80_FR_37161 80 FR 37037 - Proposal for Future Enhancements to the Safety Measurement System (SMS)

80 FR 37037 - Proposal for Future Enhancements to the Safety Measurement System (SMS)

DEPARTMENT OF TRANSPORTATION
Federal Motor Carrier Safety Administration

Federal Register Volume 80, Issue 124 (June 29, 2015)

Page Range37037-37039
FR Document2015-15907

FMCSA provides notice and seeks comments on proposed enhancements to the Agency's Safety Measurement System (SMS) methodology. Consistent with its prior announcements, the Agency is proposing changes to the SMS that are the direct result of feedback from stakeholders and the Agency's ongoing continuous improvement efforts. The Agency is considering several changes in this notice and is asking for comment on these issues, and other possible areas for consideration. This set of enhancements would include changing some of the SMS Intervention Thresholds to better reflect the Behavior Analysis and Safety Improvement Categories' (BASICs) correlation to crash risk, other changes to the Hazardous Materials (HM) Compliance BASIC, reclassifying violations for operating while out-of-service (OOS) to the Unsafe Driving BASIC, and adjustments to the Utilization Factor (UF). FMCSA will provide a preview of the proposed enhancements allowing motor carriers to see their own data, enforcement to see the data, and an opportunity for all to comment prior to implementation.

Federal Register, Volume 80 Issue 124 (Monday, June 29, 2015)
[Federal Register Volume 80, Number 124 (Monday, June 29, 2015)]
[Notices]
[Pages 37037-37039]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2015-15907]


-----------------------------------------------------------------------

DEPARTMENT OF TRANSPORTATION

Federal Motor Carrier Safety Administration

[Docket No FMCSA-2015-0149]


Proposal for Future Enhancements to the Safety Measurement System 
(SMS)

AGENCY: Federal Motor Carrier Safety Administration (FMCSA), DOT.

ACTION: Notice; request for public comment.

-----------------------------------------------------------------------

SUMMARY: FMCSA provides notice and seeks comments on proposed 
enhancements to the Agency's Safety Measurement System (SMS) 
methodology. Consistent with its prior announcements, the Agency is 
proposing changes to the SMS that are the direct result of feedback 
from stakeholders and the Agency's ongoing continuous improvement 
efforts. The Agency is considering several changes in this notice and 
is asking for comment on these issues, and other possible areas for 
consideration. This set of enhancements would include changing some of 
the SMS Intervention Thresholds to better reflect the Behavior Analysis 
and Safety Improvement Categories' (BASICs) correlation to crash risk, 
other changes to the Hazardous Materials (HM) Compliance BASIC, 
reclassifying violations for operating while out-of-service (OOS) to 
the Unsafe Driving BASIC, and adjustments to the Utilization Factor 
(UF). FMCSA will provide a preview of the proposed enhancements 
allowing motor carriers to see their own data, enforcement to see the 
data, and an opportunity for all to comment prior to implementation.

DATES: Comments must be received on or before July 29, 2015.

ADDRESSES: You may submit comments bearing the Federal Docket 
Management System (FDMS) Docket ID FMCSA-2015-0149 using any of the 
following methods:
     Federal eRulemaking Portal: Go to www.regulations.gov. 
Follow the on-line 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 20590-0001.
     Hand Delivery or Courier: West Building Ground Floor, Room 
W12-140, 1200 New Jersey Avenue SE., Washington, DC, 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, between 9 a.m. and 5 p.m., ET, Monday through Friday, 
except Federal holidays. The on-line FDMS is available 24 hours each 
day, 365 days each year. If you want acknowledgment that we received 
your comments, please include a self-addressed, stamped envelope or 
postcard or print the acknowledgement page that appears after 
submitting comments on-line.
    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, Compliance Division, 1200 New Jersey Avenue SE., 
Washington, DC 20590, Telephone 609-275-2606, E-Mail: 
[email protected]. If you have questions on viewing or submitting 
material to the docket, contact Docket Services, telephone (202) 366-
9826.

SUPPLEMENTARY INFORMATION:

I. Background

The SMS

    FMCSA first announced the implementation of the SMS in the Federal 
Register on April 9, 2010 (75 FR 18256) (Docket No. FMCSA-2004-18898). 
Since December 2010, FMCSA and its State partners have used SMS to 
identify and prioritize motor carriers for interventions, including 
automated warning letters and investigations. Additionally, SMS serves 
as a principal factor in roadside inspection selection software 
designed to recommend motor carriers for inspections. The SMS also 
provides the motor carrier industry, consumers, and other safety 
stakeholders with comprehensive safety performance data for many 
carriers. This information is updated monthly. SMS is available at the 
public Web site at http://ai.fmcsa.dot.gov/SMS. FMCSA announced 
improvements to the SMS in March 2012 (77 FR 18298) (Docket No. FMCSA-
2012-0074), August 2012 (77 FR 52110) (Docket No. FMCSA-2004-18898), 
and July 2014 (79 FR 43117) (Docket No. FMCSA-2013-0392). As stated in 
the March 2012 notice, FMCSA plans to apply a systematic approach to 
making improvements to SMS, prioritizing, and releasing packages of 
improvements as needed.
    FMCSA convened a Continuous Improvement Working Group (CIWG) 
comprised of Federal and State Enforcement personnel. This group used 
their diverse experiences to identify areas of needed improvement with 
SMS and the Compliance, Safety, Accountability interventions process. 
The CIWG recommendations are under review, and they informed the 
potential enhancements outlined below.

