Future Enhancements to the Safety Measurement System (SMS), 69185-69189 [2016-24114]
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is not in the process of being collected.
Extensive background research was
conducted to ensure the study was not
duplicative. A previous study, done by
the Government Accountability Office
(GAO) in 2015, asked for similar
information but did not produce
specific enough data to be used in this
study.
The survey will be sent out via email,
with the option for online completion
using SurveyMonkey®. Each State can
respond via email or the online survey
depending on which method is more
convenient for the respondent. The
welcome letter will indicate that
FMCSA prefers responses via the online
survey tool.
The information collected will be
published annually in a report to the
Committee on Commerce, Science, and
Transportation of the Senate and the
Committee on Transportation and
Infrastructure of the House of
Representatives. The first report is due
to Congress no later than June 1, 2017.
Subsequent reports will be published on
an annual basis thereafter.
Title: Survey on CDL Skills Testing
Delays.
OMB Control Number: To be
determined.
Type of Request: New collection.
Respondents: State CDL Coordinators
(one from each of the 50 States, and one
from Washington, DC).
Estimated Number of Respondents:
51.
Estimated Time per Response: 2.2
hours (132 minutes).
Expiration Date: N/A. This is a new
ICR.
Frequency of Response: Annually.
Estimated Total Annual Burden: The
annual burden is estimated to be no
more than 2.2 hours (132 minutes) per
respondent, which equates to 112.2
hours over the universe of 51
respondents. This estimate contains a
maximum of 2 hours to gather
information from State information
systems, and an estimated maximum of
12 minutes to respond to the survey.
While States that already track and
report similar information may need
much less than 2 hours to gather
information, discussions with subject
matter experts led to an agreement that
2 hours was a reasonable maximum
time limit to use to estimate the
maximum annual burden expected.
The estimate time for survey
completion was calculated using Versta
Research’s methodology for calculating
an estimate of survey length, where each
question is given a number of points
based on the estimated burden required
to respond to the question (for example,
simple multiple choice questions are 1
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point, whereas short answer questions
are 3 points per expected short phrase).
The total number of points for all
questions is then divided by eight (the
number of simple questions a user can
respond to online in 1 minute) to
determine the estimate required length
for finishing the survey.
Public Comments Invited: You are
asked to comment on any aspect of this
information collection, including: (1)
Whether the proposed collection is
necessary for the performance of
FMCSA’s functions; (2) the accuracy of
the estimated burden; (3) ways for
FMCSA to enhance the quality,
usefulness, and clarity of the collected
information; and (4) ways that the
burden could be minimized without
reducing the quality of the collected
information. The Agency will
summarize or include your comments in
the request for OMB’s clearance of this
information collection.
Issued under the authority of 49 CFR
1.87 on:
Dated: September 29, 2016.
Kelly Regal,
Associate Administrator for Office of
Research and Information Technology.
[FR Doc. 2016–24177 Filed 10–4–16; 8:45 am]
BILLING CODE 4910–EX–P
DEPARTMENT OF TRANSPORTATION
Federal Motor Carrier Safety
Administration
[Docket No. FMCSA–2015–0149]
Future Enhancements to the Safety
Measurement System (SMS)
Federal Motor Carrier Safety
Administration (FMCSA), U.S.
Department of Transportation (U.S.
DOT).
ACTION: Notice; response to public
comments; request for public comments.
AGENCY:
FMCSA proposes
enhancements to information on the
public Safety Measurement System
(SMS) Web site and responds to
comments received in response to
FMCSA’s Federal Register Notice,
‘‘Proposal for Future Enhancements to
the Motor Carrier Safety Measurement
System (SMS),’’ published on June 29,
2015. These enhancements are a
continuation of the Agency’s efforts to
provide law enforcement, the motor
carrier industry, and motor carriers with
more informative safety data. This
notice explains the Agency’s proposed
enhancements to the public SMS Web
site, including two additional changes
not originally proposed, which were
identified during the development of
SUMMARY:
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the SMS Preview. FMCSA has provided
information about the proposed
enhancements to the National
Academies of Sciences to consider in
the Correlation Study required by
Section 5221 of the Fixing America’s
Surface Transportation (FAST) Act. The
proposed enhancements will be
available for preview, at: https://
csa.fmcsa.dot.gov/SMSPreview/ on
October 4, 2016. The Agency seeks
comments on these changes based on
the preview. The Agency will not
implement the changes until after the
Agency satisfies the requirements of
Section 5223 of the FAST Act.
DATES: Comments must be received by
December 3, 2016. Question and answer
(Q&A) sessions for the public and
industry are scheduled for the following
dates and times:
1. Wednesday, October 12, 2016, 10:00–
11:30 a.m. Eastern Time (ET)
2. Thursday, October 13, 2016, 2:00–
3:30 p.m. ET
3. Tuesday, October 18, 2016, 3:00–4:30
p.m. ET
4. Thursday, October 20, 2016, 11:00
a.m.–12:30 p.m. ET
For more information on these
sessions, see Section V.
ADDRESSES: You may submit comments
bearing the Federal Docket Management
System Docket ID (FMCSA–2015–0149)
using any of the following methods:
Federal eRulemaking Portal: Go to
https://www.regulations.gov. Follow the
online instructions for submitting
comments.
Mail: Docket Management Facility;
U.S. Department of Transportation, 1200
New Jersey Avenue SE., West Building
Ground Floor, Room W12–140,
Washington, DC 20590.
Hand Delivery or Courier: West
Building Ground Floor, Room W12–140,
1200 New Jersey Avenue SE.,
Washington, DC 20590, between 9 a.m.
and 5 p.m., ET, Monday through Friday,
except Federal holidays.
Fax: 1–202–493–2251.
Each submission must include the
Agency name and the docket number for
this notice. Note that DOT posts all
comments received without change to
www.regulations.gov, including any
personal information included in a
comment. Please see the Privacy Act
heading below.
Docket: For access to the docket to
read background documents or
comments, go to www.regulations.gov at
any time or visit Room W12–140 on the
ground level of the West Building, 1200
New Jersey Avenue SE., Washington,
DC 20590, between 9 a.m. and 5 p.m.,
Monday through Friday, except Federal
holidays. The online Federal document
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management system is available 24
hours each day, 365 days each year. If
you want acknowledgment that the
Agency received your comments, please
include a self-addressed, stamped
envelope or postcard or print the
acknowledgement page that appears
after submitting comments online.
Privacy Act: In accordance with 5
U.S.C. 553(c), DOT solicits comments
from the public to better inform its
rulemaking process. DOT posts these
comments, without edit, including any
personal information the commenter
provides, to www.regulations.gov, as
described in the system of records
notice (DOT/ALL–14 FDMS), which can
be reviewed at www.dot.gov/privacy.
FOR FURTHER INFORMATION CONTACT: For
information concerning this notice,
contact Mr. David Yessen, Federal
Motor Carrier Safety Administration,
1200 New Jersey Avenue SE.,
Washington, DC 20590, telephone 609–
275–2606 or by email at david.yessen@
dot.gov. If you have questions on
viewing or submitting material to the
docket, contact Docket Services at 202–
366–9826.
SUPPLEMENTARY INFORMATION:
I. Public Participation and Request for
Comments
FMCSA encourages you to participate
by submitting comments and related
materials.
