PRISM OVERVIEW Law Enforcement Training June 2010

PRISM OVERVIEW Law Enforcement Training June 2010

What is PRISM? • Cooperative Federal/State Program to link safety fitness to state vehicle registration • Feasibility Study mandated by Section 4003 of the ISTEA of 1991 – Five state pilot concluded in 1997 – Report submitted to Congress in 1998 – PRISM is cost-effective and improves safety

Benefits of PRISM • Improves Safety – Improved performance required to exit program • Performance Based System – Carriers identified based on safety data • Identification of High Risk Carriers – Safe. Stat identifies carriers with future crash risk

Benefits of PRISM • Improved Efficiency of Federal and State Resources – CRs on highest risk carriers – Warning letters • Improved Data Accuracy – Automatic Census updates with registration renewals – Barcodes reduce inspection data entry errors – Ability to correct non-match inspection and accident records through registration records

Benefits of PRISM • Customer Service – Promotes “one-stop shop” for USDOT Number and Plates • Accountability for Safety – Interstate Trucks must have USDOT Number to identify Carrier Responsible for Safety – Cannot register if prohibited from Interstate Operations

PRISM…Two Main Processes • Commercial Vehicle Registration Process • Motor Carrier Safety Improvement Process (MCSIP)

PRISM AND VEHICLE REGISTRATION

Commercial Vehicle Registration • The Commercial Vehicle Registration process provides the framework for PRISM • Establishes link between the Motor Carrier Responsible for Safety and every vehicle registered commercially – Plate number (or VIN) can always be traced back to the responsible carrier – Brings safety down to the vehicle level

Definitions (Who’s Who) • Registrant - Entity issued vehicle registration and plate • Motor Carrier - Entity responsible for safe operation of the vehicle (Note: If there is no actual motor carrier, then Registrant serves as Default Motor Carrier) • Default Motor Carrier - Entity responsible for safety when actual motor carrier cannot be identified

How Does PRISM Affect Safety? • Safe operating is a requirement for obtaining and keeping a registration plate • Check the Carrier’s Safety Status • Does the USDOT Number belong to a sanctioned carrier? • Was the vehicle assigned to a sanctioned motor carrier previously?

PRISM Target Vehicle File 1. Daily file of MCSIP Carriers created by PRISM Central Site and distributed to States 2. States identify vehicles assigned to carriers in MCSIP and upload those vehicle records to PRISM 3. Target File created 6: 00 AM daily with vehicles from all PRISM states 4. States use Target File for Safety Checks at registration offices and roadside

PRISM State Barcoding • Barcode the cab card with vehicle and registrant information • Barcode and print carrier responsible for safety • USDOT Number • Carrier Name • Mailing Address (Note: Only if the lease is expected to remain in effect for the entire registration year)

PRISM State Barcode Map – April 2010 States Barcoding Cab Cards: AK, AL, AR, CA, CT, DE, ID, IA, KS, KY, ME, MN, MO, NE, NH, NM, OH, SC, SD, TN, TX, UT, VT, WA, WV

Registrant & MCRS are the Same When there is no lease and the MCRS is not expected to change during the registration year, the following info is printed on the Cab Card: Same Company - USDOT Number - Carrier Name - Mailing Address This information is in the bar code. Scannable Barcode

Registrant & MCRS are Different - MCRS not expected to change When there is a lease but the MCRS is not expected to change during the registration year, the following info is printed on the Cab Card: - USDOT Number - Carrier Name - Mailing Address This information is in the bar code. Different Company

Registrant & MCRS are Different - MCRS is expected to change In some states, when there is a lease and the MCRS is expected to change during the registration year, the MCRS is left blank.

Registrant & MCRS are Different - MCRS is expected to change In some states, when there is a lease situation and the MCRS is expected to change during the registration year, the MCRS block has this message: *As of January 2010, a PRISM Requirement is to add this message.

