[SIZE=+2]CSA 2010 – The Elephant In The Room[/SIZE]
By Steve Pollock
Comprehensive Safety Analysis (CSA 2010) is a program instituted by the Federal Motor Carrier Association (FMCSA) designed to gather data about carriers and drivers to help the agency improve effectiveness in compliance and enforcement programs. In the past using the Safe-Stat System, only carriers were assigned a safety rating – now drivers will have a direct impact on the rating as well.
The new system consists of four components:
- Data Collection
- Safety Measurements
- Safety Evaluation
- Interventions
The FMCSA is using three sources to compile data:
- Roadside Inspections
- Federally recorded crashes
- Violations found during "interventions" or carrier audits
The FMCSA is assigning points to each violation in order to develop a driver and carrier safety profile. After the data is analyzed and drivers and carriers are given numerical scores, these scores are then used to calculate a safety measurement, which is used to compare the driver/carrier to their peers. Two points of clarification about data collection:
- A federally recorded accident is any accident in which there is a fatality, someone must be transported to a hospital, or a vehicle must be towed from the scene.
- During roadside inspections all violations will be logged, including warnings and moving violations. I.E. – Speeding as being the reason for being pulled over for the inspection to take place. Also, any "clean" inspections with no violations are also logged into the system.
The next component to CSA 2010 is the "SMS" or Safety Measurement System. Simplistically, the SMS is the process of categorizing violations and assigning points to each. In true government fashion, there is now a collective label for these violations, called "BASICS," which stands for Behavioral Analysis And Safety Improvement Categories. It's better to stick with "BASICS," I guess.
Here are the seven categories in the "BASICS:"
- Unsafe Driving (includes traffic violations)
- Fatigued Driving – relates to hours of service
- Driving Fitness – having the correct driver's license and a current medical card
- Controlled Substances and Alcohol – drug and alcohol violations
- Vehicle Maintenance – relating to vehicle defects
- Cargo Securement – encompassing load securement and Hazmat rules
- Crash Indicator – includes all DOT recordable crashes
The Point System is perhaps the most misunderstood part of the program. Each safety violation will be assigned to one of the seven "BASICS" categories. Each violation is "severity weighted," meaning that violations not usually associated with a crash are given a lower point value. These points are "awarded" from 1 to 10. But there are two kickers with the Point System, any out-of-service violation gets an extra 2 points added and all safety related events are time-weighted. Time-weighted means that the more recent the violation, the more points it will carry. Violations occurring in the past 6 months will have a time-weighting of times 3 (3x), 6 months to 1 year carries a time-weighting of 2 (2x), and over 1 year ago will be a time-weighting of 1 (1x). The bottom line is, any points accrued within the past 6 months will be assigned at 3 times their base value. The accumulated points stay with the carrier for 24 months and with the driver for 36 months.
As this point (no pun intended), the FMCSA will catalog all the violations into their respective "BASICS" category and tally the points. The points will then be divided by a "normalizing factor," which essentially is like a school teacher grading on a curve. Carriers and drivers will be categorized into groups of similar size and freight category, to enable the FMCSA to establish a "Baseline" in each prospective category.
The next step is a safety evaluation by the FMCSA. Individual carrier and driver scores or "SMS" (Safety Measurement System) will be compared to comparable carriers and drivers within the group. The carrier/drivers will then receive a percentile ranking that serves as their actual "BASICS" score. The FMCSA will then measure the individual scores to determine if the carrier/driver is over the "Intervention Threshold." If this should occur, the FMCSA will have an "Intervention" with varying degrees of severity. It is good note however, that if a carrier is over the "Failing Threshold" in what are referred to as stand alone "BASICS," which are unsafe driving and fatigued driving (this means log violations, guys!), the FMCSA will drop the hammer and use the most severe interventions they can. In addition, if a carrier is over the failing threshold in any two or more of the remaining 5 "BASICS" categories, they will also be subject to the most severe interventions.
