Public Utilities Commission of Ohio

Ohio Dept. of Taxation

Ohio Dept. of Transportation

Ohio Dept. of Public Safety Ohio State Highway Patrol Ohio Bureau of Motor Vehicles

Revised June, 2002

OHIOCVISN

BUSINESSPLAN

Ohio Commercial Vehicle Information Systems and

Networks (OCVISN)

TABLE OF CONTENTSEXECUTIVE SUMMARY 1

1.1 CVISN Background 3

2.0 BUSINESS PLAN DEVELOPMENT PROCESS 6

2.1 Development Of Strategic Concepts 6

2.2 Data Collection 6

2.3 Data Analysis 7

2.4 Project Definition 7

2.5 Report Writing 7

3.0 DESCRIPTION OF THE STATE 8

3.1 Current State CVO Program 9

3.2 Issues and Options 12

4.0 MISSION STATEMENT FOR ITS/CVO FOR OHIO 13

4.1 The Mission 13

4.2 Vision Elements 13

4.3 Ohio’s ITS/CVO Vision 16

4.4 Strategic Analysis 17

5.0 PROGRAM ACTIVITIES 22

5.1 Description of Projects 22

5.2 Project Assessment 25

5.3 Project Ranking 28

5.4 Project Summary Sheets 29

5.5 System Requirements and Design 36

5.6 Work Breakdown Structure 36

6.0 ORGANIZATION AND MANAGEMENT 37

6.1 Training and Outreach Plan 37

6.2 Funding Approach 38

6.3 Memorandum of Agreement 39

Appendix A - Data Collection and Analysis 43

Appendix B - Work Breakdown Structure 51

Appendix C – Organization Charts 55

Appendix C1 - State of Ohio Organization Relating to Commercial Vehicle Operations 55

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Appendix C2 - Program / Project Organization 56

Appendix C3 - Inter Agency Coordinating Group (Alternate members not listed) 57

Appendix D – Project Schedules 59

Appendix D1 – Project Wide Schedule 59

Appendix D2 – Integration Schedule 60

Appendix D3 – Safety, Credentialing and E-Screening Schedule 61

Appendix E – Work Assignments 62

Appendix F – Procurement Strategy 63

Appendix G – COACH Part 2, Management Checklists 64

Appendix H – CVISN Grant Agreement 67

Appendix I - Acronyms 68

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EXECUTIVE SUMMARY

Ohio has aggressively initiated and participated in a variety of ITS/CVO initiatives in recent years. The success of these projects provides the impetus and enthusiasm to pursue higher forms of technology in addressing issues relating to CVO. This document provides a concise summary of long term strategic concepts, goals, objectives and projects as well as a decision making framework within the context of the ITS/CVO program for Ohio, specifically regarding the Commercial Vehicle Information Systems and Networks (CVISN) program.

Ohio's Mission for ITS Commercial Vehicle Operations

Ohio’s mission for ITS Commercial Vehicle Operations revolves around achieving safe and efficient commercial transportation operations on public highways and at transportation facilities through effective implementation of motor carrier safety, registration and taxation provisions while maintaining efficiency and effectiveness in motor carrier operations. This mission also seeks to enhance the growth of commerce in Ohio, the region and the nation through improvements in CVO productivity while also ensuring quality and equitable service for commercial carriers and the public by maintaining a safe, efficient, accessible and integrated transportation system.

Ohio's ITS/CVO mission is supported by five defined vision elements. The first element is to improve the efficiency and effectiveness of CVO through "paperless" electronic credentialing and taxation processes, while maintaining privacy and confidentiality of information. The second element is to improve highway safety through efficient and timely data exchange to help eliminate unsafe and illegal operations. The third element is to enhance CVO productivity, efficiency and effectiveness by improving efficiency in roadside screening for inspections, thereby providing incentives for safe operations. The fourth element is to support state, regional and national economic growth and global competitiveness through improvements in CVO productivity. The fifth and final element is to facilitate voluntary regulatory CVO compliance of motor carriers by creating a user-friendly environment for agency and industry interactions.

