1. PRISM OVERVIEW Law Enforcement Training April 2009

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 verified PRISM is feasible, cost effective and improves safety

3. PRISM Implementation Levels BLUE Grant Approval – BLUE (5 States: CO, HI, IL, ND, RI) PURPLE States Developing Implementation Plan for Approval – PURPLE (6 States: FL, MA, NJ, VA, WI, WY) GREY States Implementing an Approved Plan – GREY (5 States + DC: CA, MS, MT, NY, OK) RED PRISM Level 1 – RED Collecting/Validating USDOT Number of Carrier Responsible for Safety (6 States: AZ, IN, LA, OR, PA, TX) YELLOW PRISM Level 2 – YELLOW Enforcing MCS-150 Update Checking Carrier Safety Status Submitting Targeted Vehicles to SAFER (2 States: DE, NC) GREEN PRISM Level 3 – GREEN Denying, Suspending, Revoking for Federal OOSO Bar Coding PRISM Specs Enforcement Stopping Targeted Vehicles (23 States: AK, AL, AR, CT, GA, ID, IA, KS, KY, ME, MN, MO, NE, NH, NM, OH, SC, SD, TN, UT, VT, WA, WV) N/A – (3 States: MD, MI, NV) Total PRISM States: 31 PRISM State Implementation Map – April 2009

4. Benefits of PRISM Improves Safety  Improved performance required to exit program  Carriers identified based on safety data  Effectiveness study validates SafeStat ability to identify carriers with future crash risk Performance Based System Accurate Identification of High Risk Carriers 

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

6. Benefits of PRISM Customer Service Promotes “one-stop shop” for USDOT Number and Plates Accountability for Safety Every interstate truck registered must have a USDOT Number to identify carrier responsible for safety. Can’t register if prohibited from interstate operations

7. PRISM...Two Main Processes Motor Carrier Safety Improvement Process Commercial Vehicle Registration Process

8. PRISM AND VEHICLE REGISTRATION

9. Commercial Vehicle Registration Process 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

10. Definitions (Who’s Who)  Registrant -- Entity to whom the vehicle registration and the plate is issued  Motor Carrier – Entity responsible for the safe operation of the vehicle during the registration year Note: If there is no actual motor carrier, then the registrant serves as the Default Motor Carrier  Default Motor Carrier -- The entity responsible for safety in cases where the actual motor carrier has not been properly identified or cannot be identified

11. Makes safe operating performance a requirement for obtaining and keeping a registration plate  Does the USDOT Number belong to a sanctioned carrier?  Was the vehicle assigned to a sanctioned motor carrier previously? How Do the Commercial Vehicle Registration Process & PRISM Affect Safety Check the Carrier’s Safety Status

12. Create the PRISM Target File for Vehicles Assigned to Carriers in MCSIP A daily file of MCSIP carriers is created by PRISM central site PRISM State vehicles assigned to carriers in MCSIP are identified Create the Target File with these vehicles from all PRISM states

13. How Do the Commercial Vehicle Registration Process & PRISM Affect Safety Barcode the cab card with vehicle and registrant information Barcode and print the USDOT Number, the name and address of the carrier responsible for the safety if the lease is expected to remain in effect for the entire registration year

14. Carrier responsible for safety

15. ASPEN – Scanning Cab Card Data

16. TraCS Common Information Manager Carrier Data from Cab Card scanned into TraCS Vehicle Data from Cab Card scanned into TraCS

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

18. How Do the Commercial Vehicle Registration Process & PRISM Affect Safety Impose Sanctions Deny/Suspend vehicle registrations and retrieve plates when a Federal out-of-service order has been issued This concurrent state registration suspension is the ultimate sanction when a Federal order to cease interstate transportation has been issued

19. MOTOR CARRIER SAFETY IMPROVEMENT PROCESS MCSIP

20. Motor Carrier Safety Improvement Process What is MCSIP?

21. Motor Carrier Safety Improvement Process (MCSIP)  Uses SafeStat to identify and monitor motor carriers  Applies progressively harsher treatments to carriers that do not improve  Ultimate sanction is a Federal out-of-service order and concurrent state suspension/revocation of vehicle registration privileges Process to improve the safety of high- risk motor carriers through more accurate identification, treatment, and assessment

22. MCSIP Identification How Motor Carriers Are Identified for Inclusion in MCSIP

23. 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 using roadside safety, compliance review and enforcement data SafeStat provides relative rankings of motor carriers based on performance in four categories - Accident, Driver, Vehicle, and Safety Management

24. MCSIP Identification SafeStat Data Prior 30 month history of National Governors’ Association Accidents, Roadside Inspections, Compliance Reviews, Enforcement Cases and Census Data Data is time weighted Data is severity weighted

