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Full SMS Methodology Let it be know to all Drivers this NEW FMCSA Mandate is going to happen. Please read very carefully this interview we did with a carrier that is in one of the test states already under the CSA 2010.

4.DSMS Methodology Glossary of Acronyms

The following sections describe the algorithms used in the DSMS methodology and the computational logic used to calculate the driver measures and percentiles for each BASIC and the Crash Indicator for individual CMV drivers. BASICs that are evaluated similarly are described together.

• Unsafe Driving BASIC and Controlled Substances and Alcohol BASIC
• Fatigued Driving BASIC and Driver Fitness BASIC
• Vehicle Maintenance BASIC and Improper Loading/Cargo Securement
• BASIC Crash Indicator

 4.1 Unsafe Driving BASIC and Controlled Substances and Alcohol BASIC Assessment

This section describes the measurement of the Unsafe Driving BASIC and the Controlled Substances and Alcohol BASIC. The definition of each BASIC is as follows:

• Unsafe Driving BASIC – Operation of CMVs in a dangerous or careless manner. Example violations: speeding, reckless driving, improper lane change, and inattention.
• Controlled Substances and Alcohol BASIC – Operation of CMVs by drivers who are impaired due to alcohol, illegal drugs, and misuse of prescription or over-the-counter medications. Example violations: use or possession of controlled substances or alcohol.

The DSMS assesses both the Unsafe Driving BASIC and Controlled Substances and Alcohol BASIC by using relevant violations recorded during roadside inspections to calculate a measure in each BASIC for individual drivers. These measures are used to generate percentile ranks that reflect drivers’ safety postures relative to their peers.

4.1.1 Calculation of BASIC Measure

The BASIC measures for the Unsafe Driving and Controlled Substances and Alcohol BASICs are calculated as the sum of severity and time weighted applicable violations as follows:

BASIC Measure= Total of time and severity weighted violation applications

Where: Applicable Violation is defined as any violation recorded in any level roadside inspection that matches the FMCSR and HMR cites listed for Unsafe Driving (Table 1 in Appendix A) and Controlled Substances and Alcohol (Table 2 in Appendix A) during the past 36 months, and for which the CMV driver can be held responsible (‘Driver Responsible’ column in Table 1 and 2). In cases of multiple counts of the same violation, the DSMS only uses each violation cite once per inspection.

A Severity Weight from 1 (less severe) to 10 (most severe) is assigned to each applicable violation. See the Unsafe Driving Table (Table 1 in Appendix A) and the Controlled Substance and Alcohol Table (Table 2 in Appendix A) for the corresponding severity weights of each violation cite. The severity weighting of each violation cite accounts for the level of crash risk relative to the other violation cites used in the BASIC measurement. The sum of all violation severity weights from any one inspection is capped at a maximum of 30.

A Time Weight of 1, 2 or 3 is assigned to each applicable violation based on how long ago a violation on the inspection was recorded. Violations recorded in the past 12 months receive a time weight of 3. Violations recorded between 12 and 24 months ago receive a time weight of 2. All violations recorded earlier (older than 24 months but within the past 36 months) receive a time weight of 1.

This time weighting places more emphasis on recent violations relative to older violations.

Time and Severity Weighted Violation is a violation’s severity weight multiplied by its time weight.

4.1.2 Calculation of BASIC Percentile Rank

Based on the BASIC measures, the DSMS applies data sufficiency standards to assign a percentile rank to drivers that can then potentially be subjected to a CSA 2010 intervention. The calculation is as follows:

• A. Determine the total number of inspections with at least one BASIC violation. Remove drivers with no BASIC violations.
• B. Rank all the drivers’ BASIC measures in ascending order. Transform the ranked values into percentiles from 0 (representing the lowest BASIC measure) to 100 (representing the highest BASIC measure). Then, assign the percentile values for that BASIC to each driver. 

4.2 Fatigued Driving BASIC and Driver Fitness BASIC Assessment

This section describes the measurement of the Fatigued Driving BASIC and the Driver Fitness BASIC. The definition of each BASIC is as follows:

Fatigued Driving BASIC – Operation of CMVs by drivers ill, fatigued, or in non-compliance with the hours-of-service (HOS) regulations. This BASIC includes violations of regulations surrounding the complete and accurate recording of logbooks as they relate to HOS requirements and the management of CMV driver fatigue. Instances related to the Fatigued Driving

• BASIC are distinguished from incidents where unconsciousness or an inability to react is brought about by the use of alcohol, drugs, or other controlled substances. Example violations include: HOS, logbook, and operating a CMV while ill or fatigued.
• Driver Fitness BASIC – Operation of CMVs by drivers who are unfit to operate a CMV due to lack of training, experience, or medical qualifications. Example violations: failure to have a valid and appropriate commercial driver’s license and being medically unqualified to operate a CMV.