Strategic analysis was used to develop the strengths and weaknesses of the existing systems in Ohio and to identify the opportunities and threats for future ITS/CVO programs in the state. A variety of problems were identified by the analysis. For instance, certain aspects of the current credentialing processes were found to be cumbersome, slow and time consuming and involved excessive amounts of paperwork. The number of IRP application sites in Ohio was found to be limited and renewal periods were seen as restrictive. Safety inspections were seen as not always being completely uniform or consistent. Carrier selection for safety inspections was identified as not always being based solely on safety-performance criteria. Finally, the potential for commercial vehicles to experience long delays at roadside inspections with unnecessary delays being imposed on compliant carriers was also observed.

A number of opportunities were also identified. In this case it was noted that Ohio's regulatory and enforcement processes could be more efficient and effective. Higher technology options could be deployed. A paperless credentialing environment could be created through electronic

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one-stop shopping. Safety could be improved by targeting high-risk carriers more effectively. Higher technology would enhance uniformity and consistency in safety inspections. Delays at inspection sites could be reduced. Enforcement resources could be more efficiently utilized. Voluntary compliance with safety and economic regulations could be encouraged and increased industry awareness could improve acceptance and participation.

To address these problems and take advantage of the opportunities that are present the following projects have been identified. Ohio will provide on-line, real time motor carrier safety and credentialing information from state, regional and national information bases to enforcement officers at the roadside. The state will also implement a data exchange system utilizing current "snapshots" of carrier, driver, and vehicle data from various agencies to be provided to government and private entities needing the data. The use of roadside electronic screening systems that use safety and credentialing criteria for electronic pre-clearance in the enforcement of safety and economic regulations will be upgraded and an “electronic one-stop shop” to fully automate the credentialing, taxation, permitting and payment process and participate in regional and national credentialing (IRP and IFTA) clearinghouses (if available) will be implemented.

This document outlines the cooperative plans of the Public Utilities Commission of Ohio, the Ohio Department of Public Safety, the Ohio Department of Taxation, and the Ohio Department of Transportation to undertake the projects listed above in conjunction with the Ohio Trucking Association and other interested organizations and agencies.

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1.0 INTRODUCTION

The purpose of the Ohio Commercial Vehicle Information Systems and Networks (CVISN) business plan is to develop a safe, effective, efficient and productive CVISN system in Ohio that fits within frameworks of regional and national CVISN initiatives. The business plan serves as a concise program summary that achieves consensus on CVISN policies among state agencies and the motor carrier industry and that will allow development and deployment of CVISN projects in a coordinated manner. The business plan identifies specific projects to be undertaken to address the specific CVO problems and achieve the CVISN vision for Ohio.

The business plan was originally organized and developed in 1998 by the Battelle Memorial Institute in association with a Steering Committee consisting of representatives of the state agencies and the motor carrier industry and associations in Ohio. The Business Plan was subsequently revised by the Steering Committee. The Public Utilities Commission of Ohio (PUCO) is the administrative lead agency in the business plan development effort. The Departments of Taxation, Public Safety (Bureau of Motor Vehicles and State Highway Patrol), Transportation, and the Ohio Trucking Association supported the development of the business plan. The development of Ohio's ITS/CVO business plan was supported by a grant from the FMCSA ITS/CVO “mainstreaming” funds. In January 2001, this plan was updated to reflect significant progress, increased funding, and modified goals. In February 2002, this plan was again updated to reflect organizational changes, updated schedules and current status on previously planned activities.

1.1 CVISN Background

As part of a national policy initiative, the U.S. Department of Transportation has expressed its intent to spend considerable funds in the next several years to relieve traffic congestion and improve highway safety through the use of electronic technologies. The term “intelligent transportation systems (ITS)” is being used to encompass the entire scope of electronic systems that may be utilized to address improvements in the nation’s transportation systems.