List of Proposed Enhancements

    FMCSA is proposing the following enhancements:

[[Page 37038]]

    1. Changing some of the SMS Intervention Thresholds to better 
reflect the BASICs' correlation to crash risk.
    2. Two changes to the HM Compliance BASIC:
     Segmenting the HM Compliance BASIC by cargo tank (CT) and 
non-CT carriers; and
     Releasing motor carrier percentile rankngs under the HM 
Compliance BASIC to the public.
    3. Reclassifying violations for operating while OOS as 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 
UF to more accurately reflect operations of high-utilization carriers.

Proposed Changes to SMS Intervention Thresholds

    The Agency published its most recent SMS Effectiveness Test at 
http://csa.fmcsa.dot.gov/Documents/CSMS_Effectiveness_Test_Final_Report.pdf. After considering the results 
of this test and other independent analyses, FMCSA is proposing to make 
changes to more closely align intervention thresholds with each BASIC's 
correlation to crash risk. FMCSA determined that lowering the Vehicle 
Maintenance BASIC intervention threshold to better reflect the 
seriousness of the crash risk associated with vehicle maintenance 
issues and raising the intervention thresholds for the Controlled 
Substances/Alcohol, HM Compliance, and Driver Fitness BASICs would more 
effectively prioritize motor carriers.
    As part of the SMS Effectiveness Test analysis, FMCSA analyzed the 
correlation of each BASIC with crash risk and introduced three levels 
of crash risk correlation:

 High: Unsafe Driving, Crash Indicator, Hours-of-Service (HOS) 
Compliance
 Medium: Vehicle Maintenance
 Low: Controlled Substances/Alcohol, HM Compliance, and Driver 
Fitness

The following chart illustrates the crash rates by BASIC, as 
demonstrated in the SMS Effectiveness Test.

------------------------------------------------------------------------
                                                     % Increase in crash
                                Crash rate (per 100    rate compared to
     BASIC over threshold               PUs)           national average
                                                            (3.43)
------------------------------------------------------------------------
Unsafe Driving................                 6.62                   93
Crash Indicator...............                 6.34                   85
HOS Compliance................                 6.26                   83
Vehicle Maintenance...........                 5.65                   65
Controlled Substances/Alcohol.                 4.61                   34
HM Compliance.................                 4.49                   31
Driver Fitness................                 3.11                   -9
------------------------------------------------------------------------

    After a thorough analysis of this information and other available 
studies, the Agency analyzed carriers over a variety of intervention 
thresholds, and compared those crash rates to the national average. 
Based on that analysis, the Agency is proposing to adjust the 
intervention thresholds as shown in the table below, to reflect the 
differences in the crash correlations of each BASIC:

------------------------------------------------------------------------
                                              Current        Proposed
                 BASICS                    intervention    intervention
                                          thresholds (%)  thresholds (%)
------------------------------------------------------------------------
Unsafe Driving Crash Indicator HOS                    65              65
 Compliance.............................
Vehicle Maintenance.....................              80              75
Controlled Substances/Alcohol HM                      80              90
 Compliance Driver Fitness..............
------------------------------------------------------------------------

    The Agency notes that lowering the Vehicle Maintenance BASIC 
intervention threshold will identify a new set of motor carriers to 
receive warning letters so that they may address non-compliance issues 
before crashes occur. The changes would maintain the current 
intervention thresholds of 65% for the BASICs with the strongest 
relationship to crash risk. While fewer carriers will be identified for 
interventions in those BASICs where FMCSA proposes to raise the 
threshold to 90%, a similar number of carriers will be identified 
across all BASICs as under the current intervention thresholds. In 
addition, under the proposed changes the carriers prioritized for 
interventions will have a higher crash rate than the carriers currently 
prioritized for interventions. We examined the interstate carriers that 
are identified as at or above intervention threshold in any of the six 
BASICs (HM is excluded as it is handled in a different analysis). The 
effectiveness testing, which uses historical data, showed under the 
current thresholds that 39,454 carriers at or above intervention 
thresolds had a crash rate of 5.12 crashes per 100 Pus and under the 
proposed thresholds 41,012 carriers at or above intervention threshold 
had a crash rate of 5.49 crashes per 100 PUs. This is a 7% increase in 
crash rate. A recent snapshot of SMS data (Dec 2014) shows that 2,431 
carriers are newly identified while 453 are no longer identified with 
any of the six BASICs at or above the intervention threshold.

