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CTBSSP COMMERCIAL TRUCK AND BUS SAFETY SYNTHESIS 22 Sponsored by the Safety Management in Small Federal Motor Carrier Motor Carriers Safety Administration A Synthesis of Safety Practice
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TRANSPORTATION RESEARCH BOARD 2011 EXECUTIVE COMMITTEE* OFFICERS Chair: Neil J. Pedersen, Consultant, Silver Spring, MD Vice Chair: Sandra Rosenbloom, Professor of Planning, University of Arizona, Tucson Executive Director: Robert E. Skinner, Jr., Transportation Research Board MEMBERS J. BARRY BARKER, Executive Director, Transit Authority of River City, Louisville, KY DEBORAH H. BUTLER, Executive Vice President, Planning, and CIO, Norfolk Southern Corporation, Norfolk, VA WILLIAM A.V. CLARK, Professor, Department of Geography, University of California, Los Angeles EUGENE A. CONTI, JR., Secretary of Transportation, North Carolina DOT, Raleigh JAMES M. CRITES, Executive Vice President of Operations, Dallas-Fort Worth International Airport, TX PAULA J. HAMMOND, Secretary, Washington State DOT, Olympia MICHAEL W. HANCOCK, Secretary, Kentucky Transportation Cabinet, Frankfort ADIB K. KANAFANI, Cahill Professor of Civil Engineering, University of California, Berkeley MICHAEL P. LEWIS, Director, Rhode Island DOT, Providence SUSAN MARTINOVICH, Director, Nevada DOT, Carson City JOAN MCDONALD, Commissioner, New York State DOT, Albany MICHAEL R. MORRIS, Director of Transportation, North Central Texas Council of Governments, Arlington TRACY L. ROSSER, Vice President, Regional General Manager, Wal-Mart Stores, Inc., Mandeville, LA STEVEN T. SCALZO, Chief Operating Officer, Marine Resources Group, Seattle, WA HENRY G. (GERRY) SCHWARTZ, JR., Chairman (retired), Jacobs/Sverdrup Civil, Inc., St. Louis, MO BEVERLY A. SCOTT, General Manager and CEO, Metropolitan Atlanta Rapid Transit Authority, Atlanta, GA DAVID SELTZER, Principal, Mercator Advisors LLC, Philadelphia, PA LAWRENCE A. SELZER, President and CEO, The Conservation Fund, Arlington, VA KUMARES C. SINHA, Olson Distinguished Professor of Civil Engineering, Purdue University, West Lafayette, IN THOMAS K. SOREL, Commissioner, Minnesota DOT, St. Paul DANIEL SPERLING, Professor of Civil Engineering and Environmental Science and Policy; Director, Institute of Transportation Studies; and Interim Director, Energy Efficiency Center, University of California, Davis KIRK T. STEUDLE, Director, Michigan DOT, Lansing DOUGLAS W. STOTLAR, President and CEO, Con-Way, Inc., Ann Arbor, MI C. MICHAEL WALTON, Ernest H. Cockrell Centennial Chair in Engineering, University of Texas, Austin EX OFFICIO MEMBERS J. RANDOLPH BABBITT, Administrator, Federal Aviation Administration, U.S.DOT REBECCA M. BREWSTER, President and COO, American Transportation Research Institute, Smyrna, GA ANNE S. FERRO, Administrator, Federal Motor Carrier Safety Administration, U.S.DOT LEROY GISHI, Chief, Division of Transportation, Bureau of Indian Affairs, U.S. Department of the Interior, Washington, DC JOHN T. GRAY, Senior Vice President, Policy and Economics, Association of American Railroads, Washington, DC JOHN C. HORSLEY, Executive Director, American Association of State Highway and Transportation Officials, Washington, DC DAVID T. MATSUDA, Deputy Administrator, Maritime Administration, U.S.DOT MICHAEL P. MELANIPHY, President, American Public Transportation Association, Washington, DC VICTOR M. MENDEZ, Administrator, Federal Highway Administration, U.S.DOT TARA O'TOOLE, Under Secretary for Science and Technology, U.S. Department of Homeland Security, Washington, DC ROBERT J. PAPP (Adm., U.S. Coast Guard), Commandant, U.S. Coast Guard, U.S. Department of Homeland Security, Washington, DC CYNTHIA L. QUARTERMAN, Administrator, Pipeline and Hazardous Materials Safety Administration, U.S.DOT PETER M. ROGOFF, Administrator, Federal Transit Administration, U.S.DOT DAVID L. STRICKLAND, Administrator, National Highway Traffic Safety Administration, U.S.DOT JOSEPH C. SZABO, Administrator, Federal Railroad Administration, U.S.DOT POLLY TROTTENBERG, Assistant Secretary for Transportation Policy, U.S.DOT ROBERT L. VAN ANTWERP (Lt. Gen., U.S. Army), Chief of Engineers and Commanding General, U.S. Army Corps of Engineers, Washington, DC BARRY R. WALLERSTEIN, Executive Officer, South Coast Air Quality Management District, Diamond Bar, CA GREGORY D. WINFREE, Acting Administrator, Research and Innovative Technology Administration, U.S.DOT *Membership as of December 2011.