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A. Submitting Comments
If you submit a comment, please
include the docket number for this
notice (FMCSA–2015–0149), indicate
the specific section of this document to
which each comment applies, and
provide a reason for each suggestion or
recommendation. You may submit your
comments and material online or by fax,
mail, or hand delivery, but please use
only one of these methods. FMCSA
recommends that you include your
name and a mailing address, an email
address, or a phone number in the body
of your document so that the Agency
can contact you if it has questions
regarding your submission.
To submit your comment online, go to
https://www.regulations.gov and put the
docket number, ‘‘FMCSA–2015–0149’’
in the ‘‘Keyword’’ box, and click
‘‘Search.’’ When the new screen
appears, click on the ‘‘Comment Now!’’’
button and type your comment into the
text box in the following screen. Choose
whether you are submitting your
comment as an individual or on behalf
of a third party and then submit. If you
submit your comments by mail or hand
delivery, submit them in an unbound
format, no larger than 81⁄2 by 11 inches,
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suitable for copying and electronic
filing. If you submit comments by mail
and would like to know that they
reached the facility, please enclose a
stamped, self-addressed postcard or
envelope.
FMCSA will consider all comments
and materials received during the
comment period and may change the
approach discussed in this notice based
on your comments.
B. Viewing Comments and Documents
To view comments, as well as
documents mentioned in this preamble
as being available in the docket, go to
https://www.regulations.gov and insert
the docket number, ‘‘FMCSA–2015–
0149’’ in the ‘‘Keyword’’ box and click
‘‘Search.’’ Next, click the ‘‘Open Docket
Folder’’ button and choose the
document listed to review. If you do not
have access to the internet, you may
view the docket by visiting the Docket
Management Facility in Room W12–140
on the ground floor of the DOT West
Building, 1200 New Jersey Avenue SE.,
Washington, DC 20590, between 9 a.m.
and 5 p.m., Monday through Friday,
except Federal holidays.
II. Background
On June 29, 2015 (80 FR 37037),
FMCSA proposed the following SMS
enhancements and requested initial
comments on them in advance of
providing motor carriers to preview how
their safety performance data would be
presented on the SMS Web site.
1. Changing some of the SMS
Intervention Thresholds to better reflect
the Behavior Analysis and Safety
Improvement Categories’ (BASICs)
correlation to crash risk.
2. Two changes to the Hazardous
Materials (HM) Compliance BASIC:
a. Segmenting the HM Compliance
BASIC by Cargo Tank (CT) and non-CT
carriers; and
b. Releasing motor carrier percentile
rankings under the HM Compliance
BASIC to the public.
3. Reclassifying violations for
operating while Out of Service (OOS)
under the Unsafe Driving BASIC rather
than the BASIC of the underlying OOS
violation.
4. Increasing the maximum Vehicle
Miles Travelled (VMT) used in the
Utilization Factor to more accurately
reflect the operations of high-utilization
carriers.
The Agency’s analysis and
explanations were provided in the June
29, 2015 notice. Stakeholders had 30
days to submit comments. The comment
period ended on July 29, 2015.
After receiving and analyzing the
comments in response to this preview,
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FMCSA will provide the results to the
National Academies of Sciences to
consider during the Correlation Study
required by Sections 5221 and 5223 of
the FAST Act, related to SMS and
public display. The study required by
Section 5221 is required to be within 18
months of the enactment of the Act.
III. Summary of Public Comments and
Response
FMCSA received 50 docket comments
in response to the June 29, 2015 notice.
However, only 30 of the submissions
contained comments specifically on the
changes proposed in that notice. The
commenters included motor carriers,
drivers, industry associations, and
safety advocates. Relevant input and
feedback were received from the
Advocates for Highway and Auto Safety
(Advocates), American Association for
Justice (AAJ), American Bus Association
(ABA), American Trucking
Associations, Inc. (ATA), Con-way
Freight, FedEx Corporation (FedEx),
Institute of Makers of Explosives (IME),
National Motor Freight Traffic
Association, Inc. (NMFTA), National
Propane Gas Association (NPGA),
National Transportation Safety Board
(NTSB), Owner-Operator Independent
Drivers Association (OOIDA), Schneider
National, Inc. (Schneider), Snack Food
Association (SFA), Transportation
Intermediaries Association (TIA),
Werner Enterprises, Inc. (Werner), YRC
Worldwide Inc., and individuals who
did not identify their organizations.
Many stakeholders provided comments
on multiple proposed enhancements
and topics. Comments outside the scope
of the June proposal are not discussed
in this notice.
In addition, many stakeholders
requested additional analysis on the
proposed enhancements to better inform
their comments. Detailed analysis on
the proposed enhancements from the
June notice, as well as the additional
enhancements proposed in this notice,
are available in the Foundational
Document at: https://csa.fmcsa.dot.gov/
Documents/SMS-Preview-FoundationalDocument.pdf.
Below is a summary of the comments
received that address the proposed
changes and the Agency’s responses:
1. Changing Some of the SMS
Intervention Thresholds To Better
Reflect the BASICs’ Correlation To
Crash Risk
Arleen Wells commented that the
Vehicle Maintenance BASIC
Intervention Threshold should not go
higher, but raising the percentage for the
Controlled Substances/Alcohol BASIC
Intervention Threshold was an
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‘‘excellent idea.’’ George Hopkins felt
that changing the Vehicle Maintenance
threshold is not productive, as many of
the violations are ‘‘not going to result in
a crash.’’ Another anonymous
commenter expressed concern that the
proposed Vehicle Maintenance BASIC
Intervention Threshold change would
hurt flatbed carriers.
OOIDA questioned the Agency’s logic
for the Vehicle Maintenance
Intervention Threshold pointing out that
‘‘The inclusion of an additional 5% of
motor carriers with lower Vehicle
BASIC scores causes the average
number of accidents per power unit
above the new threshold to increase 7%.
These numbers more than illustrate the
randomness and ineffectiveness of
FMCSA’s reliance on correlation rather
than causation.’’
However, Con-way Freight supported
the adjustments to the BASIC
Intervention Thresholds to better
prioritize carriers. SFA ‘‘commend[ed]
the Agency for taking these preliminary
moves to more closely correlate its
enforcement interventions to actual
crash risk.’’ ATA, TIA, and Schneider
supported adjusting the SMS
Intervention Thresholds. TIA
‘‘applaud[ed] the proposed
enhancements to the Safety
Measurement System (SMS),
specifically, better adjusting some of the
SMS interventions.’’ ATA
recommended that the Agency adjust
the thresholds further to yield even
better results. NTSB voiced concern
about whether the Agency has sufficient
resources to reach the 41,000 carriers
that will be at or above the proposed
Intervention Thresholds.
Regarding the Controlled Substances/
Alcohol Intervention Threshold change,
an anonymous commenter advised, ‘‘I
am saddened by the proposal to raise
the threshold for controlled substances.