"Interventions" is a nicer word for "penalties," which has a rather negative connotation. As you may have guessed, these "interventions:" will have varying degrees of severity. If all is going well, neither carrier nor driver will have any kind of intervention. If things are not going so well, here is what can happen: The first level of intervention is a warning letter to the carrier or driver. If you can show, going forward through the "BASICS" score that the problem areas have been addressed with a significant reduction or non-accruement of points in a given area, then you can go about your business. If the carrier/driver continues to be above the "Intervention Threshold," they will be "flagged" in the inspection selection system. This system will also tell the inspector the problem area and score for the carrier/driver in that particular area, which will obviously be scrutinized. Both carrier and driver will be subject to increased roadside enforcement. This "intervention" affects both the driver and the carrier. The next is a FOCUSED OFF-SITE INVESTIGATION. This "intervention" pertains to the carrier, in which the carrier provides requested records to an FMCSA investigator to review. The next level of "intervention" is a FOCUSED ON-SITE INVESTIGATION in which the investigators carry out an on-site audit of the carrier's problem areas. If the "interventions" fail or if a carrier shows compelling reasons, the FMCSA can do a COMPREHENSIVE ON-SITE INVESTIGATION, which is basically a complete audit of all safety related aspects of the carrier's operations. The FMCSA can also request the carrier to develop a COOPERATIVE SAFETY PLAN, basically a plan to improve their safety deficiencies. A NOTICE OF VIOLATION can also be issued to the carrier or an individual driver as a formal way of notification about a specific safety issue. If an "intervention" doesn't go well, the FMCSA can issue a NOTICE OF CLAIM, PENALTY AND SETTLEMENT AGREEMENT or in working man’s lingo, a fine, possibly a significant one, maybe in the thousands of dollars. When it comes to "interventions" in the driver category, a driver can receive a WARNING LETTER, INCREASED ROADSIDE ENFORCEMENT (inspections), a NOTICE OF VIOLATION and/or a NOTICE OF CLAIM, PENALTY AND SETTLEMENT AGREEMENT. Of course if you hold your own authority you will be subject to all the ramifications that a carrier would be. An individual or carrier does have the right to an appeal, if you feel that there is bad data in the system or if you were treated unfairly during an intervention. Details about appeals are available on the FMCSA's website.
So how do the CSA scores affect you as a driver? First, even if you are flagged as a bad driver, there are currently no regulatory provisions for the FMCSA to revoke your CDL or personal driver's license. Also, violations, citations or warnings issued against you while driving your personal (passenger) vehicle will not enter the CSA Data Base. The only violations entered into CSA records will be those connected to roadside inspections and/or DOT recordable accidents. No points assigned in the new CSA regulations will be assigned to a driver's CDL. You will, however, have your own personal CSA rating which will follow the driver from carrier to carrier until the points expire at the end of the 3-year (36 months) period.
Any accumulated points by a driver only factor into the carrier's standing while the driver is employed or leased by that carrier. However, the carrier will be looking at the "PSP" or pre-employment screening program (driver's rating) before hiring you. To summarize, all violations/points in the new CSA system will be assigned to the carrier unless they determine it was one that the driver is responsible for or could have prevented. In this scenario the violation/points will be added to the driver's CSA data as well. What the new system does mean to the average driver is this: first you are under the microscope all the time. Even though you can't lose your CDL, many companies will choose not to hire you or will potentially have to "let you go" if you have too many accrued CSA points. As an owner-operator it may be difficult or very expensive to buy insurance. You will also be subject to regular roadside inspections, either personally or through the carrier you drive for/lease to.
This is why many carriers have become very selective about who they hire or lease. With the new CSA system individual driver points enter into the equation along with overall scores by the carrier. Carriers have to be more selective in order to keep from going beyond the FMCSA's Intervention Threshold. Ultimately a bad score for a carrier means frequent roadside inspections, higher insurance costs and FMCSA Interventions.
The FMCSA suggests that going forward, drivers concentrate on avoiding high value violations, as it will be difficult or nearly impossible to have a perfect SMS score. Here are some of the zingers to watch out for:
High Value Violations include:
•jumping an out-of-service order
•driving while ill, fatigued or under the influence
•falsifying logs
•operating over hours
•driving while your CDL is under suspension
High Value Vehicle Violations include:
•defective tires
•suspension defects
•steering system problems
•no flags or lights on projecting loads
•and improper cargo securement
The best way to avoid an "Intervention" according to the FMCSA is to strive for "clean" roadside inspections, stay in compliance and work with your carrier to be sure your data is accurate.
You need to also be aware that the new CSA System is scheduled to take effect in November 2010. The system will be retroactive, logging points and data from the previous 24 months for carriers and 36 months for individual drivers. For additional information about the new CSA System or appeals process, log onto
www.fmcsa.dot.gov. There is a link that you can use to access your own CSA data and scores, it is ww.psp.fmcsa.dot.gov. The website is free, however there is a $10 charge to access your personal PSP data.
We have attempted to present a comprehensive explanation of the new CSA 2010 regulations as they primarily relate to the driver. If you have additional questions about the system, contact the FMCSA direct or via their website or talk with a safety professional at your carrier of lease or employment. We would also like to thank Mr. Ralph Sandine, Safety Director at Miller Transfer for supplying much valuable data and input regarding the regulations. The purpose of this editorial is not to open a forum about the fairness or impact of the new regulations, but to offer an objective understanding of what they are and how they will work.