ASPEN – Scanning Cab Card

Tra. CS – Scanning Cab Card Carrier Data from Cab Card scanned into Tra. CS Vehicle Data from Cab Card scanned into Tra. CS

Tra. CS – Report Tra. CS - CIRF Form Auto-populated with scanned Cab Card vehicle data

How Does PRISM Affect Safety? Impose Sanctions • Deny/Suspend vehicle registrations and retrieve plates when a Federal OOS order has been issued • This concurrent state registration suspension is the ultimate sanction when a Federal order to cease interstate operations has been issued

MOTOR CARRIER SAFETY IMPROVEMENT PROCESS MCSIP

Motor Carrier Safety Improvement Process What is MCSIP? • Process to improve the safety of high-risk motor carriers through: – Identification – Treatment – Assessment

Motor Carrier Safety Improvement Process • Uses Safe. Stat to identify and monitor motor carriers • Applies progressively harsher treatments to carriers that do not improve • Ultimate sanction: Federal Out-of-Service Order and concurrent State Suspension/Revocation of vehicle registration privileges

MCSIP IDENTIFICATION How Motor Carriers Are Identified for Inclusion in MCSIP

MCSIP Identification • Safe. Stat is used to identify motor carriers for inclusion in MCSIP • Safe. Stat is an automated, data driven analysis system designed to measure the relative safety fitness of interstate motor carriers that uses: – roadside safety – compliance reviews – enforcement data

MCSIP Identification • Safe. Stat provides relative rankings of motor carriers based on performance in four Safety Evaluation Areas (SEA): – Accident – Driver – Vehicle – Safety Management

MCSIP Identification • Safe. Stat Data (refreshed monthly) – Prior 30 month history of: • • • National Governors Association Accidents Roadside Inspections Compliance Reviews Enforcement Cases Census Data – Data is time weighted & severity weighted

Safe. Stat Calculation SEA Values Accident SEA = 95 Driver SEA = 90 Vehicle SEA = 65 SM SEA = 80 Safe. Stat Calculation Accident x 2 + Driver x 1. 5 + Vehicle x 1 + SM x 1 = Safe. Stat Score (95 x 2) + (90 x 1. 5) + (65 x 0*) + (80 x 1) = 405 = Safe. Stat Category A *Note: When a SEA is under 75, the SEA is dropped from the equation

MCSIP Identification • SEA values approximate carrier’s percentile rank relative to the population with sufficient data • SEA values count towards the overall Safe. Stat score when 75 or above • Motor Carriers with 2 or more SEA values at or above 75 are included in MCSIP

Safe. Stat Categories • Safe. Stat Categories A – C establish the pool of MCSIP carriers Safe. Stat Category Safe. Stat Score Range FMCSA Action Category A 350 and Above Compliance Review Category B 225 – 349 Compliance Review Category C 150 - 224 PRISM Warning Letter

CSA 2010 - Pilot • CSA 2010 is a new major initiative of FMCSA to improve safety • CSA 2010 safety criteria will replace Safe. Stat scoring system for assigning carriers in MCSIP • Currently tested in the following states: CO, GA, KS, MD, MN, MO, MT, NJ

CSA 2010 - BASICs • BASICS are behavior categories that can lead to crashes • Behavior Analysis & Safety Improvement Categories • Carrier and Driver scores in each BASIC will determine FMCSA actions: → Intervention (*New - including On-Site Investigations) → Safety Compliance Review → Out-of-Service Order

CSA 2010 - BASICs • 7 BASICs will replace 4 SEAs Safe. Stat - SEA BASICS Accident Driver Fitness Driver Unsafe Driving Vehicle Fatigued Driving Safety Management Controlled Substances/Alcohol Crash Indicator Vehicle Maintenance Improper Loading/ Cargo Securement

CSA 2010 - Enforcement • Stricter New Entrant Safety Audits – Any 1 of “ 15 Deadly Sins” results in failed audit • More focus on Driver qualifications • Canadian and Mexican carriers will be rated in the same way as U. S. carriers

MCSIP TREATMENTS Actions taken to address MCSIP Carriers

MCSIP Treatments Increased Roadside Inspections • All Carriers in MCSIP (Safe. Stat A-C) must be targeted at the roadside for increased inspection

MCSIP Treatments PRISM Warning Letters • PRISM Warning Letters are recommended for newly identified Safe. Stat Category C motor carriers that have not had a recent CR • What is the purpose of the Warning Letter? – Encourage safety improvement – Serve as a diagnostic and educational tool – Reach a greater number of carriers than CR resources alone would allow

MCSIP Treatments Compliance Reviews • Compliance Reviews are recommended for Safe. Stat Category A & B motor carriers • Compliance Reviews: – – – Are conducted at the carrier place of business Document compliance violations and performance data Recommend safety improvements Serve as a basis for enforcement penalties Generate a Safety Rating

MCSIP Treatments Registration Sanctions In what situations will FMCSA order a carrier to cease interstate operations?