I believe that it sends the wrong
message to the public and reflects
poorly on the industry.’’ AAJ requested
that the Controlled Substances/Alcohol
BASIC remain unchanged, emphasizing
that the change ‘‘ignores the real and
serious risks of impaired driving.’’ AAJ
cited a recent National Highway Traffic
Safety Administration (NHTSA) Drug
and Alcohol Crash Risk Study, which
found that drivers with an alcohol level
of 0.08% were four times more likely to
crash than sober drivers and that
marijuana users were about 25% more
likely to be involved in a crash than
drivers with no evidence of marijuana
use.1 Advocates did not support the
1 Compton, R.P. & Berning, A. (2015, February).
Drug and alcohol crash risk. (Traffic Safety Facts
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proposed change to the Controlled
Substances/Alcohol BASIC pointing out
that ‘‘Raising the intervention levels to
90% would then only identify the
bottom 10% of carriers, even though all
carriers above the 50th percentile are
below average.’’
FMCSA issued an amendment to the
enforcement policy for its Hazardous
Materials Safety Permit (HMSP)
program prior to the release of the June
notice on the proposed SMS
enhancements. This amendment uses
the SMS results under the current
Intervention Thresholds to monitor
carriers that have non-temporary
HMSPs and prioritize them for
investigations focused on HM
compliance. IME requested that the
Agency clarify whether the proposed
Intervention Thresholds will replace the
current thresholds outlined in this
amendment.
FMCSA Response
FMCSA disagrees with OOIDA’s
assertion that the change to the Vehicle
Maintenance BASIC Intervention
Threshold does not have a correlation to
crash risk. The baseline crash rate of
5.12 crashes per 100 Power Units (PUs)
is not limited to the Vehicle
Maintenance BASIC. Rather, it applies
to any of the seven BASICs that are at
or above the current Intervention
Thresholds. Therefore, the 7% increase
in crash rate includes lowering the
Vehicle Maintenance BASIC threshold
from 80% to 75%, as well as raising the
Intervention Thresholds for the Driver
Fitness, HM Compliance, and
Controlled Substances/Alcohol BASICs
from 80% to 90%. In addition, FMCSA’s
SMS Effectiveness Test (ET) results
show that lowering the Intervention
Threshold for the Vehicle Maintenance
BASIC will help identify more carriers
with higher correlations to crash rate.2
Carriers at or above the current
threshold for this BASIC have a crash
rate of 5.78 crashes per 100 PUs.
Lowering the threshold for this BASIC
to 75% will include those carriers, as
well as a new set of carriers with a crash
rate of 5.61 crashes per 100 PUs. Both
of these crash rates are much higher
than the national average of 3.43 crashes
per 100 PUs.
As for the anonymous commenter’s
concern about the flatbed bias, the
Agency examined this bias relating to
Research Note. DOT HS 812 117). Washington, DC:
National Highway Traffic Safety Administration.
2 The Carrier Safety Measurement System (CSMS)
Effectiveness Test by Behavior Analysis and Safety
Improvement Categories (BASICs), January 2014,
FMCSA, pg. 42. The full report is available at:
https://csa.fmcsa.dot.gov/Documents/CSMS_
Effectiveness_Test_Final_Report.pdf.
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69187
cargo securement violations in the last
set of methodology enhancements. To
address this bias, the Agency replaced
the Cargo-Related BASIC with the HM
Compliance BASIC. More information
on this enhancement is available in the
notice for the previous methodology
changes (77 FR 19298, March 27, 2012)
and is also in docket FMCSA–2012–
0074.
FMCSA values NTSB’s concern about
the Agency’s resources; however, this
change to the Intervention Thresholds
will identify a similar number of
carriers for interventions as the current
SMS methodology. Interventions
include warning letters, Notices of
Claim, Notices of Violation, and
investigations.
FMCSA acknowledges the concerns
raised by AAJ, Advocates, and the
anonymous commenter about the
serious risks associated with impaired
driving due to use of controlled
substances and alcohol. In response to
these concerns, the Agency conducted
additional analysis to determine the
impact of removing the subset of
carriers that would no longer be
prioritized under the proposed
threshold for the Controlled Substances/
Alcohol BASIC of 90%. Using the SMS
ET, the Agency found that carriers with
percentiles in the 80% to 90% range
have a crash rate of 1.24 crashes per 100
PUs, which is about one third the crash
rate of the national average of 3.43
crashes per 100 PUs. Based on these
results, the Agency believes that there is
no strong evidence to continue
identifying this subset of carriers for
interventions. Raising the Intervention
Threshold for the Controlled
Substances/Alcohol BASIC will help to
focus the Agency’s resources on those
carriers with the greatest safety risk.
However, the Agency will continue to
assess this BASIC and review comments
and supplemental data to determine the
best path forward.
Based on IME’s request for
clarification, the Agency notes that if
the proposed enhancements to the
BASIC Intervention Thresholds are
implemented, they will also impact the
amendment to the HMSP program’s
enforcement policy that became
effective August 18, 2015 (80 FR 35253,
June 19, 2015). Carriers are prioritized
for these investigations if they are at or
above the Intervention Thresholds for
the HM Compliance BASIC or any other
two BASICs over a consecutive twomonth period. Under this proposed
enhancement, carriers will be
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prioritized based on the proposed
thresholds outlined in Table 1 below.
TABLE 1—COMPARISON OF CURRENT AND PROPOSED INTERVENTION THRESHOLDS
Current Intervention Thresholds
BASIC
Passenger
carrier
(%)
Unsafe Driving, Crash Indicator, Hoursof-Service (HOS) Compliance ..............
Vehicle Maintenance ................................
Controlled Substances/Alcohol, Driver
Fitness ..................................................
HM Compliance .......................................
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Passenger
carrier
(%)
HM carrier
(%)
General carrier
(%)
60
75
65
80
50
60
60
70
65
75
65
N/A
a. Segmenting the HM Compliance
BASIC by CT and non-CT carriers; and
b. Releasing motor carrier percentile
rankings under the HM Compliance
BASIC to the public.
David Vargyas, Con-way Freight, and
ATA supported the segmentation of CT
and non-CT carriers. ATA noted that
‘‘Under the current methodology, nonCT carriers often have higher scores not
because they are less safe, but because
they have a greater potential for HM
compliance violations than CT carriers.’’
ATA noted that the preview period will
allow motor carriers to see how this
proposed change will actually impact
them. In addition, several commenters
requested additional information on
how CT and non-CT segments are
defined. Advocates requested that the
Agency provide analysis to support its
claim that this change will improve the
HM Compliance BASIC’s ability to
prioritize carriers with HM compliance
problems for interventions.
Con-way Freight did not support
making the HM Compliance BASIC
publically available, noting that ‘‘The
root cause of the release can often be
attributed to a violation in another
BASIC, such as Unsafe Driving, which
has a more significant correlation to
crash risk.’’ IME also opposed making
the HM Compliance BASIC percentiles
available to the public. However, IME
did not provide any new data to support
this position. FedEx stated that ‘‘there
other existing flaws with the HM
Compliance BASIC that make the BASIC
less than accurate and which result in
biases favoring certain motor carriers
over others.’’ ATA ‘‘strenuously objects’’
to making the BASIC publically
available and noted that ‘‘scores in this
category are a reflection of compliance
with HM regulations, many of them
relating to paperwork and placarding,
not individual motor carrier crash risk.’’
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General carrier
(%)
50
65
2. Two Changes to the HM Compliance
BASIC
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HM carrier
(%)
Proposed Intervention Thresholds
75
80
80
N/A
75
N/A
85
90
90
N/A
AAJ supported making the HM
Compliance BASIC percentiles
publically available, noting that
‘‘keeping this information accessible to
the motor carrier industry, consumers,
and other safety stakeholders will not
only continue to assist people seeking to
work with safe carriers, but will help
keep carriers with high crash risks off of
the road.’’