The DSMS assesses both the Fatigued Driving BASIC and Driver Fitness BASIC using relevant violations recorded during roadside inspections to calculate a measure in each BASIC for individual drivers. These measures are used to generate percentile ranks that reflect drivers’ safety postures relative to their peers.

4.2.1 Calculation of BASIC Measure

The equation used for calculating the BASIC measure for Fatigued Driving and Driver Fitness is as follows:

Basic Measure= Total of time and severity weighted applicable violations
                           Number of time weighted relevant inspections Average

Where: Applicable Violation is defined as any violation recorded in any level roadside inspection that matches the FMCSR and HMR cites listed for Fatigued Driving (Table 3 in Appendix A) and Driver Fitness (Table 4 in Appendix A) during the past 36 months, and for which the CMV driver can be held responsible (‘Driver Responsible’ column in Table 3 and 4). In cases of multiple counts of the same violation, the DSMS only uses each violation cite once per inspection.

A Relevant Inspection is any Driver Inspection (Level 1, 2, 3 or 6) or any other inspection resulting in applicable BASIC violation.

A Severity Weight is assigned to each applicable violation, with a value dependent on two parts: (i) the level of crash risk relative to the other violation cites used in the BASIC measurement, and (ii) whether or not the violation resulted in an OOS condition. The level of crash risk is assigned to each applicable violation ranging from 1 (less severe) to 10 (most severe); see the Fatigued Driving Table (Table 3 in Appendix A) and the Driver Fitness Table (Table 4 in Appendix A) for the corresponding severity weights of each violation cite. An OOS weight of 2 is then added to the level of crash risk for OOS violations. In cases of multiple counts of the same violation, if any of the counts of the violation are OOS the OOS weight of 2 applies. The sum of all violation severity weights from any one inspection is capped at a maximum of 30.

A Time Weight of 1, 2 or 3 is assigned to each applicable violation and each relevant inspection based on its age. Violations recorded in the past 12 months receive a time weight of 3. Violations recorded between 12 and 24 months ago receive a time weight of 2. All violations recorded earlier (older than 24 months but within the past 36 months) receive a time weight of 1. Using the exact same time weight scheme, time weights are assigned to each relevant inspection, including relevant “clean” inspections, which had no applicable violations. This time weighting places more emphasis on results of recent inspections relative to older inspections.

Time and Severity Weighted Violation is a violation’s severity weight multiplied by its time weight.

4.2.2 Calculation of BASIC Percentile Rank

Based on the BASIC measures, the DSMS applies data sufficiency standards to assign a percentile rank to drivers that can then potentially be subjected to a CSA 2010 intervention. The calculation is as follows:

• A. Determine the total number of relevant inspections and number of inspections with at least one BASIC violation. Remove drivers with (1) less than three relevant inspections or (2) no inspections resulting in at least one BASIC violation. For the remaining drivers, place each driver into one of three groups based on the number of relevant inspections:

Table 4-1. Peer Group Categories for Fatigued Driving and Driver Fitness BASICs

• B.Within each group, rank all the drivers’ BASIC measures in ascending order. Transform the ranked values into percentiles from 0 (representing the lowest BASIC measure) to 100 (representing the highest BASIC measure).

4.3 Vehicle Maintenance BASIC and Improper Loading/Cargo Securement BASIC Assessment

This section describes the measurement of the Vehicle Maintenance BASIC and the Improper Loading/Cargo Securement BASIC. The definition of each BASIC is as follows:

• Vehicle Maintenance BASIC – Operating a CMV while failing to conduct proper and adequate maintenance. Example violations: brakes, lights, and other mechanical defects, and failure to make required repairs that would be found in a pre-trip inspection.
• Improper Loading/Cargo Securement BASIC – Operating a CMV while failing to adequately prevent shifting loads, spilled or dropped cargo, and unsafe handling of hazardous materials. Example violations: improper load securement, cargo retention, and hazardous material handling.

The DSMS assesses both the Vehicle Maintenance BASIC and the Improper Loading/Cargo Securement BASIC using relevant violations recorded during roadside inspections to calculate a measure in each BASIC for individual drivers. These measures are used to generate percentile ranks that reflect drivers’ safety postures relative to their peers.

4.3.1 Calculation of BASIC Measure

The equation used for calculating the BASIC measure for Vehicle Maintenance as well as Improper Loading/Cargo Securement is as follows:

Basic Measure= Total of time and severity weighted applicable violations
                           Number of time weighted relevant inspections Average

Where: Applicable Violation is as any violation recorded in any level roadside inspection that matches the FMCSR and HMR cites listed for Vehicle Maintenance (Table 5, Appendix A) and Improper Loading/Cargo Securement (Table 6 in Appendix A) during the past 36 months, and for which the CMV driver can be held responsible (‘Driver Responsible’ column in Table 5 and 6). In cases of multiple counts of the same violation, the DSMS only uses each violation cite once per inspection.

