PRISM OVERVIEW Law Enforcement Training April 2009.

PRISMOVERVIEW

Law Enforcement TrainingApril 2009

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

PRISM Implementation Levels

Grant Approval – BLUEBLUE (5 States: CO, HI, IL, ND, RI)

States Developing Implementation Plan for Approval – PURPLEPURPLE (6 States: FL, MA, NJ, VA, WI, WY)

States Implementingan Approved Plan – GREYGREY (5 States + DC: CA, MS, MT, NY, OK)

PRISM Level 1 – REDRED Collecting/Validating USDOT Number of Carrier Responsible for Safety(6 States: AZ, IN, LA, OR, PA, TX)

PRISM Level 2 – YELLOWYELLOW Enforcing MCS-150 UpdateChecking Carrier Safety Status Submitting Targeted Vehicles to SAFER(2 States: DE, NC)

PRISM Level 3 – GREENGREEN 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 2009PRISM State Implementation Map – April 2009

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

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

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

PRISM...Two Main Processes

• Motor Carrier Safety Improvement Process

• Commercial Vehicle Registration Process

PRISM ANDVEHICLE

REGISTRATION

Commercial Vehicle RegistrationProcess

• 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 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

• 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

Create the PRISM TargetFile 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


• 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

Carrier responsible for safety

ASPEN – Scanning Cab Card Data

TraCS Common Information Manager

Carrier Data from Cab Card scanned into TraCS

Vehicle Data from Cab Card scanned into TraCS

TraCS Report

CIRF Form Auto-populated with scanned Cab Card vehicle data


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

MOTOR CARRIER SAFETYIMPROVEMENT PROCESS

MCSIP

Motor Carrier Safety Improvement Process

What is MCSIP?

Motor Carrier Safety ImprovementProcess (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

MCSIP Identification

How Motor Carriers Are Identified

for Inclusion in MCSIP


• 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 carriersbased on performance in four categories -Accident, Driver, Vehicle, and Safety Management


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


SafeStat ScoreAccident SEA = 95Driver SEA = 90Vehicle SEA = 65SM SEA = 80Overall SafeStat Score:Accident x 2 + Driver x 1.5 + Vehicle x 1 +SM x 1 = SafeStat score(95x2)+(90x1.5)+(65x0**)+(80x1) = 405Note: (**) 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

01020

30405060

708090

100

AC DR VH SM


• 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

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.

MOTOR CARRIER SAFETYIMPROVEMENT PROCESS (MCSIP)

Actions taken to address

MCSIP Carriers

• 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

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

• 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

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 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

OOS REASON DENY PLATE RENEWAL

ISSUE SUSPENSION -Minimum requirement

PHYSICALLY RETRIEVE PLATES – Minimum requirement

Final Unsatisfactory Rating

YES YES When/if discovered operating at the roadside. Or, when OOS order/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/State suspension is hand delivered.

Failing New Entrant Audit

YES 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

YES When evidence exists that the carrier has continued to operate.

When/if discovered operating at the roadside.

Imminent Hazard YES YES When/if discovered operating at the roadside. Or, when/if OOS order/State suspension is hand delivered.

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 OfficePlate 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.”

“Chameleon Carrier” Example from CT

Summary

IRP collects USDOT numbers and validatesFMCSA issues OOS to unsafe carriers IRP checks safety and refuses /suspends

registrationif 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.

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

Access to Carrier and Vehicle Data

• Query Central

• NLETS Query to PRISM Target File

• CVIEW

• Inspection Selection System (ISS)

Carrier Information Data Timeliness

MCMIS Database

Key Enforcement DataMCMIS UpdateMonday – Thursday

@ MidnightSaturday @ 8:00 am

SAFER Website(ad-hoc)

CVIEWT0031(batch)

SAFER - PRISM

NLETS(ad-hoc)

ISS(batch)

Authoritative Source

OOSO Status

USDOT NumberCarrier Name

Targeted IndicatorOOSO Status

After MCMIS Update

(Real-time for OOSO Status)

After MCMIS Update

After MCMIS Update

Monthly Data

Refresh

Freshest Data Stalest DataData Availability

SAFERFTP Site

States downloadfrom SAFER FTP

after 8:00 am

Query Central(ad-hoc)

Vehicle Registration Data Timeliness

State Vehicle Registration Office

Key Enforcement Data

NLETS Vehicle

Target Status(ad-hoc)