FMCSA Response
The Foundational Document provides
additional information on how CT and
non-CT segments are defined. It also
includes detailed analysis on this
proposed enhancement and its safety
impact and can be found at: https://
csa.fmcsa.dot.gov/Documents/SMSPreview-Foundational-Document.pdf.
The preview will reflect segmentation
within the HM Compliance BASIC by
CT and non-CT carriers and is only
available to carriers and enforcement
personnel, not the public. The Agency
will consider the feedback on this issue
and will ensure that the display of the
HM Compliance BASIC is in accordance
with the FAST Act requirements.
3. Reclassifying Violations for Operating
While OOS Under the Unsafe Driving
BASIC Rather Than the BASIC of the
Underlying OOS Violation
Commenters including IME, ATA,
Schneider, and ABA approved of
moving operating while OOS violations
to the Unsafe Driving BASIC. These
stakeholders maintained that this
change will more accurately reflect the
role that unsafe driving behavior plays
in the violation of an OOS Order.
However, ATA noted that FMCSA’s
notice indicated that adding these
violations to the Unsafe Driving BASIC
did not change the average crash rate.
Therefore, ATA concluded that this
change did not improve the BASIC’s
ability to identify unsafe carriers.
Advocates also expressed tentative
agreement, noting that the Agency
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provided no data or evidence
illustrating the impact on the Unsafe
Driving and other BASICs.
FMCSA Response
FMCSA acknowledges that moving
OOS violations to the Unsafe Driving
BASIC will have minimal impact on this
BASIC’s ability to identify carriers for
interventions. However, the Agency
believes that consolidating these
violations in one BASIC will help motor
carriers and enforcement more
effectively identify and correct safety
problems related to the violation of an
OOS Order.
FMCSA proposes that this change be
implemented retroactively, i.e., any
such violations from the past 24 months
on a carrier’s SMS profile will be moved
into the Unsafe Driving BASIC, unless
comments during the preview period
present evidence to change the Agency’s
position.
4. Increasing the Maximum VMT Used
in the Utilization Factor To More
Accurately Reflect the Operations of
High-Utilization Carriers
Comments in support of expanding
the range over which the Utilization
Factor applied from 200,000 to 250,000
VMT per average PU were submitted by
John Whisnant, ATA, NMFTA,
Schneider, NPGA, and ABA. NMFTA
noted that ‘‘The increase should
improve the correlation between the
Unsafe Driving and Crash Indicator
percentiles and actual crash risk for
these very high utilization-carriers.’’
Advocates tentatively supported this
change but requested that the Agency
provide more data.
OOIDA pointed out that this
enhancement helps large carriers the
most and that such enhancements are
unavailable to small carriers. Werner
felt the notice ‘‘lack[ed] explanation and
data to support the statement, ‘industry
stakeholders noted that the current
Utilization Factor is not accurate for
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some companies with extremely high
utilization’ ’’ and felt more information
was needed to comment on this
proposal.
FMCSA Response
In regard to OOIDA’s concern, this
proposed enhancement to the
Utilization Factor will benefit all highutilization carriers regardless of their
size, as the Utilization Factor is based
on the VMT to average PU ratio, not the
number of PUs. This approach allows
the SMS to account for carriers of
different sizes and hold them to a
similar standard. As a result, large
carriers and small carriers with high
VMT per average PU ratios can receive
adjustments that reflect their increased
exposure.
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IV. Additional Enhancements
In addition to the proposed
enhancements outlined above, FMCSA
proposes two additional changes based
on issues identified and analysis
conducted during the development of
the preview. Detailed analysis on these
changes is available in the Foundational
Document at: https://csa.fmcsa.dot.gov/
Documents/SMS-Preview-FoundationalDocument.pdf. Carriers and other
interested stakeholders can review these
changes during the preview and provide
any additional comments or analysis for
the Agency to consider in its final
decision.
1. Data Sufficiency Standards for the
Crash Indicator BASIC
In response to comments received to
the Federal Register Notice of January
23, 2015, which announced the results
of FMCSA’s study on the feasibility of
using a motor carrier’s role in crashes in
the assessment of the company’s safety
(80 FR 3719), the Agency conducted
additional analyses. One of the areas
reconsidered was the minimum number
of crashes used to establish the data
sufficiency standard in the Crash
Indicator BASIC. Currently, the Agency
assigns a percentile to carriers in the
Crash Indicator BASIC if they have at
least two reportable crashes in the last
two years. The Agency proposes
increasing the minimum number of
crashes required for a percentile from
two to three. According to the analysis
conducted by FMCSA, the overall crash
rate of the Crash Indicator BASIC
remains about the same as the current
Crash Indicator BASIC (6.33 vs. 6.34
crashes per 100 PUs). While the number
of crashes covered under this scenario is
lower than the number of crashes for the
current Crash Indicator BASIC (14,838
vs. 15,638 crashes) the results suggest
that the proposed change identifies a
VerDate Sep<11>2014
18:15 Oct 04, 2016
Jkt 241001
similar group of carriers with high crash
rates as the current Crash Indicator
BASIC. While this change does not
substantively impact the effectiveness of
the Crash Indicator BASIC, the greater
data sufficiency standard of this BASIC
would yield greater confidence that this
BASIC is identifying carriers with
established patterns of crashes thereby
enabling the Agency to further focus its
investigative resources on carriers with
more crash involvement.
2. Carriers With Recent Violations
Currently, FMCSA assigns percentiles
to carriers in the HOS Compliance,
Vehicle Maintenance, HM Compliance,
and Driver Fitness BASICs if they meet
the following criteria: The most recent
inspection in the previous 24 months
resulted in a violation. Recently,
FMCSA reviewed its data sufficiency
standards to make them more effective
at prioritizing carriers that pose the
greatest safety risk. Based on this
assessment, the Agency proposes
assigning BASIC percentiles only to
carriers that have had an inspection
with a violation in the past year. This
change will increase the Agency’s focus
on carriers with recent violations and
remove carriers with no violations in
the past year from prioritization.
This change will reduce the number
of carriers with a BASIC at or above the
Intervention Threshold. Based on recent
SMS results, 1,243 carriers will no
longer have a BASIC at or above the
threshold as a result of this change.
After analyzing this subset of carriers
using the SMS ET, the Agency found
that these carriers have a crash rate that
is 4.8 times lower than the national
average (0.71 compared to the national
average of 3.43 crashes per 100 PUs).
Therefore, removing these carriers from
prioritization will allow the Agency to
focus its intervention efforts on a set of
carriers with a much higher crash rate
of 5.20 crashes per 100 PUs.
V. Preview of Proposed SMS
Enhancements
The preview will be available October
4, 2016, on the Compliance Safety
Accountability (CSA) Web site at:
https://csa.fmcsa.dot.gov/SMSPreview/.
Motor carriers will be able to log in
through the CSA Web site or the Portal
to see how the proposed enhancements
may impact their SMS results. The
public will also be able to view the
enhancements using example carriers.