Proposed HM Compliance BASIC Changes

    Industry and enforcement stakeholders raised concerns to FMCSA that 
large non-CT HM carriers have difficulty improving in the HM Compliance 
BASIC because they are being unfairly compared to CT HM carriers. Non-
CT HM and CT HM carriers have different operations and as a result they 
often receive different violations. After analyzing the issue 
carefully, FMCSA determined that segmenting the HM Compliance BASIC by 
CT and non-CT carriers will address this bias and improve the SMS's 
ability to identify HM carriers with serious safety problems.
    FMCSA studied the feasibility of segmenting the HM Compliance BASIC 
by business type and found that for

[[Page 37039]]

most motor carriers that operate CTs, the CTs make up a majority of the 
carrier's inspections. A carrier was categorized as a CT carrier if 
more than 50% of its inspections indicated the vehicles were CTs, and 
for most that percentage was actually much higher. Analysis shows that 
there are a sufficient number of carriers for both segments in all 
safety event groups (SEGs) for effective assessment. FMCSA reviewed 
BASIC percentile changes with segmentation and found that large CT 
carriers would see an increase in percentiles, while large non-CT 
carriers would see a decrease. Small carriers, both CT and non-CT, will 
not see a change.

                                          HM Cargo Segmentation Impact
----------------------------------------------------------------------------------------------------------------
         SEG HM inspections           Current BASIC %        New BASIC non-CT %             New BASIC CT %
----------------------------------------------------------------------------------------------------------------
5-10...............................                 80  Same.......................  Same.
11-15..............................                 80  Same.......................  Same.
16-40..............................                 80  Same.......................  Same.
41-100.............................                 80  71% (-9%)..................  85% (+5%).
100+...............................                 80  62% (-18%).................  90% (+10%).
----------------------------------------------------------------------------------------------------------------

    With these changes, FMCSA is confident that the data in the HM 
Compliance BASIC appropriately reflects the distinct operations of 
these carriers. As a result, FMCSA proposes to make the HM Compliance 
BASIC information available to the public.

Violating Out-of-Service Orders

    Currently, when a carrier is cited for violating an OOS Order, 
these violations are associated with the same BASIC as the initial OOS 
violation. However, the behavior of deciding to violate an OOS Order is 
more closely related to a motor carrier's or driver's safety judgment, 
regardless of the underlying OOS condition.
    FMCSA reviewed these violations and analyzed the potential impact 
of reclassifying violations of an OOS Order to the Unsafe Driving 
BASIC. The Agency found that the crash rate of carriers at or above the 
intervention threshold in the Unsafe Driving BASIC will remain the same 
under this proposed change. Moreover, consolidating these OOS 
violations in the Unsafe Driving BASIC will help enforcement and motor 
carriers better identify and correct driver-related safety issues. 
Therefore, FMCSA proposes to move all violations of operating while OOS 
to the Unsafe Driving BASIC.

Changing the Maximum Vehicle Miles Travelled (VMT)

    The Utilization Factor (UF) is an analytical element determined by 
dividing a motor carrier's vehicle miles traveled (VMT) by the number 
of power units (PU) in the carrier's fleet. The UF provides a more 
accurate picture of a carrier's safety and compliance. The UF is used 
in the Unsafe Driving BASIC and Crash Indicator BASIC when a carrier 
has a higher than normal utilization of its vehicles (VMT per PU). The 
UF is currently limited to 200,000 miles. Industry stakeholders noted 
that the current UF is not accurate for some companies with extremely 
high utilization. Data reviewed by FMCSA indicates that 200,000 miles 
may not be the appropriate cap. Therefore, FMCSA is examining allowing 
additional credit to high-utilization carriers to provide a more 
accurate picture of the carriers' crash exposure and unsafe driving 
behaviors.
    FMCSA believes that extending the UF to carriers with VMT per PU up 
to 250,000 miles, from the current level of 200,000, will allow for a 
better measure of exposure for carriers with very high utilization. 
During the preview, carriers will be able to see the individual impacts 
of this change.
    FMCSA expects to begin a preview of the proposed enhancements later 
in 2015. Information on the availability of the preview will be made 
available on the SMS Web site, and the Agency will publish a subsequent 
Federal Register notice. Prior to implementation, motor carriers will 
be able to log in with their Portal account or PINs to view their own 
data and any proposed re-designed formats. The general public will be 
able to access simulated carrier data in order to view the proposed 
enhancements. During the preview period, FMCSA will hold several public 
webinars to provide stakeholders with detailed information about the 
SMS methodology enhancements.

