1. PRISM OVERVIEW Law Enforcement Training June 2010

2. 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

3. 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 –SafeStat identifies carriers with future crash risk

4. 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

5. 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

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

7. PRISM AND VEHICLE REGISTRATION

8. 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

9. 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

10. 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?

11. 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

12. 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)

13. 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 PRISM State Barcode Map – April 2010

14. 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: - USDOT Number - Carrier Name - Mailing Address This information is in the bar code. Same Company Scannable Barcode

15. 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

16. 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

17. 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. Registrant & MCRS are Different - MCRS is expected to change

18. ASPEN – Scanning Cab Card

19. TraCS – Scanning Cab Card Carrier Data from Cab Card scanned into TraCS Vehicle Data from Cab Card scanned into TraCS

20. TraCS – Report TraCS - CIRF Form Auto-populated with scanned Cab Card vehicle data

21. 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

22. MOTOR CARRIER SAFETY IMPROVEMENT PROCESS MCSIP

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

24. Motor Carrier Safety Improvement Process Uses SafeStat 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

25. MCSIP IDENTIFICATION How Motor Carriers Are Identified for Inclusion in MCSIP

26. MCSIP Identification SafeStat is used to identify motor carriers for inclusion in MCSIP SafeStat 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

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

28. MCSIP Identification SafeStat 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

29. SafeStat Calculation SEA Values Accident SEA = 95 Driver SEA = 90 Vehicle SEA = 65 SM SEA = 80 SafeStat Calculation Accident x 2 + Driver x 1.5 + Vehicle x 1 + SM x 1 = SafeStat Score (95 x 2) + (90 x 1.5) + (65 x 0*) + (80 x 1) = 405 = SafeStat Category A *Note: When a SEA is under 75, the SEA is dropped from the equation

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

31. SafeStat Categories SafeStat Categories A – C establish the pool of MCSIP carriers SafeStat CategorySafeStat Score RangeFMCSA Action Category A350 and AboveCompliance Review Category B225 – 349Compliance Review Category C150 - 224PRISM Warning Letter

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

33. 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

34. CSA 2010 - BASICs 7 BASICs will replace 4 SEAs SafeStat - SEABASICS AccidentDriver Fitness DriverUnsafe Driving VehicleFatigued Driving Safety ManagementControlled Substances/Alcohol Crash Indicator Vehicle Maintenance Improper Loading/ Cargo Securement

35. 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

36. MCSIP TREATMENTS Actions taken to address MCSIP Carriers

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

38. MCSIP Treatments PRISM Warning Letters PRISM Warning Letters are recommended for newly identified SafeStat 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

39. MCSIP Treatments Compliance Reviews Compliance Reviews are recommended for SafeStat 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

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

41. 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

42. 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

43. OOS REASONDENY 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 YESWhen 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 YESWhen evidence exists that the carrier has continued to operate When/If discovered operating at the roadside

45. Why do all this?

46. 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.

47. 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 !

48. 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.”

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

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

52. 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

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

54. Carrier Information Data Timeliness MCMIS Database Key Enforcement Data MCMIS Update Monday – Thursday @ Midnight Saturday @ 8:00 am SAFER Website (ad-hoc) CVIEW T0031 (batch) SAFER - PRISM NLETS (ad-hoc) ISS (batch) Authoritative Source USDOT Number Carrier Name Targeted Indicator OOSO Status After MCMIS Update (Real-time for OOSO Status) After MCMIS Update After MCMIS Update Monthly Data Refresh Freshest DataStalest Data Data Availability SAFER FTP Site States download from SAFER FTP after 8:00 am Query Central (ad-hoc) Real-time OOSO Status PRISM Web Services (ad-hoc) After MCMIS Update (Real-time for OOSO Status)

55. Vehicle Registration Data Timeliness State Vehicle Registration Office Key Enforcement Data NLETS Vehicle Target Status (ad-hoc) CVIEW T0041P (batch) PRISM Target File (batch) SAFER - PRISM Query Central (ad-hoc) Freshest DataStalest Data VIN, State/Plate Registration Expire Date Carrier Responsible for Safety After Daily Vehicle Record Uploads States download after 6:00am Daily Vehicle Record Uploads PRISM PVF - 5:00am CVIEW XML - Throughout the day or evening batch upload. (dependent on State process) NLETS Vehicle Registration (ad-hoc) Data Availability Real-Time direct from State Office PRISM SFTP Site States download after 6:00am Authoritative Source SAFER FTP Site PRISM Web Services (ad-hoc) After Daily Vehicle Record Uploads After Daily Vehicle Record Uploads

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

57. Query Central Real-Time OOS Status

58. Query Central Vehicle Information

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

60. 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 MessageMCSIP Steps CARRIER IS NOT TARGETED00, 30, 99 CARRIER IS TARGETED2-22, 31-39, 70-89 CARRIER IS UNDER FEDERAL OOSO54, 55, 57, 63, 64, 65, 66 INTRASTATE OOS59 CARRIER IS UNDER FEDERAL OOSO & INTRASTATE OOS 52, 53, 60, 61, 62, 67, 68 *NOT ON FILE *Vehicle not on PRISM Target File

61. NLETS MSG FROM NLETS 3745 ACR.AVLIC0000. TO:DEST IA07710B5 *MRI0056917. TXT CARRIER IS UNDER FEDERAL OOS. IMMINENT HAZARD. DOT/178097. NAM/ACTION CARRIER INC. ADR/700 E 52ND STREET NORTH. CITY/SIOUX FALLS.ST/SD.ZIP/57104. CAR TARG ‑ HIST IND/T.MCSIP STEP/54.MCSIP DATE/11122008. PAGE/01 OF/01. PRISM Target File Alert Message **NLETS-PRISM Queries only return data when the Carrier is under a Federal OOS or Vehicle is Targeted for Inspection NLETS Carrier Status Response Sample

62. Carrier and Vehicle Registration Data NLETS Vehicle Status Response CARRIER IS TARGETED. 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/1FDXW47P84ED62797. LIC/13AF9M.LIS/MO.REG EFF DATE/10012009.REG EXP DATE/09302010. VEH TARG ‑ HIST IND/T. PAGE/01 OF/01. PRISM Target File Alert Message PRISM CARRIER DATA PRISM VEHICLE DATA **NLETS-PRISM Queries only return data when the Carrier is under a Federal OOS or Vehicle is Targeted for Inspection

63. 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

64. 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

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

66. 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

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

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

69. ISS When a carrier has been placed OOS ISS will provide this OOS Alert. Press OK and ISS will provide the next screen

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

71. 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

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

73. Carrier/Vehicle is OOSO Susan 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. IRP Office OK Bill I’ll show the plates as turned in

74. Carrier/Vehicle is OOSO Tow the vehicle