To support the preview, FMCSA will
hold a series of Q&A sessions for the
industry and the public, where
participants will be able to ask
questions about the proposed changes
and receive real-time responses. Before
PO 00000
Frm 00154
Fmt 4703
Sfmt 4703
69189
the Q&A sessions, participants can view
a video presentation outlining the
proposed enhancements and how to use
the preview site and review slides and
a transcript of that presentation. All of
these reference materials are available in
the SMS Preview Help Center at:
https://csa.fmcsa.dot.gov/SMSPreview/
HelpCenter/Index.aspx. Each session
will end once all questions have been
answered. All sessions will have closed
captioning. The sessions are scheduled
for the following dates and times:
1. Wednesday, October 12, 2016, 10:00–
11:30 a.m. Eastern Time (ET)
2. Thursday, October 13, 2016, 2:00–
3:30 p.m. ET
3. Tuesday, October 18, 2016, 3:00–4:30
p.m. ET
4. Thursday, October 20, 2016, 11:00
a.m.–12:30 p.m. ET
FMCSA encourages all stakeholders to
participate in these Q&A sessions and
submit questions ahead of time via the
CSA Feedback form at: https://
csa.fmcsa.dot.gov/CSA_feedback.aspx?
defaulttag=SMSPREVIEWQA. Interested
parties should register for one of these
sessions through FMCSA’s National
Training Center at: https://
connectdotcqpub1.connect
solutions.com/content/connect/c1/7/en/
events/catalog.html?folder-id=11242338
86.
VI. Request for Comments
FMCSA requests additional comments
on the proposed SMS enhancements
outlined above. Commenters are
requested to provide supporting data
wherever appropriate.
Issued on: September 30, 2016.
T.F. Scott Darling, III,
Administrator.
[FR Doc. 2016–24114 Filed 10–4–16; 8:45 am]
BILLING CODE 4910–EX–P
DEPARTMENT OF TRANSPORTATION
Maritime Administration
Meeting Notice—U.S. Maritime
Transportation System National
Advisory Committee
Maritime Administration,
Department of Transportation.
ACTION: Notice of advisory committee
public meeting.
AGENCY:
The Maritime Administration
(MARAD) announces a public meeting
of the U.S. Maritime Transportation
System National Advisory Committee
(MTSNAC) to discuss advice and
recommendations for the U.S.
Department of Transportation on issues
related to the maritime transportation
SUMMARY:
E:\FR\FM\05OCN1.SGM
05OCN1
]]>Agencies
[Federal Register Volume 81, Number 193 (Wednesday, October 5, 2016)]
[Notices]
[Pages 69185-69189]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-24114]
-----------------------------------------------------------------------
DEPARTMENT OF TRANSPORTATION
Federal Motor Carrier Safety Administration
[Docket No. FMCSA-2015-0149]
Future Enhancements to the Safety Measurement System (SMS)
AGENCY: Federal Motor Carrier Safety Administration (FMCSA), U.S.
Department of Transportation (U.S. DOT).
ACTION: Notice; response to public comments; request for public
comments.
-----------------------------------------------------------------------
SUMMARY: FMCSA proposes enhancements to information on the public
Safety Measurement System (SMS) Web site and responds to comments
received in response to FMCSA's Federal Register Notice, ``Proposal for
Future Enhancements to the Motor Carrier Safety Measurement System
(SMS),'' published on June 29, 2015. These enhancements are a
continuation of the Agency's efforts to provide law enforcement, the
motor carrier industry, and motor carriers with more informative safety
data. This notice explains the Agency's proposed enhancements to the
public SMS Web site, including two additional changes not originally
proposed, which were identified during the development of the SMS
Preview. FMCSA has provided information about the proposed enhancements
to the National Academies of Sciences to consider in the Correlation
Study required by Section 5221 of the Fixing America's Surface
Transportation (FAST) Act. The proposed enhancements will be available
for preview, at: https://csa.fmcsa.dot.gov/SMSPreview/ on October 4,
2016. The Agency seeks comments on these changes based on the preview.
The Agency will not implement the changes until after the Agency
satisfies the requirements of Section 5223 of the FAST Act.
DATES: Comments must be received by December 3, 2016. Question and
answer (Q&A) sessions for the public and industry are scheduled for the
following dates and times:
1. Wednesday, October 12, 2016, 10:00-11:30 a.m. Eastern Time (ET)
2. Thursday, October 13, 2016, 2:00-3:30 p.m. ET
3. Tuesday, October 18, 2016, 3:00-4:30 p.m. ET
4. Thursday, October 20, 2016, 11:00 a.m.-12:30 p.m. ET
For more information on these sessions, see Section V.
ADDRESSES: You may submit comments bearing the Federal Docket
Management System Docket ID (FMCSA-2015-0149) using any of the
following methods:
Federal eRulemaking Portal: Go to https://www.regulations.gov.
Follow the online instructions for submitting comments.
Mail: Docket Management Facility; U.S. Department of
Transportation, 1200 New Jersey Avenue SE., West Building Ground Floor,
Room W12-140, Washington, DC 20590.
Hand Delivery or Courier: West Building Ground Floor, Room W12-140,
1200 New Jersey Avenue SE., Washington, DC 20590, between 9 a.m. and 5
p.m., ET, Monday through Friday, except Federal holidays.
Fax: 1-202-493-2251.
Each submission must include the Agency name and the docket number
for this notice. Note that DOT posts all comments received without
change to www.regulations.gov, including any personal information
included in a comment. Please see the Privacy Act heading below.
Docket: For access to the docket to read background documents or
comments, go to www.regulations.gov at any time or visit Room W12-140
on the ground level of the West Building, 1200 New Jersey Avenue SE.,
Washington, DC 20590, between 9 a.m. and 5 p.m., Monday through Friday,
except Federal holidays. The online Federal document
[[Page 69186]]
management system is available 24 hours each day, 365 days each year.
If you want acknowledgment that the Agency received your comments,
please include a self-addressed, stamped envelope or postcard or print
the acknowledgement page that appears after submitting comments online.
Privacy Act: In accordance with 5 U.S.C. 553(c), DOT solicits
comments from the public to better inform its rulemaking process. DOT
posts these comments, without edit, including any personal information
the commenter provides, to www.regulations.gov, as described in the
system of records notice (DOT/ALL-14 FDMS), which can be reviewed at
www.dot.gov/privacy.
FOR FURTHER INFORMATION CONTACT: For information concerning this
notice, contact Mr. David Yessen, Federal Motor Carrier Safety
Administration, 1200 New Jersey Avenue SE., Washington, DC 20590,
telephone 609-275-2606 or by email at david.yessen@dot.gov. If you have
questions on viewing or submitting material to the docket, contact
Docket Services at 202-366-9826.
SUPPLEMENTARY INFORMATION:
I. Public Participation and Request for Comments
FMCSA encourages you to participate by submitting comments and
related materials.
A. Submitting Comments
If you submit a comment, please include the docket number for this
notice (FMCSA-2015-0149), indicate the specific section of this
document to which each comment applies, and provide a reason for each
suggestion or recommendation. You may submit your comments and material
online or by fax, mail, or hand delivery, but please use only one of
these methods. FMCSA recommends that you include your name and a
mailing address, an email address, or a phone number in the body of
your document so that the Agency can contact you if it has questions
regarding your submission.