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COMMERCIAL TRUCK AND BUS SAFETY SYNTHESIS PROGRAM CTBSSP SYNTHESIS 22 Safety Management in Small Motor Carriers A Synthesis of Safety Practice AUTHORS RONALD R. KNIPLING Safety for the Long Haul Arlington, VA AND KENNA C. NELSON University of Minnesota at Morris WITH THE SUPPORT OF : GENE BERGOFFEN MaineWay Services, Inc. Fryeburg, ME AND STEPHEN V. BURKS University of Minnesota at Morris S UBSCRIBER C ATEGORIES Motor Carriers · Safety and Human Factors · Vehicles and Equipment Research Sponsored by the Federal Motor Carrier Safety Administration TRANSPORTATION RESEARCH BOARD WASHINGTON, D.C. 2011 www.TRB.org
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COMMERCIAL TRUCK AND BUS SAFETY CTBSSP SYNTHESIS 22 SYNTHESIS PROGRAM Safety is a principal focus of government agencies and private-sector orga- Project MC-25 nizations concerned with transportation. The Federal Motor Carrier Safety ISSN 1544-6808 Administration (FMCSA) was established within the Department of Trans- ISBN: 978-0-309-22340-9 portation on January 1, 2000, pursuant to the Motor Carrier Safety Improve- Library of Congress Control Number 2011941917 ment Act of 1999. Formerly a part of the Federal Highway Administration, the FMCSA's primary mission is to prevent commercial motor vehicle- © 2011 National Academy of Sciences. All rights reserved. related fatalities and injuries. Administration activities contribute to ensuring safety in motor carrier operations through strong enforcement of safety reg- ulations, targeting high-risk carriers and commercial motor vehicle drivers; COPYRIGHT INFORMATION improving safety information systems and commercial motor vehicle tech- nologies; strengthening commercial motor vehicle equipment and operating Authors herein are responsible for the authenticity of their materials and for standards; and increasing safety awareness. To accomplish these activities, obtaining written permissions from publishers or persons who own the the Administration works with federal, state, and local enforcement agencies, copyright to any previously published or copyrighted material used herein. the motor carrier industry, labor, safety interest groups, and others. In addi- Cooperative Research Programs (CRP) grants permission to reproduce tion to safety, security-related issues are also receiving significant attention in light of the terrorist events of September 11, 2001. material in this publication for classroom and not-for-profit purposes. Administrators, commercial truck and bus carriers, government regulators, Permission is given with the understanding that none of the material will be and researchers often face problems for which information already exists, used to imply TRB, AASHTO, FAA, FHWA, FMCSA, FTA, or Transit either in documented form or as undocumented experience and practice. This Development Corporation endorsement of a particular product, method, or information may be fragmented, scattered, and underevaluated. As a conse- practice. It is expected that those reproducing the material in this document quence, full knowledge of what has been learned about a problem may not be for educational and not-for-profit uses will give appropriate acknowledgment brought to bear on its solution. Costly research findings may go unused, valu- of the source of any reprinted or reproduced material. For other uses of the able experience may be overlooked, and due consideration may not be given material, request permission from CRP. to recommended practices for solving or alleviating the problem. There is information available on nearly every subject of concern to com- mercial truck and bus safety. Much of it derives from research or from the work of practitioners faced with problems in their day-to-day work. To pro- NOTICE vide a systematic means for assembling and evaluating such useful informa- tion and to make it available to the commercial truck and bus industry, the The project that is the subject of this report was a part of the Commercial Commercial Truck and Bus Safety Synthesis Program (CTBSSP) was estab- Truck and Bus Safety Synthesis Program conducted by the Transportation lished by the FMCSA to undertake a series of studies to search out and syn- Research Board with the approval of the Governing Board of the National thesize useful knowledge from all available sources and to prepare docu- Research Council. Such approval reflects the Governing Board's judgment mented reports on current practices in the subject areas of concern. Reports that the program concerned is appropriate with respect to both the purposes from this endeavor constitute the CTBSSP Synthesis series, which collects and resources of the National Research Council. and assembles the various forms of information into single concise documents pertaining to specific commercial truck and bus safety problems or sets of The members of the technical committee selected to monitor this project closely related problems. and to review this report were chosen for recognized scholarly competence The CTBSSP, administered by the Transportation Research Board, began and with due consideration for the balance of disciplines appropriate to the in early 2002 in support of the FMCSA's safety research programs. The pro- project. The opinions and conclusions expressed or implied are those of the