CVIEWT0041P

(batch)

PRISM Target File

(batch)

SAFER - PRISM

Query Central(ad-hoc)

Freshest Data Stalest Data

Authoritative Source

VIN, State/PlateRegistration Expire DateCarrier Resp. for Safety

After Daily Updates

After Daily Updates

States downloadfrom SFTP Server

after 5:00am

Daily Vehicle Record Uploads

PRISM PVF - 5:00amCVIEW XML - Throughout the day or evening batch

upload. (dependent on State process)

NLETSVehicle

Registration(ad-hoc)

Data Availability

Real-Timedirect fromState Office

PRISMSFTP Site

States downloadfrom SFTP Server

after 5:00am

Carrier and Vehicle Registration Data

Query Central

• Query Central supports inquiries using USDOT Number, License Plate & State, or Vehicle Identification Number


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


NLETS to PRISM Central Site

• NLETS Supports Carrier Inquiry by USDOT Number and Vehicle Inquiry by VIN or License Plate & State


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 Message MCSIP Steps

Carrier is NOT Targeted 00, 30, 99

Carrier is Targeted 2-22, 31-39, 70-89

Carrier is Under Federal OOSO54, 55, 57, 63

Carrier Registration is Suspended/Revoked59

Carrier is Under Federal OOSO AND Carrier Registration is Suspended/Revoked 60, 61, 62


NLETS Carrier Status Response

MSG FROM NLETS 3511ACR.AVLIC0000. TO:DEST IA07710B5*MRI0054352.TXT NOT ON FILE DOT/0000002.

;200611071036/200611071036T175 22MESSAGE FROM NLTS054379

PRISMDATA

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:


NLETS Carrier Status ResponseIf carrier is not targeted, the response will be:

MSG FROM NLETS 5593ACR.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/00000000PAGE/01 OF/01.


PRISMDATA

The PRISM Data is:

USDOT NumberNameAddressCarrier Target History Indicator – N=NoneMCSIP Step – 0 = Not in MCSIPMCSIP Date – 00000000


NLETS Carrier Status ResponseIf carrier is targeted, the response will be:

MSG FROM NLETS 3745ACR.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.


PRISMDATA

The PRISM Data is:

USDOT NumberNameAddressCarrier Target History Indicator – T=TargetedMCSIP Step - 6MCSIP Date – 08/21/2006


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



MSG FROM NLETS 3639AVR.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.


PRISMCARRIER

DATA

PRISMVEHICLE

DATA



The PRISM Data is:

USDOT NumberNameDBAAddressCarrier Target History Indicator – T=TargetedMCSIP Step - 12MCSIP Date – 03/31/2006

Vehicle Make - INTL Year – 96 VIN – 2HSFBASR4TC010413Lic Plate – 66568 Jur – WI Reg Date- 04/01/2006 Reg Exp Date – 03/31/2007Veh Targ Hist Ind – T=Targeted Veh Targ Hist Date – 09/04/2005


NLETS Vehicle Status ResponseMSG FROM NLETS 3639AVR.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.


PRISMVEHICLE

DATAONLY

The PRISM Data is:

NO CARRIER DATA WAS AVAILABLE

Vehicle Make - INTL Year – 96 VIN – 2HSFBASR4TC010413Lic Plate – 66568 Jur – WI Reg Date- 04/01/2006 Reg Exp Date – 03/31/2007Veh Targ Hist Ind – N=NONE Veh Targ Hist Date – 00/00/0000

Note that this is a rare occurrence but does occur.


SAFER Website (http://safer.fmcsa.dot.gov/ )

The first screen presented will display the available data. The option of “Company Snapshot” should be selected


SAFER Website

Note that there is an OOSO dated January 29, 2007


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


CVIEW

Training coordinator: Place state CVIEW screen here


ISS


ISS

When a carrier has been placed OOS ISS will provide this OOS Alert.

Press OK and ISS will provide the next screen


ISS

ISS-2 - 3

The Red Light indicates the carrier is Out of Service

(At the time of the last update of ISS)

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


I’ll write out this Out of Service Order, stick it on his windshield


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


FMCSA State

Division

Email notification of FMCSA State Division that vehicle has been detected and stopped


Tow the vehicle

PRISM OVERVIEW Law Enforcement Training April 2009.

Documents

Transcript of PRISM OVERVIEW Law Enforcement Training April 2009.