To submit your comment online, go to https://www.regulations.gov and
put the docket number, ``FMCSA-2015-0149'' in the ``Keyword'' box, and
click ``Search.'' When the new screen appears, click on the ``Comment
Now!''' button and type your comment into the text box in the following
screen. Choose whether you are submitting your comment as an individual
or on behalf of a third party and then submit. If you submit your
comments by mail or hand delivery, submit them in an unbound format, no
larger than 8\1/2\ by 11 inches, suitable for copying and electronic
filing. If you submit comments by mail and would like to know that they
reached the facility, please enclose a stamped, self-addressed postcard
or envelope.
FMCSA will consider all comments and materials received during the
comment period and may change the approach discussed in this notice
based on your comments.
B. Viewing Comments and Documents
To view comments, as well as documents mentioned in this preamble
as being available in the docket, go to https://www.regulations.gov and
insert the docket number, ``FMCSA-2015-0149'' in the ``Keyword'' box
and click ``Search.'' Next, click the ``Open Docket Folder'' button and
choose the document listed to review. If you do not have access to the
internet, you may view the docket by visiting the Docket Management
Facility in Room W12-140 on the ground floor of the DOT West Building,
1200 New Jersey Avenue SE., Washington, DC 20590, between 9 a.m. and 5
p.m., Monday through Friday, except Federal holidays.
II. Background
On June 29, 2015 (80 FR 37037), FMCSA proposed the following SMS
enhancements and requested initial comments on them in advance of
providing motor carriers to preview how their safety performance data
would be presented on the SMS Web site.
1. Changing some of the SMS Intervention Thresholds to better
reflect the Behavior Analysis and Safety Improvement Categories'
(BASICs) correlation to crash risk.
2. Two changes to the Hazardous Materials (HM) Compliance BASIC:
a. Segmenting the HM Compliance BASIC by Cargo Tank (CT) and non-CT
carriers; and
b. Releasing motor carrier percentile rankings under the HM
Compliance BASIC to the public.
3. Reclassifying violations for operating while Out of Service
(OOS) under the Unsafe Driving BASIC rather than the BASIC of the
underlying OOS violation.
4. Increasing the maximum Vehicle Miles Travelled (VMT) used in the
Utilization Factor to more accurately reflect the operations of high-
utilization carriers.
The Agency's analysis and explanations were provided in the June
29, 2015 notice. Stakeholders had 30 days to submit comments. The
comment period ended on July 29, 2015.
After receiving and analyzing the comments in response to this
preview, FMCSA will provide the results to the National Academies of
Sciences to consider during the Correlation Study required by Sections
5221 and 5223 of the FAST Act, related to SMS and public display. The
study required by Section 5221 is required to be within 18 months of
the enactment of the Act.
III. Summary of Public Comments and Response
FMCSA received 50 docket comments in response to the June 29, 2015
notice. However, only 30 of the submissions contained comments
specifically on the changes proposed in that notice. The commenters
included motor carriers, drivers, industry associations, and safety
advocates. Relevant input and feedback were received from the Advocates
for Highway and Auto Safety (Advocates), American Association for
Justice (AAJ), American Bus Association (ABA), American Trucking
Associations, Inc. (ATA), Con-way Freight, FedEx Corporation (FedEx),
Institute of Makers of Explosives (IME), National Motor Freight Traffic
Association, Inc. (NMFTA), National Propane Gas Association (NPGA),
National Transportation Safety Board (NTSB), Owner-Operator Independent
Drivers Association (OOIDA), Schneider National, Inc. (Schneider),
Snack Food Association (SFA), Transportation Intermediaries Association
(TIA), Werner Enterprises, Inc. (Werner), YRC Worldwide Inc., and
individuals who did not identify their organizations. Many stakeholders
provided comments on multiple proposed enhancements and topics.
Comments outside the scope of the June proposal are not discussed in
this notice.
In addition, many stakeholders requested additional analysis on the
proposed enhancements to better inform their comments. Detailed
analysis on the proposed enhancements from the June notice, as well as
the additional enhancements proposed in this notice, are available in
the Foundational Document at: https://csa.fmcsa.dot.gov/Documents/SMS-Preview-Foundational-Document.pdf.
Below is a summary of the comments received that address the
proposed changes and the Agency's responses:
1. Changing Some of the SMS Intervention Thresholds To Better Reflect
the BASICs' Correlation To Crash Risk
Arleen Wells commented that the Vehicle Maintenance BASIC
Intervention Threshold should not go higher, but raising the percentage
for the Controlled Substances/Alcohol BASIC Intervention Threshold was
an
[[Page 69187]]
``excellent idea.'' George Hopkins felt that changing the Vehicle
Maintenance threshold is not productive, as many of the violations are
``not going to result in a crash.'' Another anonymous commenter
expressed concern that the proposed Vehicle Maintenance BASIC
Intervention Threshold change would hurt flatbed carriers.
OOIDA questioned the Agency's logic for the Vehicle Maintenance
Intervention Threshold pointing out that ``The inclusion of an
additional 5% of motor carriers with lower Vehicle BASIC scores causes
the average number of accidents per power unit above the new threshold
to increase 7%. These numbers more than illustrate the randomness and
ineffectiveness of FMCSA's reliance on correlation rather than
causation.''
However, Con-way Freight supported the adjustments to the BASIC
Intervention Thresholds to better prioritize carriers. SFA
``commend[ed] the Agency for taking these preliminary moves to more
closely correlate its enforcement interventions to actual crash risk.''
ATA, TIA, and Schneider supported adjusting the SMS Intervention
Thresholds. TIA ``applaud[ed] the proposed enhancements to the Safety
Measurement System (SMS), specifically, better adjusting some of the
SMS interventions.'' ATA recommended that the Agency adjust the
thresholds further to yield even better results. NTSB voiced concern
about whether the Agency has sufficient resources to reach the 41,000
carriers that will be at or above the proposed Intervention Thresholds.
Regarding the Controlled Substances/Alcohol Intervention Threshold
change, an anonymous commenter advised, ``I am saddened by the proposal
to raise the threshold for controlled substances. I believe that it
sends the wrong message to the public and reflects poorly on the
industry.'' AAJ requested that the Controlled Substances/Alcohol BASIC
remain unchanged, emphasizing that the change ``ignores the real and
serious risks of impaired driving.'' AAJ cited a recent National
Highway Traffic Safety Administration (NHTSA) Drug and Alcohol Crash
Risk Study, which found that drivers with an alcohol level of 0.08%
were four times more likely to crash than sober drivers and that
marijuana users were about 25% more likely to be involved in a crash
than drivers with no evidence of marijuana use.\1\ Advocates did not
support the proposed change to the Controlled Substances/Alcohol BASIC
pointing out that ``Raising the intervention levels to 90% would then
only identify the bottom 10% of carriers, even though all carriers
above the 50th percentile are below average.''
---------------------------------------------------------------------------
\1\ Compton, R.P. & Berning, A. (2015, February). Drug and
alcohol crash risk. (Traffic Safety Facts Research Note. DOT HS 812
117). Washington, DC: National Highway Traffic Safety
Administration.
---------------------------------------------------------------------------
FMCSA issued an amendment to the enforcement policy for its
Hazardous Materials Safety Permit (HMSP) program prior to the release
of the June notice on the proposed SMS enhancements. This amendment
uses the SMS results under the current Intervention Thresholds to
monitor carriers that have non-temporary HMSPs and prioritize them for
investigations focused on HM compliance. IME requested that the Agency
clarify whether the proposed Intervention Thresholds will replace the
current thresholds outlined in this amendment.