II. Request for Comments

    In advance of the SMS preview, FMCSA requests comments on the above 
enhancements to the SMS. Commenters are requested to provide supporting 
data wherever appropriate.

    Issued on: June 22, 2015.
T.F. Scott Darling, III,
Chief Counsel.
[FR Doc. 2015-15907 Filed 6-26-15; 8:45 am]
 BILLING CODE 4910-EX-P



                                                                                 Federal Register / Vol. 80, No. 124 / Monday, June 29, 2015 / Notices                                             37037

                                                  James E. Campbell                                       for consideration. This set of                         personal information the commenter
                                                  Jeremy L. Elliott                                       enhancements would include changing                    provides, to www.regulations.gov, as
                                                  Edward T. Errrichetto                                   some of the SMS Intervention                           described in the system of records
                                                  Stefano U. Fabbri                                       Thresholds to better reflect the Behavior              notice (DOT/ALL–14 FDMS), which can
                                                  Sebastian Fernandez                                     Analysis and Safety Improvement                        be reviewed at www.dot.gov/privacy.
                                                  Phillp M. Green                                         Categories’ (BASICs) correlation to crash
                                                  Antone J. Heideman, Jr.                                                                                        FOR FURTHER INFORMATION CONTACT:    For
                                                                                                          risk, other changes to the Hazardous
                                                  Eric J. Hidden                                                                                                 information concerning this notice,
                                                                                                          Materials (HM) Compliance BASIC,
                                                  Jared B. Holt                                                                                                  contact Mr. David Yessen, Federal
                                                                                                          reclassifying violations for operating
                                                  Paul E. Irish, Jr.                                                                                             Motor Carrier Safety Administration,
                                                                                                          while out-of-service (OOS) to the Unsafe
                                                  Justin M. Jackson                                                                                              Compliance Division, 1200 New Jersey
                                                                                                          Driving BASIC, and adjustments to the
                                                  Elias Lemus, Jr.                                                                                               Avenue SE., Washington, DC 20590,
                                                                                                          Utilization Factor (UF). FMCSA will
                                                  Thomas J. Manning                                                                                              Telephone 609–275–2606, E-Mail:
                                                                                                          provide a preview of the proposed
                                                  David B. McConnell                                                                                             david.yessen@dot.gov. If you have
                                                                                                          enhancements allowing motor carriers
                                                  Timothy J. Miller                                                                                              questions on viewing or submitting
                                                                                                          to see their own data, enforcement to
                                                  George Moore, Jr.                                                                                              material to the docket, contact Docket
                                                                                                          see the data, and an opportunity for all
                                                  Elpidio Munoz, Jr.                                                                                             Services, telephone (202) 366–9826.
                                                                                                          to comment prior to implementation.
                                                  Nicholas M. O’Rourke                                    DATES: Comments must be received on                    SUPPLEMENTARY INFORMATION:
                                                  William F. Potts                                        or before July 29, 2015.
                                                  Michael L. Rouse                                                                                               I. Background
                                                                                                          ADDRESSES: You may submit comments
                                                  George E. Shores                                                                                               The SMS
                                                                                                          bearing the Federal Docket Management
                                                  Claude G. Stolp
                                                  James R. Taylor                                         System (FDMS) Docket ID FMCSA–                            FMCSA first announced the
                                                  Joseph M. Taylor                                        2015–0149 using any of the following                   implementation of the SMS in the
                                                  Joseph H. Varel                                         methods:                                               Federal Register on April 9, 2010 (75 FR
                                                                                                             • Federal eRulemaking Portal: Go to                 18256) (Docket No. FMCSA–2004–
                                                    Finally, the following five applicants                www.regulations.gov. Follow the on-line
                                                  perform transportation for the federal                                                                         18898). Since December 2010, FMCSA
                                                                                                          instructions for submitting comments.                  and its State partners have used SMS to
                                                  government, state, or any political sub-                   • Mail: Docket Management Facility;
                                                  division of the state.                                                                                         identify and prioritize motor carriers for
                                                                                                          U.S. Department of Transportation, 1200                interventions, including automated
                                                  Bryan A. Jenkins                                        New Jersey Avenue SE., West Building