gram initiates three to four synthesis studies annually that address concerns research agency that performed the research, and, while they have been in the area of commercial truck and bus safety. A synthesis report is a docu- accepted as appropriate by the technical panel, they are not necessarily those ment that summarizes existing practice in a specific technical area based typ- of the Transportation Research Board, the National Research Council, or the ically on a literature search and a survey of relevant organizations (e.g., state Federal Motor Carrier Safety Administration of the U.S. Department of DOTs, enforcement agencies, commercial truck and bus companies, or other organizations appropriate for the specific topic). The primary users of the syn- Transportation. theses are practitioners who work on issues or problems using diverse Each report is reviewed and accepted for publication by the technical panel approaches in their individual settings. The program is modeled after the suc- according to procedures established and monitored by the Transportation cessful synthesis programs currently operated as part of the National Coop- Research Board Executive Committee and the Governing Board of the erative Highway Research Program (NCHRP) and the Transit Cooperative National Research Council. Research Program (TCRP). The Transportation Research Board, the National Research Council, and the This synthesis series reports on various practices, making recommendations Federal Motor Carrier Safety Administration (sponsor of the Commercial where appropriate. Each document is a compendium of the best knowledge Truck and Bus Safety Synthesis Program) do not endorse products or available on measures found to be successful in resolving specific problems. manufacturers. Trade or manufacturers' names appear herein solely because To develop these syntheses in a comprehensive manner and to ensure inclu- sion of significant knowledge, available information assembled from numer- they are considered essential to the clarity and completeness of the project ous sources, including a large number of relevant organizations, is analyzed. reporting. For each topic, the project objectives are (1) to locate and assemble docu- mented information (2) to learn what practice has been used for solving or alleviating problems; (3) to identify all ongoing research; (4) to learn what problems remain largely unsolved; and (5) to organize, evaluate, and docu- ment the useful information that is acquired. Each synthesis is an immediately useful document that records practices that were acceptable within the limi- tations of the knowledge available at the time of its preparation. Published reports of the The CTBSSP is governed by a Program Oversight Panel consisting of indi- viduals knowledgeable in the area of commercial truck and bus safety from a COMMERCIAL TRUCK AND BUS SAFETY number of perspectives--commercial truck and bus carriers, key industry trade SYNTHESIS PROGRAM associations, state regulatory agencies, safety organizations, academia, and related federal agencies. Major responsibilities of the panel are to (1) provide are available from: general oversight of the CTBSSP and its procedures, (2) annually select syn- Transportation Research Board thesis topics, (3) refine synthesis scopes, (4) select researchers to prepare each Business Office synthesis, (5) review products, and (6) make publication recommendations. 500 Fifth Street, NW Each year, potential synthesis topics are solicited through a broad indus- Washington, DC 20001 try-wide process. Based on the topics received, the Program Oversight Panel selects new synthesis topics based on the level of funding provided by the and can be ordered through the Internet at: FMCSA. In late 2002, the Program Oversight Panel selected two task-order http://www.national-academies.org/trb/bookstore contractor teams through a competitive process to conduct syntheses for Fis- cal Years 2003 through 2005. Printed in the United States of America
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The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished schol- ars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. On the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and techni- cal matters. Dr. Ralph J. Cicerone is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Acad- emy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achieve- ments of engineers. Dr. Charles M. Vest is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, on its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academys í p urposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Acad- emy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. Charles M. Vest are chair and vice chair, respectively, of the National Research Council. The Transportation Research Board is one of six major divisions of the National Research Council. The mission of the Transportation Research Board is to provide leadership in transportation innovation and progress through research and information exchange, conducted within a setting that is objective, interdisci- plinary, and multimodal. The Board's varied activities annually engage about 7,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. The program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transporta- tion, and other organizations and individuals interested in the development of transportation. www.TRB.org www.national-academies.org
