alternative strategies the agency could pursue to address outstanding national transportation safety...

Alternative Strategies the Agency Could Pursue to Address

Outstanding National Transportation Safety Board (NTSB)

Recommendations Classified as

“Open-Unacceptable”

May 21, 2012

Strategic Planning and Evaluation Division (MC-PRS), Office of Policy, FMCSA

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Established in 1967, the National Transportation Safety Board (NTSB) is an independent Federal agency charged by Congress with investigating every civil aviation accident in the United States, significant accidents in other modes of transportation (railroad, highway, marine, and pipeline), and issuing safety recommendations aimed at preventing future accidents.

The Board investigates approximately 2,000 aviation accidents and incidents a year and approximately 500 accidents in the other transportation modes. To date, the NTSB has issued more than 13,000 safety recommendations to more than 2,500 recipients.

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NTSB’s Board MembersThe NTSB has five Board Members, each nominated by the President and confirmed by

the Senate to serve 5-year terms. A Member is designated by the President as Chairman and another as Vice Chairman for 2-year terms.

Honorable Deborah A. P. Honorable Christopher A. Honorable Robert L. Honorable Mark R. Rosekind, Honorable Earl F. Weener, Hersman, Chairman Hart, Vice Chairman Sumwalt, Member PhD, Member PhD, Member

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NTSB’s Role in Highway Safety

Independent Federal Agency

5 Member Board• President Appoints• Senate Confirms

Investigates accidents in all modes of transportation

Determines probable cause

Issues recommendations

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Addressing NTSB’s Recommendations

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Role of Audit LiaisonGUIDELINES

DOT 2000 1.D: Department of Transportation Procedures for Handling National Transportation Safety Board Recommendations

The Federal Motor Carrier Safety Administration (FMCSA) Directive 2920.1

KEY LIAISON ACTIVITIES

Respond to questions during NTSB investigations

Attend the Board meetings

Coordinate subject matter point of contact

Coordinate initial response letter (90-day deadline)

Informally communicate items of interest to NTSB staff

Contribute to DOT annual and biennial reports

Contribute to quarterly reviews with Deputy Secretary during Regulatory Review meetings

Coordinate follow-up response letters/request for closure of recommendation

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Responding to NTSB Safety Recommendations

Is the SR correctly addressed to FMCSA?

Would the SR be better addressed by FMCSA’s existing/proposed regulations?

Would the SR be better addressed by FMCSA’s ongoing/planned activities?

Is implementation of the SR supported by comprehensive data?

Does FMCSA have statutory authority to implement the SR?

Will implementation of the SR require a rulemaking action?

Is implementation of the SR consistent with FMCSA mandates?

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MCSAC Task 12-02: Objectives

The MCSAC will hear presentations and deliberate on Task12–02, soliciting ideas, concepts, and suggestions for alternative strategies the Agency could pursue to address certain NTSB recommendations that are classified as ‘‘Open-Unacceptable.’’

Specifically, the Agency will focus its efforts and seek strategies to address 11 such recommendations, which relate to such issues as measuring tire pressure, inspection procedures for drivers and carriers, and ensuring that vehicles operated by motor carriers comply with the Federal Motor Vehicle Safety Standards (FMVSS) in effect on the date the vehicle was manufactured. These recommendations are as follows:

H-05-003 through H-05-005; H-08-013; H-09-019 and H-09-020; and H-09-037 through H-09-041.

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Motorcoach Run-Off-The-Road AccidentTallulah, LouisianaOctober 13, 2003

On October 13, 2003, a 49-passenger motorcoach carrying 14 passengers, drifted rightward from the travel lanes and onto the shoulder, where it struck the rear of a tractor semitrailer which was stopped on the shoulder. Eight motorcoach passengers sustained fatal injuries, the motorcoach driver and six passengers received serious injuries, and the tractor semitrailer driver was not injured.

The safety issues identified in this accident are:

Driver fatigue;

Adequacy of State and Federal oversight of motor carriers;

Identification and appropriate use of speed-restricted tires on motorcoaches;

Criteria for State and Federal annual inspections of motorcoach passenger seating anchorage points; and

Performance standards for motorcoach passenger seating anchorages.