                                                  Anton M. Maloblocki                                                                                            warning letters and investigations.
                                                                                                          Ground Floor, Room W12–140,                            Additionally, SMS serves as a principal
                                                  Stuart P. Nichols                                       Washington, DC 20590–0001.                             factor in roadside inspection selection
                                                  Lawrence K.W. Smith                                        • Hand Delivery or Courier: West                    software designed to recommend motor
                                                  James A. White, Jr.                                     Building Ground Floor, Room W12–140,                   carriers for inspections. The SMS also
                                                    Issued on: June 22, 2015.                             1200 New Jersey Avenue SE.,                            provides the motor carrier industry,
                                                  Larry W. Minor,                                         Washington, DC, between 9 a.m. and 5                   consumers, and other safety
                                                  Associate Administrator for Policy.                     p.m., ET, Monday through Friday,                       stakeholders with comprehensive safety
                                                  [FR Doc. 2015–15862 Filed 6–26–15; 8:45 am]
                                                                                                          except Federal Holidays.                               performance data for many carriers.
                                                                                                             • Fax: 1–202–493–2251.                              This information is updated monthly.
                                                  BILLING CODE 4910–EX–P
                                                                                                             Each submission must include the
                                                                                                                                                                 SMS is available at the public Web site
                                                                                                          Agency name and the docket number for
                                                                                                                                                                 at http://ai.fmcsa.dot.gov/SMS. FMCSA
                                                  DEPARTMENT OF TRANSPORTATION                            this notice. Note that DOT posts all
                                                                                                                                                                 announced improvements to the SMS in
                                                                                                          comments received without change to
                                                                                                                                                                 March 2012 (77 FR 18298) (Docket No.
                                                  Federal Motor Carrier Safety                            www.regulations.gov, including any
                                                                                                                                                                 FMCSA–2012–0074), August 2012 (77
                                                  Administration                                          personal information included in a
                                                                                                                                                                 FR 52110) (Docket No. FMCSA–2004–
                                                                                                          comment. Please see the Privacy Act
                                                  [Docket No FMCSA–2015–0149]                                                                                    18898), and July 2014 (79 FR 43117)
                                                                                                          heading below.
                                                                                                                                                                 (Docket No. FMCSA–2013–0392). As
                                                                                                             Docket: For access to the docket to
                                                  Proposal for Future Enhancements to                                                                            stated in the March 2012 notice, FMCSA
                                                                                                          read background documents or
                                                  the Safety Measurement System (SMS)                                                                            plans to apply a systematic approach to
                                                                                                          comments, go to www.regulations.gov at
                                                                                                                                                                 making improvements to SMS,
                                                  AGENCY: Federal Motor Carrier Safety                    any time or visit Room W12–140 on the
                                                                                                                                                                 prioritizing, and releasing packages of
                                                  Administration (FMCSA), DOT.                            ground level of the West Building, 1200
                                                                                                                                                                 improvements as needed.
                                                  ACTION: Notice; request for public                      New Jersey Avenue SE., Washington,
                                                                                                          DC, between 9 a.m. and 5 p.m., ET,                        FMCSA convened a Continuous
                                                  comment.
                                                                                                          Monday through Friday, except Federal                  Improvement Working Group (CIWG)
                                                  SUMMARY:   FMCSA provides notice and                    holidays. The on-line FDMS is available                comprised of Federal and State
                                                  seeks comments on proposed                              24 hours each day, 365 days each year.                 Enforcement personnel. This group used
                                                  enhancements to the Agency’s Safety                     If you want acknowledgment that we                     their diverse experiences to identify
                                                  Measurement System (SMS)                                received your comments, please include                 areas of needed improvement with SMS
                                                  methodology. Consistent with its prior                  a self-addressed, stamped envelope or                  and the Compliance, Safety,
                                                                                                                                                                 Accountability interventions process.
mstockstill on DSK4VPTVN1PROD with NOTICES