MCSIP Treatments Registration Sanctions • Imminent Hazard – Extremely rare – Immediate shut-down at time of CR closeout • Final Unsatisfactory Safety Rating – Shut-down if carrier fails to improve a “proposed” unsatisfactory rating within 45/60 days – CR and proposed rating Letter notifies motor carrier of possible state registration sanctions

MCSIP Treatments Registration Sanctions • Failure to pay fines – Shut-down if carrier fails to pay fine or enter into a payment agreement within 90 days of final agency order (FAO) – FAO notifies motor carrier of possible state registration sanctions • Failure of a new entrant safety audit – Must be audited within 18 months of entry – Newest Sanction reason – Failed Audit

OOS REASON DENY PLATE RENEWAL ISSUE SUSPENSION (Minimum Requirement) PHYSICALLY RETRIEVE PLATES (Minimum Requirement) - Imminent Hazard YES When/If discovered operating at the roadside Or, When/If OOS Order or State Suspension is hand delivered - Final Unsatisfactory Rating YES When/If discovered operating at the roadside Or, When/If OOS Order or State Suspension is hand delivered - Failure to Pay Federal Fines YES When evidence exists that the carrier has continued to operate When/If discovered operating at the roadside Or, When/If OOS Order or State Suspension is hand delivered - Failing New Entrant Audit YES When/If discovered operating at the roadside Or, When/If OOS Order or State Suspension is hand delivered - Carrier not allowing New Entrant Safety Audit / No Contact YES When evidence exists that the carrier has continued to operate When/If discovered operating at the roadside

Why do all this?

ABC Express Trucking Hey Bob – Here’s a good one for you. Some Clown from the DOT just sent us a letter that says we can’t operate trucks across state lines.

ABC Express Trucking Looks like I’ll have to change our company name to XYZ Express Trucking, get another USDOT Number, and keep on trucking !

State Registration Office Plate Renewal Time DOT Number Check: “The USDOT Number for XYZ Express Trucking is A – OK” Vehicle Check: “Wait a minute! The SAFER/PRISM database indicates vehicles with these VIN #’s are linked to ABC Express Trucking. We’re gonna have to see a transfer of title, a lease agreement to another carrier, or some kind of evidence that ABC and XYZ are not the same company. ”

Summary IRP collects USDOT numbers and validates FMCSA issues OOS to unsafe carriers IRP checks safety and refuses /suspends registration if OOS Carrier stops operating…Right?

Wrong This is why we are here. It is law enforcement’s job to stop these vehicles from operating on the highways.

Last point of contact YOU When a vehicle is stopped at the roadside, you should always check the PRISM Target File If OOS, Pick up plates If OOS, Confiscate vehicle

Access Target File Data • Query Central (Real-time OOS) • NLETS (ACQ/AVQ) • CVIEW • ISS

Carrier Information Data Timeliness MCMIS Database Real-time OOSO Status MCMIS Update Monday – Thursday @ Midnight Saturday @ 8: 00 am Authoritative Source Key Enforcement Data SAFER - PRISM USDOT Number Carrier Name Targeted Indicator OOSO Status SAFER FTP Site Data Availability Freshest Data Query Central (ad-hoc) After MCMIS Update (Real-time for OOSO Status) Stalest Data PRISM Web Services (ad-hoc) SAFER Website CVIEW T 0031 (ad-hoc) (batch) After MCMIS Update (Real-time for OOSO Status) After MCMIS Update States download from SAFER FTP after 8: 00 am NLETS ISS (batch) Monthly Data Refresh

Vehicle Registration Data Timeliness State Vehicle Registration Office Daily Vehicle Record Uploads PRISM PVF - 5: 00 am CVIEW XML - Throughout the day or evening batch upload. (dependent on State process) Authoritative Source Key Enforcement Data SAFER - PRISM VIN, State/Plate Registration Expire Date Carrier Responsible for Safety SAFER FTP Site Data Availability Freshest Data NLETS Vehicle Registration Vehicle Target Status (ad-hoc) Real-Time direct from State Office After Daily Vehicle Record Uploads Query Central PRISM Web Services (ad-hoc) After Daily Vehicle Record Uploads PRISM SFTP Site Stalest Data CVIEW T 0041 P PRISM Target File (batch) States download after 6: 00 am

Carrier and Vehicle Registration Data Query Central supports inquiries by: • USDOT Number • License Plate & State • Vehicle Identification Number