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Safety Recommendation H-05-003Motorcoach Run-Off-The-Road Accident

Tallulah, LouisianaOctober 13, 2003

RECOMMENDATION: Revise the Federal Motor Carrier Safety Regulations Appendix G to Subchapter B, Minimum Periodic Inspection Standards, Part 10: Tires, Sections A(5) and B(7), to include inspection criteria

and specific language to address a tire's speed rating to ensure that it is appropriate for a vehicles intended use.

FMCSA’s Response NTSB’s Response

FMCSA does not believe a rulemaking to amend the periodic inspection standards under Appendix G to Subchapter B to include language concerning speed ratings of tires would ensure the safe operation of commercial motor vehicles. The periodic inspection standards are applicable only at the time of inspection. FMCSA believes existing inspection, repair and maintenance rules provide an effective prohibition against the unsafe practice of using tires with speed ratings below the anticipated operating speed of the commercial motor vehicle upon which they are installed.

Requested: Closed—Acceptable Alternate

The Safety Board disagrees with the FMCSA’s belief that rulemaking to amend the periodic inspection standards under 49 CFR Chapter III, Subchapter B, Appendix G, would be ineffective. The Board’s investigation of the Tallulah, Louisiana, accident found that the current FMCSRs do not address the identification and appropriate use of speed-limited tires. The lack of specific criteria on speed-restricted tires overlooks an important vehicle safety factor that can result in commercial vehicles intended for highway use being operated with tires not suited for highway speeds.

Classification: Open-Unacceptable Response

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RECOMMENDATION: Conduct a study on the safety effectiveness of the self- inspection and certification process used by motor carriers to comply with annual vehicle inspection requirements and take corrective

action, as necessary.

FMCSA’s Response NTSB’s ResponseFMCSA believes the results of its December 2004 study Report to Congress on the Potential Safety Advantages of a Federal Rule to Require a Uniform National Display Policy for Inspection Stickers on Commercial Motor Vehicles, provides an assessment of the safety effectiveness of self-inspection and certification processes used by motor carriers to comply with the periodic inspection requirements.

Requested: Closed-Acceptable

The Safety Board understands that Safety Recommendation H-05-4 has been included in the group of 18 recommendations being considered during the FMCSA’s evaluation of its current safety compliance and enforcement programs, an in-depth review known as the Comprehensive Safety Analysis (CSA) 2010 Initiative. The Safety Board’s investigation found that the self-inspection process allows motor carriers to pass inadvertently or knowingly defective vehicles. Because these vehicles are certified and permitted to remain in operation, current methodology does not ensure an adequate level of safety, even if some vehicles are eventually identified as defective in a roadside inspection.

Classification: Open—Unacceptable Response

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RECOMMENDATION: Develop a method for inspecting motorcoach passenger seat mounting anchorages and revise the Federal Motor Carrier Safety Regulations Appendix G to Subchapter B, Minimum Periodic

Inspection Standards, to require inspection of these anchorages.

FMCSA’s Response NTSB’s ResponseFMCSA does not believe a rulemaking to amend the periodic inspection standards under Appendix G to Subchapter B to include seat anchorage inspection criteria would be effective. As previously explained, the periodic inspection standards are applicable only at the time of inspection. As the rules currently in place would prohibit damaged or improperly installed seat anchorages, the Agency does not believe a formal inspection procedure is needed. A visual inspection of seat anchorages combined with the inspector pushing and pulling on the seat should be sufficient to identify seats that are not properly fastened to the floor of the motorcoach.


The Safety Board disagrees with the FMCSA’s belief that rulemaking to amend the periodic inspection standards under 49 CFR Chapter III, Subchapter B, Appendix G would be ineffective. Current FMCSRs do not contain procedures or criteria for the inspection of seat anchorage securement in motorcoaches. Because no criteria or procedures are available for the inspection of motorcoach passenger seat anchorage systems, improperly secured motorcoach passenger seats are not likely to be identified during commercial vehicle inspections, leading to an increased risk of failure under higher forces, such as occur during an accident. The PMCP pamphlet developed to satisfy H-05-2 references the requirement to comply with certain parts of the CFR. The FMCSRs should be updated to offer complete information regarding seat anchorage inspection criteria to the PMCPs, allowing the carrier to understand these criteria and have the opportunity to comply.