                                                  announcements, the Agency is                            postcard or print the acknowledgement
                                                  proposing changes to the SMS that are                   page that appears after submitting                     The CIWG recommendations are under
                                                  the direct result of feedback from                      comments on-line.                                      review, and they informed the potential
                                                  stakeholders and the Agency’s ongoing                      Privacy Act: In accordance with 5                   enhancements outlined below.
                                                  continuous improvement efforts. The                     U.S.C. 553(c), DOT solicits comments                   List of Proposed Enhancements
                                                  Agency is considering several changes                   from the public to better inform its
                                                  in this notice and is asking for comment                rulemaking process. DOT posts these                      FMCSA is proposing the following
                                                  on these issues, and other possible areas               comments, without edit, including any                  enhancements:


                                             VerDate Sep<11>2014   17:13 Jun 26, 2015   Jkt 235001   PO 00000   Frm 00077   Fmt 4703   Sfmt 4703   E:\FR\FM\29JNN1.SGM   29JNN1


                                                  37038                                     Federal Register / Vol. 80, No. 124 / Monday, June 29, 2015 / Notices

                                                    1. Changing some of the SMS                                              Proposed Changes to SMS Intervention                                          the Controlled Substances/Alcohol, HM
                                                  Intervention Thresholds to better reflect                                  Thresholds                                                                    Compliance, and Driver Fitness BASICs
                                                  the BASICs’ correlation to crash risk.                                                                                                                   would more effectively prioritize motor
                                                    2. Two changes to the HM                                                   The Agency published its most recent
                                                                                                                                                                                                           carriers.
                                                  Compliance BASIC:                                                          SMS Effectiveness Test at http://
                                                                                                                             csa.fmcsa.dot.gov/Documents/CSMS_                                                As part of the SMS Effectiveness Test
                                                    • Segmenting the HM Compliance                                                                                                                         analysis, FMCSA analyzed the
                                                  BASIC by cargo tank (CT) and non-CT                                        Effectiveness_Test_Final_Report.pdf.
                                                                                                                             After considering the results of this test                                    correlation of each BASIC with crash
                                                  carriers; and                                                                                                                                            risk and introduced three levels of crash
                                                    • Releasing motor carrier percentile                                     and other independent analyses,
                                                                                                                             FMCSA is proposing to make changes to                                         risk correlation:
                                                  rankngs under the HM Compliance
                                                  BASIC to the public.                                                       more closely align intervention                                               • High: Unsafe Driving, Crash Indicator,
                                                    3. Reclassifying violations for                                          thresholds with each BASIC’s                                                    Hours-of-Service (HOS) Compliance
                                                  operating while OOS as under the                                           correlation to crash risk. FMCSA                                              • Medium: Vehicle Maintenance
                                                  Unsafe Driving BASIC, rather than the                                      determined that lowering the Vehicle
                                                                                                                             Maintenance BASIC intervention                                                • Low: Controlled Substances/Alcohol,
                                                  BASIC of the underlying OOS violation.
                                                    4. Increasing the maximum Vehicle                                        threshold to better reflect the                                                 HM Compliance, and Driver Fitness
                                                  Miles Travelled (VMT) used in the UF                                       seriousness of the crash risk associated                                      The following chart illustrates the crash
                                                  to more accurately reflect operations of                                   with vehicle maintenance issues and                                           rates by BASIC, as demonstrated in the
                                                  high-utilization carriers.                                                 raising the intervention thresholds for                                       SMS Effectiveness Test.

                                                                                                                                                                                                                                          % Increase in
                                                                                                                                                                                                                                            crash rate
                                                                                                                                                                                                                  Crash rate
                                                                                                            BASIC over threshold                                                                                                           compared to
                                                                                                                                                                                                                (per 100 PUs)            national average
                                                                                                                                                                                                                                              (3.43)

                                                  Unsafe Driving .....................................................................................................................................                      6.62                        93
                                                  Crash Indicator ....................................................................................................................................                      6.34                        85
                                                  HOS Compliance .................................................................................................................................                          6.26                        83
                                                  Vehicle Maintenance ...........................................................................................................................                           5.65                        65
                                                  Controlled Substances/Alcohol ............................................................................................................                                4.61                        34
                                                  HM Compliance ...................................................................................................................................                         4.49                        31
                                                  Driver Fitness .......................................................................................................................................                    3.11                        ¥9



                                                    After a thorough analysis of this                                        compared those crash rates to the                                             table below, to reflect the differences in
                                                  information and other available studies,                                   national average. Based on that analysis,                                     the crash correlations of each BASIC:
                                                  the Agency analyzed carriers over a                                        the Agency is proposing to adjust the
                                                  variety of intervention thresholds, and                                    intervention thresholds as shown in the

                                                                                                                                                                                                                             Current            Proposed
                                                                                                                                                                                                                          intervention        intervention
                                                                                                                                BASICS                                                                                     thresholds          thresholds
                                                                                                                                                                                                                               (%)                 (%)

                                                  Unsafe Driving Crash Indicator HOS Compliance ..................................................................................................                                   65                  65
                                                  Vehicle Maintenance ...............................................................................................................................................                80                  75
                                                  Controlled Substances/Alcohol HM Compliance Driver Fitness .............................................................................                                           80                  90



                                                    The Agency notes that lowering the                                       interstate carriers that are identified as                                    Proposed HM Compliance BASIC
                                                  Vehicle Maintenance BASIC                                                  at or above intervention threshold in                                         Changes
                                                  intervention threshold will identify a                                     any of the six BASICs (HM is excluded                                            Industry and enforcement
                                                  new set of motor carriers to receive                                       as it is handled in a different analysis).                                    stakeholders raised concerns to FMCSA
                                                  warning letters so that they may address                                   The effectiveness testing, which uses                                         that large non-CT HM carriers have
                                                  non-compliance issues before crashes                                       historical data, showed under the                                             difficulty improving in the HM
                                                  occur. The changes would maintain the                                      current thresholds that 39,454 carriers at                                    Compliance BASIC because they are
                                                  current intervention thresholds of 65%                                     or above intervention thresolds had a                                         being unfairly compared to CT HM
                                                  for the BASICs with the strongest                                          crash rate of 5.12 crashes per 100 Pus                                        carriers. Non-CT HM and CT HM
                                                  relationship to crash risk. While fewer                                    and under the proposed thresholds                                             carriers have different operations and as
                                                  carriers will be identified for                                            41,012 carriers at or above intervention                                      a result they often receive different
                                                  interventions in those BASICs where                                        threshold had a crash rate of 5.49                                            violations. After analyzing the issue
                                                  FMCSA proposes to raise the threshold                                      crashes per 100 PUs. This is a 7%                                             carefully, FMCSA determined that
mstockstill on DSK4VPTVN1PROD with NOTICES