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CTBSSP OVERSIGHT COMMITTEE SYNTHESIS STUDIES STAFF STEPHEN R. GODWIN, Director for Studies and Special Programs CHAIR JON M. WILLIAMS, Program Director, IDEA and Synthesis Studies NORM LITTLER, American Bus Association, Washington, DC JO ALLEN GAUSE, Senior Program Officer GAIL R. STABA, Senior Program Officer MEMBERS DONNA L. VLASAK, Senior Program Officer LAMONT BYRD, International Brotherhood of Teamsters, TANYA M. ZWAHLEN, Consultant Washington, DC DON TIPPMAN, Senior Editor B. SCOTT CLAFFEY, Great West Casualty Company, Bloomington, ID CHERYL KEITH, Senior Program Assistant CHRISTOPHER CREAN, Peter Pan Bus Lines, Inc., Springfield, MA DEMISHA WILLIAMS, Senior Program Assistant ALESSANDRO "ALEX" GUARIENTO, MV Transportation, Inc., DEBBIE IRVIN, Program Associate Plano, TX STEPHEN A. KEPLER, Commercial Vehicle Safety Alliance, Greenbelt, MD BRENDA LANTZ, North Dakota State University, Fargo, ND DEAN NEWELL, Maverick Transportation LLC, N. Little Rock, AR DAVID OSIECKI, American Trucking Associations, Alexandria, VA E. JAN SKOUBY, Missouri Department of Transportation, Jefferson City, MO TOM WEAKLEY, OwnerOperator Independent Drivers Association Foundations, Grain Valley, MO GREER WOODRUFF, J. B. Hunt Transport, Inc., Lowell, AR CHRISTOPHER ZEILINGER, Community Transport Association of America, Washington, DC FMCSA LIAISON ALBERT ALVAREZ MARTIN WALKER FHWA LIAISON EWA FLOM JOHN C. NICHOLAS APTA LIAISON GREG HULL AASHTO LIAISON LEO PENNE TRB LIAISON CHARLES W. NIESSNER RICHARD PAIN ACKNOWLEDGMENTS Many individuals and organizations contributed to this research member participation in the online survey. This project would not have project. Fundamental information was provided by the survey been possible without the active support of these organizations: respondents, both carrier safety managers and other experts. Ten carrier · American Bus Association (ABA) ownersmanagers also participated in interviews regarding their carrier's · Bus Industry Safety Council (BISC) priority safety problems and safety management methods. Because the · National Association of Small Trucking Companies (NASTC) surveys and interviews were anonymous, participants cannot be identi- · OwnerOperators Independent Drivers Association (OOIDA) fied and thanked individually. The project team and TRB are grateful to · United Motorcoach Association (UMA). all respondents for taking the time to provide information and expert Other organizations providing information on ongoing or recent judgments to support the project. research or other programs included: The University of Minnesota, Morris, under the supervision of Dr. · American Transportation Research Institute (ATRI) Stephen V. Burks, Associate Professor of Economics and Management, · American Trucking Associations (ATA) supported the project literature review, other information gathering, and · Federal Motor Carrier Safety Administration (FMCSA) manuscript development. MaineWay Services, Inc., was the prime · TRB Committee on Truck and Bus Safety Research (ANB70) contractor. · TRB Committee on Trucking Industry Research (AT060) The project team is grateful to five commercial motor vehicle indus- · Volpe National Transportation Systems Center. try associations that supported the safety manager survey by soliciting
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FOREWORD Administrators, commercial truck and bus carriers, government regulators, and researchers often face problems for which information already exists, either in documented form or as undocumented experience and practice. This information may be fragmented, scattered, and underevaluated. As a consequence, full knowledge of what has been learned about a prob- lem may not be brought to bear on its solution. Costly research findings may go unused, valuable experience may be overlooked, and due consideration may not be given to recom- mended practices for solving or alleviating the problem. There is information available on nearly every subject of concern to commercial truck and bus safety. Much of it derives from research or from the work of practitioners faced with problems in their day-to-day jobs. To provide a systematic means for assembling and evaluating such useful information and to make it available to the commercial truck and bus industry, the Commercial Truck and Bus Safety Synthesis Program (CTBSSP) was established by the Federal Motor Carrier Safety Administration (FMCSA) to undertake a series of studies to search out and synthesize useful knowledge from all available sources and to prepare documented reports on current practices in the subject areas of concern. Reports from this endeavor constitute the CTBSSP Synthesis series, which collects and assembles information into single concise documents pertaining to specific commercial truck and bus safety problems. The CTBSSP, administered by the Transportation Research Board, was authorized in late 2001 and began in 2002 in support of the FMCSA's safety research programs. The program initiates several synthesis studies annually that address issues in the area of commercial truck and bus safety. A synthesis report is a document that summarizes existing practice in a specific technical area based