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Truck-Tractor Semitrailer Rollover and Motorcoach Collision With Overturned Truck Interstate Highway 94

Near Osseo, WisconsinOctober 16, 2005

On Sunday, October 16, 2005, an accident comprising two events occurred on Interstate Highway 94 (I-94) near Osseo, Wisconsin. The first event was the single-vehicle rollover of a truck-tractor semitrailer combination unit. The second event occurred when a motorcoach collided with the wreckage from the first event.

The motorcoach driver and four passengers were fatally injured. Thirty-five passengers received minor-to-serious injuries, and five passengers were not injured. The truck driver received minor injuries.

During the investigation, the Safety Board identified the following major safety issues:

Operator fatigue;

Fatigue technologies and countermeasures; and

Collision warning systems.

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Safety Recommendation H-08-013Truck-Tractor Semitrailer Rollover and Motorcoach Collision With Overturned Truck

Interstate Highway 94Near Osseo, Wisconsin

October 16, 2005

RECOMMENDATION: Develop and implement a plan to deploy technologies in commercial vehicles to reduce the occurrence of fatigue-related accidents.

FMCSA’s Response NTSB’s Response

In 2005, DOT Intelligent Transportation System (ITS) Joint Program Office, NHTSA, and FMCSA partnered to conduct a field operational test (POT) of a Drowsy Driver Warning System (DDWS). FMCSA is unaware of any currently available technology that can be used by all CMV drivers in day-time and night-time driving conditions. Further, there is ambiguity regarding a fatigue warning device-particularly its efficacy and cost. Once a device has been tested and validated, FMCSA will consider strategies to promote the voluntary use of the technology. The Agency continues to pursue a rule that would require certain motor carriers to install electronic on-board recorders to monitor their drivers' compliance with the HOS regulations. In addition, DOT is considering a follow-on rulemaking that will expand the population of carriers that will be required to have EOBRs.

Requested: Open—Acceptable

The NTSB is concerned with the response that the FMCSA is attempting to develop a universal technology solution to reduce the occurrence of fatigue-related accidents as it continues to pursue rulemaking on EOBR to better monitor driver compliance with HOS regulations. Although there are currently no commercially available fatigue detection products that could be used under both daytime and nighttime driving conditions, a recently published FMCSA review of activities underway to develop unobtrusive, in-vehicle, real-time, drowsy driver detection and alertness systems discussed at least five separate systems that are capable of functioning in a variety of conditions, both day and night. The NTSB urges the FMCSA to consider the deployment of nighttime-based technologies during the ongoing development of in-vehicle technologies to reduce fatigue-related accidents.


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Motorcoach Run-Off-The-Bridge and RolloverSherman, TexasAugust 8, 2008

On Friday, August 8, 2008, a 56‑passenger motorcoach, was involved in a single-vehicle, multiple-fatality accident in Sherman, Texas. As a result of the accident, 17 motorcoach passengers died; 12 passengers were found to be dead at the crash site, and 5 others later died at area hospitals. In addition, the 52-year-old driver received serious injuries, and 38 passengers received minor-to-serious injuries.

The following safety issues are identified in this report:

The tire failure and the need for tire pressure monitoring systems on commercial vehicles;

The failure of the bridge railing and the need for criteria for the selection of appropriate bridge railing designs;

The lack of oversight of the Federal commercial vehicle inspections that are delegated to the states;

The lack of motorcoach occupant protection systems; and

The deficiencies in Federal safety oversight of new entrant motor carriers.

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Safety Recommendation H-09-019Motorcoach Run-Off-The-Bridge and Rollover

Sherman, TexasAugust 8, 2008

RECOMMENDATION: Require that tire pressure be checked with a tire pressure gauge during pre-trip inspections, vehicle inspections, and roadside inspections of motor vehicles.

FMCSA’s Response NTSB’s ResponseThe Agency believes that education and outreach should be considered as an alternative to a Federal rulemaking to mandate tire pressure checks. FMCSA's regulations concerning the inspection, repair and maintenance of CMV s hold motor carriers accountable for proper tire maintenance, including maintaining proper air pressure. As far as roadside inspections, the Agency does not believe it is appropriate for State enforcement personnel to check tire air pressure. Roadside inspectors checking a vehicle that has been in operation over a significant distance would not be able to make a proper determination of whether a tire is underinflated.