                                                  to 90%, a similar number of carriers will                                                                                                                segmenting the HM Compliance BASIC
                                                                                                                             increase in crash rate. A recent snapshot
                                                  be identified across all BASICs as under                                                                                                                 by CT and non-CT carriers will address
                                                                                                                             of SMS data (Dec 2014) shows that
                                                  the current intervention thresholds. In                                                                                                                  this bias and improve the SMS’s ability
                                                                                                                             2,431 carriers are newly identified while
                                                  addition, under the proposed changes                                                                                                                     to identify HM carriers with serious
                                                  the carriers prioritized for interventions                                 453 are no longer identified with any of
                                                                                                                                                                                                           safety problems.
                                                  will have a higher crash rate than the                                     the six BASICs at or above the                                                   FMCSA studied the feasibility of
                                                  carriers currently prioritized for                                         intervention threshold.                                                       segmenting the HM Compliance BASIC
                                                  interventions. We examined the                                                                                                                           by business type and found that for


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                                                                                             Federal Register / Vol. 80, No. 124 / Monday, June 29, 2015 / Notices                                                                              37039

                                                  most motor carriers that operate CTs,                                       percentage was actually much higher.                                 with segmentation and found that large
                                                  the CTs make up a majority of the                                           Analysis shows that there are a                                      CT carriers would see an increase in
                                                  carrier’s inspections. A carrier was                                        sufficient number of carriers for both                               percentiles, while large non-CT carriers
                                                  categorized as a CT carrier if more than                                    segments in all safety event groups                                  would see a decrease. Small carriers,
                                                  50% of its inspections indicated the                                        (SEGs) for effective assessment. FMCSA                               both CT and non-CT, will not see a
                                                  vehicles were CTs, and for most that                                        reviewed BASIC percentile changes                                    change.

                                                                                                                                  HM CARGO SEGMENTATION IMPACT
                                                                                                                                                                                              Current               New BASIC              New BASIC
                                                                                                    SEG HM inspections                                                                       BASIC %                 non-CT %                CT %

                                                  5–10 .................................................................................................................................                   80    Same ................   Same.
                                                  11–15 ...............................................................................................................................                    80    Same ................   Same.
                                                  16–40 ...............................................................................................................................                    80    Same ................   Same.
                                                  41–100 .............................................................................................................................                     80    71% (¥9%) ......        85% (+5%).
                                                  100+ .................................................................................................................................                   80    62% (¥18%) ....         90% (+10%).