typically on a literature search and a survey of relevant orga- nizations (e.g., state DOTs, enforcement agencies, commercial truck and bus companies, or other organizations appropriate for the specific topic). The primary users of the syntheses are practitioners who work on issues or problems using diverse approaches in their individ- ual settings. This synthesis series reports on various practices; each document is a compendium of the best knowledge available on measures found to be successful in resolving specific problems. To develop these syntheses in a comprehensive manner and to ensure inclu- sion of significant knowledge, available information assembled from numerous sources is analyzed. For each topic, the project objectives are (1) to locate and assemble documented information; (2) to learn what practices have been used for solving or alleviating prob- lems; (3) to identify relevant, ongoing research; (4) to learn what problems remain largely unsolved; and (5) to organize, evaluate, and document the useful information that is acquired. Each synthesis is an immediately useful document that records practices that were acceptable within the limitations of the knowledge available at the time of its preparation. PREFACE The goals of this synthesis were to identify (1) useful practices for safety management By Donna L. Vlasak in small companies and (2) a logical and practical progression to more active and compre- Senior Program Officer hensive safety management for small companies as they grow. The report explores small Transportation motor carrier strengths and weaknesses and identifies potentially effective safety practices. Research Board It found that each company's safety outcomes are more reflective of its own safety practice and operating environment than whether it is large or small. The audience for this study includes small motor managers, as well as government and industry officials. This report reviewed research on motor carrier safety, safety management, and orga- nizational management, in general. Literature review searches were performed using websites, academic databases, books, trade press publications, and articles. In addition, members and friends of TRB Truck and Bus Safety and Trucking Industry Research
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Committees, FMCSA Analysis Division, and the U.S.DOT Volpe National Transporta- tion Systems Center provided materials. The project survey of five truck and bus industry trade associations' members was a con- venience sample of individuals judged qualitatively to best represent the target population and whose support was critical to the success and validity of the work. Organizations included the American Bus Association (ABA), Bus Industry Safety Council (BISC), National Asso- ciation of Small Trucking Companies (NASTC), OwnerOperator Independent Drivers Association (OOIDA), and the United Motorcoach Association (UMA). These survey respondent groups (112--79 truck and 33 bus) of interested, knowledgeable individuals provided indications of industry thinking from different perspectives. A select group of ten small motor carriers' were interviewed for confidential case studies on safety management problems and practices. These ten provided substantial information on innovative small carrier safety practices. Ronald R. Knipling, Safety for the Long Haul, Arlington, Virginia, and Kenna C. Nelson, University of Minnesota at Morris, with the support of Gene Bergoffen, MaineWay Ser- vices, Inc., Fryeburg, Maine, and Stephen V. Burks, University of Minnesota at Morris, col- lected and synthesized the information and wrote the report. The Commercial Truck and Bus Safety Synthesis Program Oversight Committee members are acknowledged on the preceding page. This synthesis is an immediately useful document that records the practices that were acceptable within the limitations of the knowledge available at the time of its preparation. As progress in research and practice continues, new knowledge will be added to that now at hand.
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CONTENTS 1 SUMMARY 3 CHAPTER ONE INTRODUCTION Background, 3 Methodology and Major Sources, 4 Disclaimers, 5 6 CHAPTER TWO SURVEY METHODS AND RESULTS Survey Method, 6 Survey Results, 8 17 CHAPTER THREE CASE STUDIES Trucking Companies, 17 Bus Companies, 29 33 CHAPTER FOUR EVIDENCE REVIEW Business, Operational, and Safety Management in Small Companies, 33 Small Carrier Violation and Crash Rates, 38 Vehicle Equipment and Maintenance, 41 Operational Planning and Risk Avoidance, 43 Driver Hiring, 45 Driver Orientation, Training, and Communications, 48 Driver Supervision, 51 Crash and Incident Investigation, 55 Carrier Performance Tracking and Benchmarking, 56 Management Development, 57 Systematic Approaches to Motor Carrier Safety Management, 59 65 CHAPTER FIVE CONCLUSIONS AND FURTHER RESEARCH Study Survey Findings, 65 Small Carrier Safety Performance, Advantages, and Disadvantages, 66 Improving Small Carrier Safety Management, 68 Research and Development Needs, 71 73 REFERENCES 77 ACRONYMS 78 GLOSSARY 79 APPENDIX A SURVEY FORM TEXT Note: Many of the photographs, figures, and tables in this report have been converted from color to grayscale for printing. The electronic version of the report (posted on the Web at www.trb.org) retains the color versions.