25. MCSIP Identification SafeStat Score Accident SEA = 95 Driver SEA = 90 Vehicle SEA = 65 SM SEA = 80 Overall SafeStat Score: Accident x 2 + Driver x 1.5 + Vehicle x 1 + SM x 1 = SafeStat score (95x2)+(90x1.5)+(65x0**)+(80x1) = 405 Note: (**) When a SEA is under 75, the SEA is dropped from the equation  SEA Values approximate the carrier’s percentile rank relative to the population on which there is sufficient data and count toward an overall score when 75 or above  Motor Carriers with Two or more SEA values at or above 75 are included in MCSIP

26. MCSIP Identification SafeStat Categories A – C establish the pool of MCSIP carriers Category A > Score Range 350 and Above > Recommend for Compliance Review Category B > Score Range 225 – 349 > Recommend for Compliance Review Category C > Score Range 150 – 224 > Recommend for PRISM Warning Letter

27. CSA 2010 pilot CSA 2010 is a new major initiative of FMCSA to improve safety. This program will also add carriers to the list of targeted carriers for roadside inspection.

28. MOTOR CARRIER SAFETY IMPROVEMENT PROCESS (MCSIP) Actions taken to address MCSIP Carriers

29. All Carriers in MCSIP (SafeStat A-C) must be targeted at the roadside for increased inspection –Targeting can be done by several options Query Central NLETS Query to PRISM Target File CVIEW Inspection Selection System (ISS) Software MCSIP Treatments Increased Roadside Inspections

30. 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?  Reach a greater number of carriers than CR resources alone would allow  Encourage safety improvement  Serve as a diagnostic and educational tool

31. 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 MCSIP Treatments Compliance Reviews

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

33. 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

34. 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 a 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

35. OOS REASONDENY PLATE RENEWAL ISSUE SUSPENSION - Minimum requirement PHYSICALLY RETRIEVE PLATES – Minimum requirement Final Unsatisfactory Rating YES When/if discovered operating at the roadside. Or, when OOS order/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/State suspension is hand delivered. Failing New Entrant Audit YES When/if discovered operating at the roadside. Or, when/if OOS order/State suspension is hand delivered. Carrier not allowing a New Entrant Safety Audit to be conducted YESWhen evidence exists that the carrier has continued to operate. When/if discovered operating at the roadside. Imminent Hazard YES When/if discovered operating at the roadside. Or, when/if OOS order/State suspension is hand delivered.

37. Why do all this?

38. 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.

39. 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 !

40. 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.”

41. “ Chameleon Carrier” Example from CT

42. 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?

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

45. YOU When a vehicle is stopped at the roadside, you should always check the target file whenever it is possible If OOS, Pick up plates If OOS, Confiscate vehicle Last point of contact

46. Access to Carrier and Vehicle Data Query Central NLETS Query to PRISM Target File CVIEW Inspection Selection System (ISS)

47. 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 OOSO Status 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)

48. 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 Authoritative Source VIN, State/Plate Registration Expire Date Carrier Resp. for Safety After Daily Updates After Daily Updates States download from SFTP Server after 5:00am 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 from SFTP Server after 5:00am

49. Carrier and Vehicle Registration Data Query Central Query Central supports inquiries using USDOT Number, License Plate & State, or Vehicle Identification Number

50. Carrier and Vehicle Registration Data

51. Note that at the top of the screen there are other categories of data that are also available

52. Carrier and Vehicle Registration Data NLETS to PRISM Central Site NLETS Supports Carrier Inquiry by USDOT Number and Vehicle Inquiry by VIN or License Plate & State

53. Carrier and Vehicle Registration Data NLETS Carrier Status Response 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 Targeted 00, 30, 99 Carrier is Targeted 2-22, 31-39, 70-89 Carrier is Under Federal OOSO 54, 55, 57, 63 Carrier Registration is Suspended/Revoked 59 Carrier is Under Federal OOSO AND Carrier Registration is Suspended/Revoked 60, 61, 62

54. Carrier and Vehicle Registration Data NLETS Carrier Status Response MSG FROM NLETS 3511 ACR.AVLIC0000. TO:DEST IA07710B5 *MRI0054352. TXT NOT ON FILE DOT/0000002. ;200611071036/200611071036 T175 22 MESSAGE FROM NLTS 054379 PRISM DATA PRISM Data is: Not on File – USDOT Number Not Found If a record is not found on the SAFER-PRISM database the response will be:

55. Carrier and Vehicle Registration Data NLETS Carrier Status Response If carrier is not targeted, the response will be: MSG FROM NLETS 5593 ACR.AVLIC0000. TO:DEST IA07710B5 *MRI0069282. TXT CARRIER IS NOT TARGETED. DOT/601807. NAM/EARL L FISH. ADR/1263 PLEASANT DRIVE. CITY/WAUKON.ST/IA.ZIP/52172. CAR TARG ‑ HIST IND/N.MCSIP STEP/0.MCSIP Date/00000000 PAGE/01 OF/01. ;200611081200/200611081200 T175 19 MESSAGE FROM NLTS 069295 PRISM DATA The PRISM Data is: USDOT Number Name Address Carrier Target History Indicator – N=None MCSIP Step – 0 = Not in MCSIP MCSIP Date – 00000000