FMCSA Response
FMCSA disagrees with OOIDA's assertion that the change to the
Vehicle Maintenance BASIC Intervention Threshold does not have a
correlation to crash risk. The baseline crash rate of 5.12 crashes per
100 Power Units (PUs) is not limited to the Vehicle Maintenance BASIC.
Rather, it applies to any of the seven BASICs that are at or above the
current Intervention Thresholds. Therefore, the 7% increase in crash
rate includes lowering the Vehicle Maintenance BASIC threshold from 80%
to 75%, as well as raising the Intervention Thresholds for the Driver
Fitness, HM Compliance, and Controlled Substances/Alcohol BASICs from
80% to 90%. In addition, FMCSA's SMS Effectiveness Test (ET) results
show that lowering the Intervention Threshold for the Vehicle
Maintenance BASIC will help identify more carriers with higher
correlations to crash rate.\2\ Carriers at or above the current
threshold for this BASIC have a crash rate of 5.78 crashes per 100 PUs.
Lowering the threshold for this BASIC to 75% will include those
carriers, as well as a new set of carriers with a crash rate of 5.61
crashes per 100 PUs. Both of these crash rates are much higher than the
national average of 3.43 crashes per 100 PUs.
---------------------------------------------------------------------------
\2\ The Carrier Safety Measurement System (CSMS) Effectiveness
Test by Behavior Analysis and Safety Improvement Categories
(BASICs), January 2014, FMCSA, pg. 42. The full report is available
at: https://csa.fmcsa.dot.gov/Documents/CSMS_Effectiveness_Test_Final_Report.pdf.
---------------------------------------------------------------------------
As for the anonymous commenter's concern about the flatbed bias,
the Agency examined this bias relating to cargo securement violations
in the last set of methodology enhancements. To address this bias, the
Agency replaced the Cargo-Related BASIC with the HM Compliance BASIC.
More information on this enhancement is available in the notice for the
previous methodology changes (77 FR 19298, March 27, 2012) and is also
in docket FMCSA-2012-0074.
FMCSA values NTSB's concern about the Agency's resources; however,
this change to the Intervention Thresholds will identify a similar
number of carriers for interventions as the current SMS methodology.
Interventions include warning letters, Notices of Claim, Notices of
Violation, and investigations.
FMCSA acknowledges the concerns raised by AAJ, Advocates, and the
anonymous commenter about the serious risks associated with impaired
driving due to use of controlled substances and alcohol. In response to
these concerns, the Agency conducted additional analysis to determine
the impact of removing the subset of carriers that would no longer be
prioritized under the proposed threshold for the Controlled Substances/
Alcohol BASIC of 90%. Using the SMS ET, the Agency found that carriers
with percentiles in the 80% to 90% range have a crash rate of 1.24
crashes per 100 PUs, which is about one third the crash rate of the
national average of 3.43 crashes per 100 PUs. Based on these results,
the Agency believes that there is no strong evidence to continue
identifying this subset of carriers for interventions. Raising the
Intervention Threshold for the Controlled Substances/Alcohol BASIC will
help to focus the Agency's resources on those carriers with the
greatest safety risk. However, the Agency will continue to assess this
BASIC and review comments and supplemental data to determine the best
path forward.
Based on IME's request for clarification, the Agency notes that if
the proposed enhancements to the BASIC Intervention Thresholds are
implemented, they will also impact the amendment to the HMSP program's
enforcement policy that became effective August 18, 2015 (80 FR 35253,
June 19, 2015). Carriers are prioritized for these investigations if
they are at or above the Intervention Thresholds for the HM Compliance
BASIC or any other two BASICs over a consecutive two-month period.
Under this proposed enhancement, carriers will be
[[Page 69188]]
prioritized based on the proposed thresholds outlined in Table 1 below.
Table 1--Comparison of Current and Proposed Intervention Thresholds
--------------------------------------------------------------------------------------------------------------------------------------------------------
Current Intervention Thresholds Proposed Intervention Thresholds
-----------------------------------------------------------------------------------------------
BASIC Passenger General Passenger General
carrier (%) HM carrier (%) carrier (%) carrier (%) HM carrier (%) carrier (%)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Unsafe Driving, Crash Indicator, Hours-of-Service (HOS) 50 60 65 50 60 65
Compliance.............................................
Vehicle Maintenance..................................... 65 75 80 60 70 75
Controlled Substances/Alcohol, Driver Fitness........... 65 75 80 75 85 90
HM Compliance........................................... N/A 80 N/A N/A 90 N/A
--------------------------------------------------------------------------------------------------------------------------------------------------------
2. Two Changes to the HM Compliance BASIC
a. Segmenting the HM Compliance BASIC by CT and non-CT carriers;
and
b. Releasing motor carrier percentile rankings under the HM
Compliance BASIC to the public.
David Vargyas, Con-way Freight, and ATA supported the segmentation
of CT and non-CT carriers. ATA noted that ``Under the current
methodology, non-CT carriers often have higher scores not because they
are less safe, but because they have a greater potential for HM
compliance violations than CT carriers.'' ATA noted that the preview
period will allow motor carriers to see how this proposed change will
actually impact them. In addition, several commenters requested
additional information on how CT and non-CT segments are defined.
Advocates requested that the Agency provide analysis to support its
claim that this change will improve the HM Compliance BASIC's ability
to prioritize carriers with HM compliance problems for interventions.
Con-way Freight did not support making the HM Compliance BASIC
publically available, noting that ``The root cause of the release can
often be attributed to a violation in another BASIC, such as Unsafe
Driving, which has a more significant correlation to crash risk.'' IME
also opposed making the HM Compliance BASIC percentiles available to
the public. However, IME did not provide any new data to support this
position. FedEx stated that ``there other existing flaws with the HM
Compliance BASIC that make the BASIC less than accurate and which
result in biases favoring certain motor carriers over others.'' ATA
``strenuously objects'' to making the BASIC publically available and
noted that ``scores in this category are a reflection of compliance
with HM regulations, many of them relating to paperwork and placarding,
not individual motor carrier crash risk.''
AAJ supported making the HM Compliance BASIC percentiles publically
available, noting that ``keeping this information accessible to the
motor carrier industry, consumers, and other safety stakeholders will
not only continue to assist people seeking to work with safe carriers,
but will help keep carriers with high crash risks off of the road.''
FMCSA Response
The Foundational Document provides additional information on how CT
and non-CT segments are defined. It also includes detailed analysis on
this proposed enhancement and its safety impact and can be found at:
https://csa.fmcsa.dot.gov/Documents/SMS-Preview-Foundational-Document.pdf.
The preview will reflect segmentation within the HM Compliance
BASIC by CT and non-CT carriers and is only available to carriers and
enforcement personnel, not the public. The Agency will consider the
feedback on this issue and will ensure that the display of the HM
Compliance BASIC is in accordance with the FAST Act requirements.
3. Reclassifying Violations for Operating While OOS Under the Unsafe
Driving BASIC Rather Than the BASIC of the Underlying OOS Violation
Commenters including IME, ATA, Schneider, and ABA approved of
moving operating while OOS violations to the Unsafe Driving BASIC.