Requested: Closed—Acceptable

The NTSB agrees with the FMCSA that education and outreach may be beneficial as an adjunct to rulemaking in addressing this issue. However, the use of a tire pressure gauge is the only reliable means for checking tire pressure; existing guidance that permits the use of a mallet or similar device to check for proper inflation is wholly inadequate. Therefore, we urge the FMC SA to reconsider its position and include rulemaking as part of its planned efforts to address tire under inflation on commercial vehicles. Accordingly, pending the FMCSA's issuance of a requirement that tire pressure be checked with a tire pressure gauge, Safety Recommendation H-09-19 is classified "Open-Unacceptable Response.“


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Safety Recommendation H-09-020Motorcoach Run-Off-The-Bridge and Rollover

Sherman, TexasAugust 8, 2008

RECOMMENDATION: Require those states that allow private garages to conduct Federal Motor Carrier Safety Administration inspections of commercial motor vehicles to have a quality assurance and oversight program

that evaluates the effectiveness and thoroughness of those inspections.

FMCSA’s Response NTSB’s ResponseThe Agency emphasizes that periodic or annual inspection programs are important but should not be considered a substitute for a motor carrier's responsibilities to ensure that all of its CMVs are in safe and proper operating condition at all times. Motor carriers are currently required to have systematic inspection, repair and maintenance programs, and to maintain records documenting their programs. FMCSA's regulations require drivers to ensure that their vehicles are in safe and proper condition prior to driving them on public roads and to report to the carrier at the end of each workday any vehicle defects or deficiencies they observe or that are reported to them.


The NTSB disagrees that the FMCSA's resources should be focused on issues other than requiring the states to implement quality assurance and oversight programs for private garages. Periodic inspections conducted under 49 CFR 396.17 constitute an important mechanism for ensuring that motor carriers are held accountable for the safe condition of their vehicles. Nevertheless, most states do not provide sufficient oversight of state inspections conducted by private garages. Absent a requirement by the FMCSA that states have a means for ensuring the effectiveness and thoroughness of inspections conducted by private garages, the NTSB does not believe that such inspection programs will provide the necessary assurance of the safe operating condition of commercial vehicles.


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Motorcoach Rollover on U.S. Highway 59Near Victoria, Texas

January 2, 2008

On January 2, 2008, a 47-passenger motorcoach, carrying 47 passengers, partially drifted off the right edge of the roadway. The driver over steered several times before striking a guardrail as the motorcoach slid on its right side . A pickup truck also struck the underside of the motorcoach forward of the rear axle. As a result of the initial motorcoach rollover, 1 passenger was fatally injured, and 46 passengers and the driver received injuries ranging from minor to serious. The driver of the pickup truck sustained minor injuries when the pickup truck struck the undercarriage of the motorcoach.

The following safety issues are identified as the probable cause in this report:

Driver's falling asleep, which caused him to partially drift off the road, resulting in oversteer corrections when the driver regained awareness, and subsequent vehicle loss of control and overturn; and

Contributing to the severity of the unrestrained passengers' injuries was their striking objects and other passengers inside the motorcoach, as well as the partial ejections that occurred when the motorcoach overturned during the accident.

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Safety Recommendation H-09-037Motorcoach Rollover on U.S. Highway 59

Near Victoria, TexasJanuary 2, 2008

RECOMMENDATION: Assist the National Highway Traffic Safety Administration in developing a Web-based database of FMVSS-compliant passenger-carrying commercial motor vehicles that can be utilized by federal,

state, and local enforcement inspection personnel to identify non-FMVSS-compliant passenger-carrying commercial motor vehicles so that these vehicles (other than exempted vehicles) are placed out of service and

cease operating in the United States. Implement a process to periodically update this database.

FMCSA’s Response NTSB’s ResponseThe FMCSA and NHTSA conducted companion rulemakings concerning the FMVSS certification requirement. Both Agencies published a separate NPRM in 2002. In withdrawing the NPRMs in 2005, the Agencies concluded that the proposed FMVSS certification label requirement is not necessary to ensure the safe operation of CMVs on the Nation's highways. In consultation with NHTSA, FMCSA determined it can most effectively ensure motor carriers' compliance with the FMVSS through enforcement of the current FMCSRs. Designation of an FMVSS violation as an out of service violation would require new rulemaking.