Query Central Real-Time OOS Status

Query Central Vehicle Information

Carrier and Vehicle Registration Data NLETS Carrier Inquiry by: USDOT Number (ACQ) Vehicle Inquiry by: VIN or License Plate & State (AVQ)

Carrier and Vehicle Registration Data NLETS Responses All NLETS Carrier Status Response Messages provide the same data elements. There are differences in the Heading that appears above the data fields. The following messages can be found depending on the MCSIP Step: NLETS Response Message MCSIP Steps CARRIER IS NOT TARGETED 00, 30, 99 CARRIER IS TARGETED 2 -22, 31 -39, 70 -89 CARRIER IS UNDER FEDERAL OOSO 54, 55, 57, 63, 64, 65, 66 INTRASTATE OOS 59 CARRIER IS UNDER FEDERAL OOSO & INTRASTATE OOS 52, 53, 60, 61, 62, 67, 68 *NOT ON FILE *Vehicle not on PRISM Target File

NLETS Carrier Status Response Sample MSG FROM NLETS 3745 ACR. AVLIC 0000. TO: DEST IA 07710 B 5 *MRI 0056917. TXT PRISM Target File Alert Message CARRIER IS UNDER FEDERAL OOS. IMMINENT HAZARD. DOT/178097. NAM/ACTION CARRIER INC. ADR/700 E 52 ND STREET NORTH. CITY/SIOUX FALLS. ST/SD. ZIP/57104. CAR TARG‑HIST IND/T. MCSIP STEP/54. MCSIP DATE/11122008. PAGE/01 OF/01. **NLETS-PRISM Queries only return data when the Carrier is under a Federal OOS or Vehicle is Targeted for Inspection

Carrier and Vehicle Registration Data NLETS Vehicle Status Response CARRIER IS TARGETED. PRISM Target File Alert Message DOT/1816966. NAM/STALLION TRANSPORT LLC. DBA/. ADR/817 SUNDALE ST. CITY/BISMARCK. ST/MO. ZIP/63624. CAR TARG‑HIST IND/T. MCSIP STEP/7. MCSIP DATE/12182009. VMA/FORD. VYR/2004. VIN/1 FDXW 47 P 84 ED 62797. LIC/13 AF 9 M. LIS/MO. REG EFF DATE/10012009. REG EXP DATE/09302010. VEH TARG‑HIST IND/T. PAGE/01 OF/01. **NLETS-PRISM Queries only return data when the Carrier is under a Federal OOS or Vehicle is Targeted for Inspection PRISM CARRIER DATA PRISM VEHICLE DATA

Carrier and Vehicle Registration Data NLETS Vehicle Status Response • Carrier data is also included in the Vehicle Status Response • PRISM alert messages are based on the value contained in the MCSIP Step “NOT ON FILE” = Vehicle not on PRISM Target File

Carrier and Vehicle Registration Data SAFER Website http: //safer. fmcsa. dot. gov The first screen presented will display the available data. The option of “Company Snapshot” should be selected

Carrier and Vehicle Registration Data SAFER Website Note that there is an OOSO dated February 16, 2010

Carrier and Vehicle Registration Data SAFER Website There is significantly more information available on this carrier from this inquiry but we have chosen to only show the Carrier Identification Screen Some of the additional information is: • Operation Classification • Carrier Operations • Cargo Carried • Inspections/Crashes • Safety Rating • Insurance

Carrier and Vehicle Registration Data CVIEW Training coordinator: Place state CVIEW screen here

Carrier and Vehicle Registration Data ISS (Monthly Refresh available for download)

Carrier and Vehicle Registration Data ISS When a carrier has been placed OOS ISS will provide this OOS Alert. Press OK and ISS will provide the next screen

Carrier and Vehicle Registration Data ISS The Red Light indicates the carrier is Out of Service (At the time of the last update of ISS) ISS-2 - 3

Carrier/Vehicle is OOSO What should you do if you verify the vehicle is under an OOSO? Training Coordinator: Customize the next slide series for actions authorized by your laws

Carrier/Vehicle is OOSO I’ll write out this Out of Service Order, stick it on his windshield

Carrier/Vehicle is OOSO OK Bill I’ll show the plates as turned in Susan IRP Office You remember that Smith & Jones Trucking that we have been looking for? I got the plates off of it and I’ll turn them in tonight.

Carrier/Vehicle is OOSO Tow the vehicle