                                                    With these changes, FMCSA is                                              current UF is not accurate for some                                  DEPARTMENT OF TRANSPORTATION
                                                  confident that the data in the HM                                           companies with extremely high
                                                  Compliance BASIC appropriately                                              utilization. Data reviewed by FMCSA                                  Federal Motor Carrier Safety
                                                  reflects the distinct operations of these                                   indicates that 200,000 miles may not be                              Administration
                                                  carriers. As a result, FMCSA proposes to                                    the appropriate cap. Therefore, FMCSA
                                                  make the HM Compliance BASIC                                                is examining allowing additional credit                              [Docket No FMCSA–2013–0298]
                                                  information available to the public.                                        to high-utilization carriers to provide a
                                                                                                                              more accurate picture of the carriers’                               National Implementation of the New
                                                  Violating Out-of-Service Orders                                                                                                                  Entrant Safety Assurance Program’s
                                                                                                                              crash exposure and unsafe driving
                                                     Currently, when a carrier is cited for                                   behaviors.                                                           Off-Site Safety Audit Procedures
                                                  violating an OOS Order, these violations                                       FMCSA believes that extending the
                                                  are associated with the same BASIC as                                                                                                            AGENCY:Federal Motor Carrier Safety
                                                                                                                              UF to carriers with VMT per PU up to                                 Administration (FMCSA), DOT.
                                                  the initial OOS violation. However, the                                     250,000 miles, from the current level of
                                                  behavior of deciding to violate an OOS                                      200,000, will allow for a better measure                             ACTION:      Notice.
                                                  Order is more closely related to a motor                                    of exposure for carriers with very high
                                                  carrier’s or driver’s safety judgment,                                      utilization. During the preview, carriers                            SUMMARY:   FMCSA announces the
                                                  regardless of the underlying OOS                                            will be able to see the individual                                   completion of its New Entrant Safety
                                                  condition.                                                                  impacts of this change.                                              Assurance Program Operational Test
                                                     FMCSA reviewed these violations and                                                                                                           (Operational Test) and the beginning of
                                                  analyzed the potential impact of                                               FMCSA expects to begin a preview of                               the national implementation of the Off-
                                                  reclassifying violations of an OOS Order                                    the proposed enhancements later in                                   site Safety Audit Procedures. The Off-
                                                  to the Unsafe Driving BASIC. The                                            2015. Information on the availability of                             site Safety Audit Procedures allow
                                                  Agency found that the crash rate of                                         the preview will be made available on                                FMCSA, and its Motor Carrier Safety
                                                  carriers at or above the intervention                                       the SMS Web site, and the Agency will                                Assurance Program State partners (State
                                                  threshold in the Unsafe Driving BASIC                                       publish a subsequent Federal Register                                Partners), to complete an off-site audit
                                                  will remain the same under this                                             notice. Prior to implementation, motor                               of an eligible new entrant motor carrier
                                                  proposed change. Moreover,                                                  carriers will be able to log in with their                           whereby the new entrant motor carrier
                                                  consolidating these OOS violations in                                       Portal account or PINs to view their own                             can demonstrate basic safety
                                                  the Unsafe Driving BASIC will help                                          data and any proposed re-designed                                    management controls by submitting
                                                  enforcement and motor carriers better                                       formats. The general public will be able                             compliance documentation to a safety
                                                  identify and correct driver-related safety                                  to access simulated carrier data in order                            auditor via electronic mail (email), fax,
                                                  issues. Therefore, FMCSA proposes to                                        to view the proposed enhancements.                                   or U.S. mail rather than being subject to
                                                  move all violations of operating while                                      During the preview period, FMCSA will                                an on-site safety audit. FMCSA, working
                                                  OOS to the Unsafe Driving BASIC.                                            hold several public webinars to provide                              with its respective State partners,
                                                                                                                              stakeholders with detailed information                               conducted an 18-month Operational
                                                  Changing the Maximum Vehicle Miles                                          about the SMS methodology                                            Test of the Off-Site Safety Audit
                                                  Travelled (VMT)                                                             enhancements.                                                        Procedures on new entrant motor
                                                     The Utilization Factor (UF) is an                                        II. Request for Comments                                             carriers domiciled in the following six
                                                  analytical element determined by                                                                                                                 States: Alaska, California, Florida,
                                                  dividing a motor carrier’s vehicle miles                                      In advance of the SMS preview,                                     Illinois, Montana, and New York; and
                                                  traveled (VMT) by the number of power                                       FMCSA requests comments on the                                       the Canadian Provinces contiguous to
                                                  units (PU) in the carrier’s fleet. The UF                                   above enhancements to the SMS.                                       Montana and New York. The
mstockstill on DSK4VPTVN1PROD with NOTICES




                                                  provides a more accurate picture of a                                       Commenters are requested to provide                                  Operational Test began July 15, 2013,
                                                  carrier’s safety and compliance. The UF                                     supporting data wherever appropriate.                                and concluded on December 31, 2014.
                                                  is used in the Unsafe Driving BASIC and                                       Issued on: June 22, 2015.                                          FMCSA will phase-in the
                                                  Crash Indicator BASIC when a carrier                                                                                                             implementation of the Off-site Safety
                                                                                                                              T.F. Scott Darling, III,
                                                  has a higher than normal utilization of                                                                                                          Audit Procedures on new entrant motor
                                                  its vehicles (VMT per PU). The UF is                                        Chief Counsel.                                                       carriers in other states beginning in the
                                                  currently limited to 200,000 miles.                                         [FR Doc. 2015–15907 Filed 6–26–15; 8:45 am]                          summer of 2015 and continuing over the
                                                  Industry stakeholders noted that the                                        BILLING CODE 4910–EX–P                                               course of 36 months.


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Document Created: 2015-12-15 14:24:27
Document Modified: 2015-12-15 14:24:27
CategoryRegulatory Information
CollectionFederal Register
sudoc ClassAE 2.7:
GS 4.107:
AE 2.106:
PublisherOffice of the Federal Register, National Archives and Records Administration
SectionNotices
ActionNotice; request for public comment.
DatesComments must be received on or before July 29, 2015.
ContactFor information concerning this notice, contact Mr. David Yessen, Federal Motor Carrier Safety Administration, Compliance Division, 1200 New Jersey Avenue SE., Washington, DC 20590, Telephone 609-275-2606, E-Mail: [email protected] If you have questions on viewing or submitting material to the docket, contact Docket Services, telephone (202) 366- 9826.
FR Citation80 FR 37037 

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