These stakeholders maintained that this change will more accurately
reflect the role that unsafe driving behavior plays in the violation of
an OOS Order. However, ATA noted that FMCSA's notice indicated that
adding these violations to the Unsafe Driving BASIC did not change the
average crash rate. Therefore, ATA concluded that this change did not
improve the BASIC's ability to identify unsafe carriers. Advocates also
expressed tentative agreement, noting that the Agency provided no data
or evidence illustrating the impact on the Unsafe Driving and other
BASICs.
FMCSA Response
FMCSA acknowledges that moving OOS violations to the Unsafe Driving
BASIC will have minimal impact on this BASIC's ability to identify
carriers for interventions. However, the Agency believes that
consolidating these violations in one BASIC will help motor carriers
and enforcement more effectively identify and correct safety problems
related to the violation of an OOS Order.
FMCSA proposes that this change be implemented retroactively, i.e.,
any such violations from the past 24 months on a carrier's SMS profile
will be moved into the Unsafe Driving BASIC, unless comments during the
preview period present evidence to change the Agency's position.
4. Increasing the Maximum VMT Used in the Utilization Factor To More
Accurately Reflect the Operations of High-Utilization Carriers
Comments in support of expanding the range over which the
Utilization Factor applied from 200,000 to 250,000 VMT per average PU
were submitted by John Whisnant, ATA, NMFTA, Schneider, NPGA, and ABA.
NMFTA noted that ``The increase should improve the correlation between
the Unsafe Driving and Crash Indicator percentiles and actual crash
risk for these very high utilization-carriers.'' Advocates tentatively
supported this change but requested that the Agency provide more data.
OOIDA pointed out that this enhancement helps large carriers the
most and that such enhancements are unavailable to small carriers.
Werner felt the notice ``lack[ed] explanation and data to support the
statement, `industry stakeholders noted that the current Utilization
Factor is not accurate for
[[Page 69189]]
some companies with extremely high utilization' '' and felt more
information was needed to comment on this proposal.
FMCSA Response
In regard to OOIDA's concern, this proposed enhancement to the
Utilization Factor will benefit all high-utilization carriers
regardless of their size, as the Utilization Factor is based on the VMT
to average PU ratio, not the number of PUs. This approach allows the
SMS to account for carriers of different sizes and hold them to a
similar standard. As a result, large carriers and small carriers with
high VMT per average PU ratios can receive adjustments that reflect
their increased exposure.
IV. Additional Enhancements
In addition to the proposed enhancements outlined above, FMCSA
proposes two additional changes based on issues identified and analysis
conducted during the development of the preview. Detailed analysis on
these changes is available in the Foundational Document at: https://csa.fmcsa.dot.gov/Documents/SMS-Preview-Foundational-Document.pdf.
Carriers and other interested stakeholders can review these changes
during the preview and provide any additional comments or analysis for
the Agency to consider in its final decision.
1. Data Sufficiency Standards for the Crash Indicator BASIC
In response to comments received to the Federal Register Notice of
January 23, 2015, which announced the results of FMCSA's study on the
feasibility of using a motor carrier's role in crashes in the
assessment of the company's safety (80 FR 3719), the Agency conducted
additional analyses. One of the areas reconsidered was the minimum
number of crashes used to establish the data sufficiency standard in
the Crash Indicator BASIC. Currently, the Agency assigns a percentile
to carriers in the Crash Indicator BASIC if they have at least two
reportable crashes in the last two years. The Agency proposes
increasing the minimum number of crashes required for a percentile from
two to three. According to the analysis conducted by FMCSA, the overall
crash rate of the Crash Indicator BASIC remains about the same as the
current Crash Indicator BASIC (6.33 vs. 6.34 crashes per 100 PUs).
While the number of crashes covered under this scenario is lower than
the number of crashes for the current Crash Indicator BASIC (14,838 vs.
15,638 crashes) the results suggest that the proposed change identifies
a similar group of carriers with high crash rates as the current Crash
Indicator BASIC. While this change does not substantively impact the
effectiveness of the Crash Indicator BASIC, the greater data
sufficiency standard of this BASIC would yield greater confidence that
this BASIC is identifying carriers with established patterns of crashes
thereby enabling the Agency to further focus its investigative
resources on carriers with more crash involvement.
2. Carriers With Recent Violations
Currently, FMCSA assigns percentiles to carriers in the HOS
Compliance, Vehicle Maintenance, HM Compliance, and Driver Fitness
BASICs if they meet the following criteria: The most recent inspection
in the previous 24 months resulted in a violation. Recently, FMCSA
reviewed its data sufficiency standards to make them more effective at
prioritizing carriers that pose the greatest safety risk. Based on this
assessment, the Agency proposes assigning BASIC percentiles only to
carriers that have had an inspection with a violation in the past year.
This change will increase the Agency's focus on carriers with recent
violations and remove carriers with no violations in the past year from
prioritization.
This change will reduce the number of carriers with a BASIC at or
above the Intervention Threshold. Based on recent SMS results, 1,243
carriers will no longer have a BASIC at or above the threshold as a
result of this change. After analyzing this subset of carriers using
the SMS ET, the Agency found that these carriers have a crash rate that
is 4.8 times lower than the national average (0.71 compared to the
national average of 3.43 crashes per 100 PUs). Therefore, removing
these carriers from prioritization will allow the Agency to focus its
intervention efforts on a set of carriers with a much higher crash rate
of 5.20 crashes per 100 PUs.
V. Preview of Proposed SMS Enhancements
The preview will be available October 4, 2016, on the Compliance
Safety Accountability (CSA) Web site at: https://csa.fmcsa.dot.gov/SMSPreview/. Motor carriers will be able to log in through the CSA Web
site or the Portal to see how the proposed enhancements may impact
their SMS results. The public will also be able to view the
enhancements using example carriers. To support the preview, FMCSA will
hold a series of Q&A sessions for the industry and the public, where
participants will be able to ask questions about the proposed changes
and receive real-time responses. Before the Q&A sessions, participants
can view a video presentation outlining the proposed enhancements and
how to use the preview site and review slides and a transcript of that
presentation. All of these reference materials are available in the SMS
Preview Help Center at: https://csa.fmcsa.dot.gov/SMSPreview/HelpCenter/Index.aspx. Each session will end once all questions have
been answered. All sessions will have closed captioning. The sessions
are scheduled for the following dates and times:
1. Wednesday, October 12, 2016, 10:00-11:30 a.m. Eastern Time (ET)
2. Thursday, October 13, 2016, 2:00-3:30 p.m. ET
3. Tuesday, October 18, 2016, 3:00-4:30 p.m. ET
4. Thursday, October 20, 2016, 11:00 a.m.-12:30 p.m. ET
FMCSA encourages all stakeholders to participate in these Q&A
sessions and submit questions ahead of time via the CSA Feedback form
at: https://csa.fmcsa.dot.gov/CSA_feedback.aspx?defaulttag=SMSPREVIEWQA. Interested parties should
register for one of these sessions through FMCSA's National Training
Center at: https://connectdotcqpub1.connectsolutions.com/content/connect/c1/7/en/events/catalog.html?folder-id=1124233886.
VI. Request for Comments
FMCSA requests additional comments on the proposed SMS enhancements
outlined above. Commenters are requested to provide supporting data
wherever appropriate.
Issued on: September 30, 2016.
T.F. Scott Darling, III,
Administrator.
[FR Doc. 2016-24114 Filed 10-4-16; 8:45 am]
BILLING CODE 4910-EX-P
