CSA 2010 Interventions Present interventions Compliance review Corrective safety plan Notice of Violation Notice of Claim/Consent Agreement All involve attempting to get carrier to improve after a compliance review Here is the present system. As you can see, everything takes place after the compliance review. There are some FMCSA offices that still send out Notice of Violations for activities not related to compliance reviews, but that is by far the exception, not the rule.Here is the present system. As you can see, everything takes place after the compliance review. There are some FMCSA offices that still send out Notice of Violations for activities not related to compliance reviews, but that is by far the exception, not the rule.

13. CSA 2010 Measurement Drivers Safety Measurement System (DSMS) in place More under development Will use same principles as Carrier SMS Data collection (BASICs) Safety evaluation occurs during carrier intervention Intervention if necessary (NOV and NOC) DMSM is presently under development, and should be rolled out in the near future. This will create quite a stir among the drivers when warning letters start getting sent out to them. It has been predicted that it will use the same methodology as the carrier SMS. However, for the moment the only interventions the FMCSA has discussed using with drivers include warning letters, notices of violations, and notices of claims, which are “fines.” There is the problem that the driver’s CDL is issued by his/her home state, not the FMCSA.DMSM is presently under development, and should be rolled out in the near future. This will create quite a stir among the drivers when warning letters start getting sent out to them. It has been predicted that it will use the same methodology as the carrier SMS. However, for the moment the only interventions the FMCSA has discussed using with drivers include warning letters, notices of violations, and notices of claims, which are “fines.” There is the problem that the driver’s CDL is issued by his/her home state, not the FMCSA.

14. CSA 2010 Warning Key point: CSA 2010 uses all VIOLATIONS issued at the roadside when calculating carrier compliance (not just OOS and moving violations) Carriers that were “unscored” in SafeStat have been subjected to interventions under CSA 2010 because of this change Here is one key point that many carriers are learning the hard way when entering the CSA 2010 program, ALL VIOLATIONS COUNT. Until now, the only violations that “hurt” a carrier were out-of-service violations and moving violations. However, FMCSA wants a bigger data set to try to locate more carriers in need of help, so they are expanding the data they are using in their decision making. The result of this is carriers that were fine in SafeStat, but had a high percentage of inspections resulting in non-out-of-service violations are suddenly being contacted by the FMCSA or their state partner about their “poor performance.” Overnight they went from thinking of themselves as a safe and compliant carrier (because SafeStat said so) to being contacted by the FMCSA about the need to improve their operations or else. One carrier I am familiar with went from “Unranked” and in no danger of an audit in present system to going through a “Comprehensive Review” due to the change over.Here is one key point that many carriers are learning the hard way when entering the CSA 2010 program, ALL VIOLATIONS COUNT. Until now, the only violations that “hurt” a carrier were out-of-service violations and moving violations. However, FMCSA wants a bigger data set to try to locate more carriers in need of help, so they are expanding the data they are using in their decision making. The result of this is carriers that were fine in SafeStat, but had a high percentage of inspections resulting in non-out-of-service violations are suddenly being contacted by the FMCSA or their state partner about their “poor performance.” Overnight they went from thinking of themselves as a safe and compliant carrier (because SafeStat said so) to being contacted by the FMCSA about the need to improve their operations or else. One carrier I am familiar with went from “Unranked” and in no danger of an audit in present system to going through a “Comprehensive Review” due to the change over.

15. CSA 2010 Pilot States States presently involved in pilot program: The “original” four: Colorado Georgia Missouri New Jersey Recently added: Minnesota Montana Kansas Maryland Delaware Here are the states that are involved in the pilot program to date. Carriers involved in the pilot program are tracked under both SafeStat and CSA 2010, but only one set of interventions is applied to each test group.Here are the states that are involved in the pilot program to date. Carriers involved in the pilot program are tracked under both SafeStat and CSA 2010, but only one set of interventions is applied to each test group.

16. CSA 2010 Rollout Nationwide rollout: April 2010 — CSA 2010 data preview “visible” August of 2010 (estimated) — SMS preview will indicate if performance in the BASICs is above FMCSA intervention thresholds November 30, 2010: CSA 2010 SMS takes over for SafeStat Warning letters sent to carriers with deficiencies BASICs CSA 2010 data added to ISS (roadside selection system) Early 2011 — State FMCSA offices bring using investigative interventions

17. CSA 2010 How to Prepare Learning the system Learn the SMS process, specifically: Severity weighting Time weighting BASIC Measure calculation

18. CSA 2010 How to Prepare Learning the system Learn the high severity driver violations: Reckless driving Jumping an out-of-service order Operating a vehicle while ill, fatigued, or under the influence Violating hours-of-service limits False logs Driver having multiple licenses Driving a CMV while disqualified

19. CSA 2010 How to Prepare Learning the system Learn the high severity vehicle violations: Required light not operating Brake defects Tire defects Suspension defects Steering system defects No flags and/or lights on a projecting load Cargo not secured

20. CSA 2010 How to Prepare View your existing data through the “CSA 2010 lens” Existing data can be viewed at: SafeStat http://ai.fmcsa.dot.gov/SafeStat/SafeStatMain.asp CSA 2010 data http://csa2010.fmcsa.dot.gov/ FMCSA Portal https://portal.fmcsa.dot.gov/

21. CSA 2010 How to Prepare Get good data going into the system Existing data will be used when CSA 2010 SMS turned on Good data means “no violation” inspections and no preventable crashes

22. CSA 2010 How to Prepare Get “wrong” data out of the system Learn and be willing to use the appeals processes: Federal DataQs State Motor Carrier Safety Office CVSA Complaint Process

23. CSA 2010 How to Prepare Avoid inspections conducted due to pre-existing violations (“foolish inspections”): A moving violation Speeding Other traffic violations Entering scale with violation Lights not working Overweight The problem with these inspections is that the driver and company already have violations before the inspection even starts. The key to preventing these inspections The problem with these inspections is that the driver and company already have violations before the inspection even starts. The key to preventing these inspections

24. CSA 2010 How to Prepare Train and track drivers on: CSA 2010 Defensive driving Compliance with the safety regulations (hours, qualifications, etc.) Vehicle inspection Roadside inspection performance

25. CSA 2010 Questions? Contact info: Thomas Bray 800-558-5011 x-2863 tbray@jjkeller.com Closing CSA 2010 is a system that involves putting SafeStat on steroids and “automatically rating carriers based on data,” and these rating then lead to “relevant interventions”. CSA 2010 is a more “Comprehensive” approach than the present system of collecting data and then using that data to decide who to intervene with, and then rating the carrier after the intervention (two-step process-with the steps not being tied together-carrier needs to score badly in SafeStat and then undergo an audit to be rated-no matter how bad the SafeStat data, it cannot affect the audit score).Closing CSA 2010 is a system that involves putting SafeStat on steroids and “automatically rating carriers based on data,” and these rating then lead to “relevant interventions”. CSA 2010 is a more “Comprehensive” approach than the present system of collecting data and then using that data to decide who to intervene with, and then rating the carrier after the intervention (two-step process-with the steps not being tied together-carrier needs to score badly in SafeStat and then undergo an audit to be rated-no matter how bad the SafeStat data, it cannot affect the audit score).