The discussions and responses received to date regarding Safety Recommendations H-09-37 through -41 have not addressed the intent of these recommendations. On August 17, 2011, staff from the FMCSA; NHTSA; OST; CBP; and the NTSB met to further discuss responses to these recommendations .A representative from DOT-OIG, also attended the meeting. Although our agencies appear to have a fundamental disagreement regarding the need for a database to track FMVSS compliance, there was a positive discussion of possible alternate methods for detecting and verifying conformance with the FMVSSs for passenger-carrying commercial motor vehicles.


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RECOMMENDATION: Require that federal and state inspectors utilize the database requested in Safety Recommendation H-09-37 during both roadside and compliance review inspections of passenger-carrying

commercial motor vehicles to identify and place out of service non-FMVSS-compliant vehicles.

FMCSA’s Response NTSB’s ResponseBased on the reasons cited above in recommendation H-09-37, FMCSA requests that NTSB classify this recommendation as "Closed-Acceptable Alternate Response.“




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RECOMMENDATION: Institute a requirement for federal and state enforcement officials to obtain training on a procedure to physically inspect passenger-carrying commercial motor vehicles for an FMVSS compliance label,

and work with the Commercial Vehicle Safety Alliance to develop and provide this training.

FMCSA’s Response NTSB’s ResponseBased on the responses to H-09-37 and H-09-38, FMCSA does not believe there are discernible safety benefits associated with the Agency developing a training procedure in consultation with CVSA to inspect vehicles for an FMVSS certification label; however, as stated previously, the Agency supports NHTSA' s proposed course of action to provide additional training on theFMVSS label to FMCSA and CBP personnel, as stated in its letter to NTSB dated June 28, 2010.




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RECOMMENDATION: Require that passenger motor carriers certify on their OP-1(P) forms (Application for Motor Passenger Carrier Authority) and initial MCS-150 form (Motor Carrier Identification Report [Application for

USDOT Number]) and subsequent required biennial submissions that all vehicles operated, owned, or leased per trip or per term met the FMVSSs in effect at the time of manufacture.

FMCSA’s Response NTSB’s ResponseGenerally, motor carriers domiciled in the U.S. and Canada cannot legally obtain noncompliant CMV s. Under the authority Public Law 89-563-Vehicle Safety Act, NHTSA establishes manufacturing standards - or FMVSSs. 49 CFR Part 567 requires manufacturers or registered importers of motor vehicles built for sale or use in the U.S., to affix a label certifying that the motor vehicle meets the applicable FMVSSs in effect on the date of manufacture. Vehicles operated by Canada-domiciled motor carriers meet CMVSSs, which are consistent with the FMVSSs in all significant respects. For Mexico- and non-North America-domiciled vehicles, Form OP-l(MX), Form OP-2 and Form OP-l(NNA) already include vehicle certification. The addition of certification requirements would yield few additional benefits.




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RECOMMENDATION: Seek statutory authority to suspend, revoke, or withdraw a motor carrier’s operating authority upon discovering the carrier is operating any non-FMVSS-compliant passenger-carrying commercial motor vehicles,

a violation of the FMVSS-compliant certification requested in Safety Recommendation H-09-40.

FMCSA’s Response NTSB’s ResponseThe FMCSA currently has statutory authority to take necessary action against motor carriers operating unsafe vehicles. As mentioned previously, FMCSA and NHTSA conducted companion rulemakings concerning the FMVSS certification requirement. In withdrawing its NPRM, FMCSA concluded that the proposed FMVSS certification label requirement is not necessary to ensure the safe operation of CMV s on our Nation's highways. Furthermore, since the FMVSSs critical to the operational safety of CMV s are cross-referenced in the FMCSRs, FMCSA, in consultation with NHTSA, determined it can most effectively achieve CMVs' compliance with the FMVSSs through enforcement measures and existing regulations ensuring compliance with the FMCSRs.




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Estimated Time to Complete Task 12-02

The MCSAC should begin work on this task at its May 2012 meeting with the goal of completing its discussions and issuing a letter report prior to its August 2012 meeting.

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FMCSA Technical Representatives

Larry W. Minor, Associate Administrator for Policy, FMCSA, 202-366-2551.

Dee Williams, Chief, Strategic Planning and Program Evaluation, FMCSA, 202-493-0192.

Keyanna Frazier, Audit Liaison, Strategic Planning and Program Evaluation, FMCSA, 202-366-5081.

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