A Relevant Inspection is any Vehicle Inspection (Level 1, 2 or 6) or any other inspection resulting in applicable BASIC violation.

A Severity Weight is assigned to each applicable violation with a value dependent on two parts: (i) the level of crash risk relative to the other violation cites used in the BASIC measurement, and (ii) whether or not the violation resulted in an OOS condition. The level of crash risk is assigned to each applicable violation ranging from 1 (less severe) to 10 (most severe); see the Vehicle Maintenance Table (Table 5 in Appendix A) and the Improper Loading/Cargo Securement (Table 6 in Appendix A) for the corresponding severity weights of each violation cite. An OOS weight of 2 is then added to the level of crash risk for OOS violations. In cases of multiple counts of the same violation, if any of the counts of the violation are OOS the OOS weight of 2 applies. The sum of all violation severity weights from any one inspection is capped at a maximum of 30.

A Time Weight of 1, 2 or 3 is assigned to each applicable violation and each relevant inspection based on its age. Violations recorded in the past 12 months receive a time weight of 3. Violations recorded between 12 and 24 months ago receive a time weight of 2. All violations recorded earlier (older than 24 months but within the past 36 months) receive a time weight of 1. Using the exact same time weight scheme, time weights are assigned to each relevant inspection, including relevant “clean” inspections, which had no applicable violations. This time weighting places more emphasis on results of recent inspections relative to older inspections.

Time and Severity Weighted Violation is a violation’s severity weight multiplied by its time weight.

4.3.2 Calculation of BASIC Percentile Rank

Based on the BASIC measures, the DSMS applies data sufficiency standards to assign a percentile rank to drivers that can then potentially be subjected to a CSA 2010 intervention. The calculation is as follows:

• A. Determine the total number of relevant vehicle inspections and the number of inspections with at least one BASIC violation. Remove drivers with (1) less than three relevant inspections or (2) no inspections resulting in at least one BASIC violation. For the remaining drivers, place each driver into one of three groups based on the number of relevant inspections:

Table 4-2. Peer Group Categories for Vehicle Maintenance and Improper Loading/Cargo Securement BASICs

• B. Within each group, rank all the drivers’ BASIC measures in ascending order. Transform the ranked values into percentiles from 0 (representing the lowest BASIC measure) to 100 (representing the highest BASIC measure).

4.4 Crash Indicator Assessment

This section describes the measurement of the Crash Indicator. The definition of the Crash Indicator is as follows:

• Crash Indicator—Histories or patterns of high crash involvement, including frequency and severity, based on information from state-reported crash reports.

Although the BASICs are used to measure an entity’s behaviors, the crash history utilized by the Crash Indicator is not specifically a behavior; rather, it is the consequence of behavior and may indicate a problem with the entity that warrants intervention.

The DSMS assesses the Crash Indicator using relevant state-reported crash data to calculate a measure of the indicator for individual drivers. This measure is used to generate percentile ranks that reflect drivers’ crash postures relative to their peers.

4.4.1 Calculation of Crash Indicator Measure

The equation used for calculating the Crash Indicator measure is as follows:

Crash Indicator Measure= Total of time and severity weighted applicable crashes

Where: Applicable Crash is based on crash reports provided by the states for each crash that meets the reportable crash standard during the past 36 months. A reportable crash involves a vehicle being towed from the scene, or an injury or fatality.

Crash Severity Weight places more weight on crashes with more severe consequences. For example, a crash involving an injury or fatality is weighted more heavily than a crash where only a tow-away occurred. A hazmat release also increases the weighting of a crash, as shown in Table 4-3.

Table 4-3. Crash Severity Weights for Crash Indicator

A Time Weight of 1, 2 or 3 is assigned to each applicable crash based on the time elapsed since it occurred. Crashes that occurred in the past 12 months receive a time weight of 3. Crashes that occurred between 12 and 24 months ago receive a time weight of 2. All crashes that happened later (older than 24 months but within the past 36 months) receive a time weight of 1. This time weighting places more emphasis on recent crashes relative to older crashes.

Time and Severity Weighted Crash is a crash’s severity weight multiplied by its time weight.

4.4.2 Calculation of Crash Indicator Percentile Rank

Based on the Crash Indicator measures, the DSMS applies data sufficiency standards and assigns a percentile rank to drivers who then can potentially receive a CSA 2010 intervention. The calculation is as follows:

• A. Identify drivers with at least one applicable crash.
• B. Rank all the drivers’ Crash Indicator measures in ascending order. Transform the ranked values into percentiles from 0 (representing the lowest indicator measure) to 100 (representing the highest indicator measure). Then, assign the percentile values to each driver.