56. Carrier and Vehicle Registration Data NLETS Carrier Status Response If carrier is targeted, the response will be: MSG FROM NLETS 3745 ACR.AVLIC0000. TO:DEST IA07710B5 *MRI0056917. TXT CARRIER IS TARGETED. DOT/600706. NAM/DOCK TRANSFER INC. ADR/4951 TERMINAL STREET. CITY/BELLAIRE.ST/TX.ZIP/77401. CAR TARG ‑ HIST IND/T.MCSIP STEP/6.MCSIP DATE/08212006. PAGE/01 OF/01. ;200611071054/200611071054 T175 36 MESSAGE FROM NLTS 056928 PRISM DATA The PRISM Data is: USDOT Number Name Address Carrier Target History Indicator – T=Targeted MCSIP Step - 6 MCSIP Date – 08/21/2006

57. Carrier and Vehicle Registration Data NLETS Vehicle Status Response Vehicle Status Response always returns the carrier data for the carrier responsible for safety – when there has been a carrier designated as responsible for safety Carrier data available on the Vehicle Status Response is the same as provided on the Carrier Status Response Designation of “Carrier is Not Targeted”, “Carrier is Targeted”, “Carrier has Federal OOSO”, or “Carrier Registration is Revoked/Suspended” is based on the value contained in the MCSIP Step

58. Carrier and Vehicle Registration Data NLETS Vehicle Status Response MSG FROM NLETS 3639 AVR.AVLIC0000. TO:DEST IA07710B5 *MRI0055497. TXT CARRIER IS TARGETED. DOT/572641. NAM/DALLAS & MAVIS SPECIALIZED CARRIER CO LLC. DBA/GREATWIDE DALLAS MAVIS. ADR/625 ‑ 55TH ST. CITY/KENOSHA.ST/WI.ZIP/53140. CAR TARG ‑ HIST IND/T.MCSIP STEP/12.MCSIP DATE/03312006. VMA/INTL.VYR/96.VIN/2HSFBASR4TC010413. LIC/66568.JUR/WI.REG EFF DATE/04012006.REG EXP DATE/03312007. VEH TARG ‑ HIST IND/T.VEH TARG ‑ HIST DATE/09042005. PAGE/01 OF/01. ;200611071045/200611071045 T175 29 MESSAGE FROM NLTS 055520 PRISM CARRIER DATA PRISM VEHICLE DATA

59. Carrier and Vehicle Registration Data NLETS Vehicle Status Response The PRISM Data is: USDOT Number Name DBA Address Carrier Target History Indicator – T=Targeted MCSIP Step - 12 MCSIP Date – 03/31/2006 Vehicle Make- INTL Year – 96 VIN – 2HSFBASR4TC010413 Lic Plate – 66568 Jur – WI Reg Date- 04/01/2006 Reg Exp Date – 03/31/2007 Veh Targ Hist Ind – T=Targeted Veh Targ Hist Date – 09/04/2005

60. Carrier and Vehicle Registration Data NLETS Vehicle Status Response MSG FROM NLETS 3639 AVR.AVLIC0000. TO:DEST IA07710B5 *MRI0055497. TXT CARRIER DATA NOT AVAILABLE – TARGET STATUS UNKNOWN. VMA/INTL.VYR/96.VIN/2HSFBASR4TC010413. LIC/66568.JUR/WI.REG EFF DATE/04012006.REG EXP DATE/03312007. VEH TARG ‑ HIST IND/N.VEH TARG ‑ HIST DATE/00000000. PAGE/01 OF/01. ;200611071045/200611071045 T175 29 MESSAGE FROM NLTS 055520 PRISM VEHICLE DATA ONLY The PRISM Data is: NO CARRIER DATA WAS AVAILABLE Vehicle Make- INTL Year – 96 VIN – 2HSFBASR4TC010413 Lic Plate – 66568 Jur – WI Reg Date- 04/01/2006 Reg Exp Date – 03/31/2007 Veh Targ Hist Ind – N=NONE Veh Targ Hist Date – 00/00/0000 Note that this is a rare occurrence but does occur.

61. 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

62. Carrier and Vehicle Registration Data SAFER Website Note that there is an OOSO dated January 29, 2007

63. 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

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

65. Carrier and Vehicle Registration Data ISS

66. 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

67. 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)

68. 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

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

70. 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

71. Carrier/Vehicle is OOSO FMCSA State Division Email notification of FMCSA State Division that vehicle has been detected and stopped

72. Carrier/Vehicle is OOSO Tow the vehicle