The ITS concept is broken down into seven major elements:

Travel & Transportation Management Travel Demand Management Public Transportation Management Electronic Payment Commercial Vehicle Operations (ITS/CVO) Emergency Management Advanced Vehicle Control & Safety Systems

The ITS/CVO element includes the ITS technologies which uniquely support Commercial Vehicle Operations (CVO). The scope of CVO includes the operations associated with moving

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goods and passengers via commercial vehicles over the North American highway system and the activities necessary to regulate these operations. It includes activities related to safety assurance, commercial vehicle credentials and tax administration, roadside operations, freight & fleet management, and vehicle operation. The term “commercial vehicle information systems and networks (CVISN)” refers to the ITS information system elements that support CVO.

CVISN is essentially information system elements that support commercial vehicle operations. This includes information systems owned and operated by governments, motor carriers, and other stakeholders. CVISN is not a new information system, but rather a way for existing systems to exchange information through the use of standards and the US commercially available communications infrastructure. CVISN will enable government agencies, the motor carrier industry, and other parties engaged in CVO safety and regulation to exchange information and conduct business transactions electronically.

The proposed use of these new technologies to support commercial vehicle operations (CVO) centers on two primary areas: Electronic exchange of business transactions among motor carriers, government agencies,

and related entities such as insurance companies and banks, and

“On highway” systems to expedite and improve safety of motor carrier operations, such as electronic “pre-approval” for safe trucks to bypass weigh stations.

The CVISN Program is proceeding in five major steps. The first step develops the management (plans) and technical (architecture) frameworks necessary to coordinate the subsequent phases. The second step is to prototype the technology in an integrated way in two states (Maryland and Virginia) to demonstrate operational concepts and validate requirements. The third step, ongoing at this time, is to pilot the approach in a limited number of "model" states. This allows testing and evaluating in a project of manageable size before proceeding to widespread deployment. The fourth step, is expansion from the model states to a number of partner states. This should be a smooth expansion, since each partner state will be coordinating with a model state in the same region. The final step allows for deployment to all interested states.

Expected Benefits for State Governments

1. Data interchange among states, carriers, financial institutions, and insurance carriers will be electronic and efficient.

2. Administrators and enforcement personnel will have electronic access to required data.3. Enforcement resources can be focused on high-risk carriers and drivers.4. Credentials issuance, taxation, inspections, and compliance reviews will be automated to

proceed more efficiently.5. Better enforcement of weight, size, safety, and tax regulations.

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6. In the long term, re-engineered policies and practices can be based on measured data and careful analysis.

Expected Benefits for Motor Carriers

1. Reduced administrative burden in regulatory compliance.2. Vehicles of safe and legal carriers will incur less delay.3. Technology investment can support multiple services.4. Uniformity of services across North America.5. Focus on unsafe carriers will “level the playing field.”6. Reduction in exposure to lane change movements at inspection sites.7. Increased commercial vehicle fuel efficiency.

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2.0 BUSINESS PLAN DEVELOPMENT PROCESS

This section describes the steps involved in developing the CVISN business plan for Ohio.

The lead agency (PUCO) established a Steering Committee that consisted of representatives of the motor carrier industry and representatives of all state agencies with CVO responsibilities. The initial consultant (Battelle) worked closely with the Steering Committee in developing the business plan. The development of Ohio's CVISN business plan involved five major steps as discussed below.

2.1 Development Of Strategic Concepts

The first step developed the strategic concepts. This step consisted of defining the overall long-range mission statement for ITS/CVO for Ohio; developing the underlying assumptions ("guiding principles") for program development; outlining the broad achievements (goals) desired; and establishing specific objectives within the goals. The guiding principles were developed as elements of the vision for the future in ITS/CVO. The development of the strategic concepts formed the basis for the data collection effort and definition of projects in the subsequent steps.

2.2 Data Collection

The second step was data collection. This consisted of five elements (i) kick-off workshop; (ii) literature review; (iii) interview; (iv) site visits, and (v) focus groups.

Kick-off workshop: The kick-off workshop was held in 1997 for representatives of all stakeholders to present and discuss the strategic concepts and outline the potential benefits to the state agencies and motor carrier industry. This workshop was conducted to encourage participation and buy-in of stakeholders in the ITS/CVO program for Ohio. The workshop provided the opportunity for the stakeholders to start communicating. This effort was necessary to facilitate agreement on the guiding principles, common goals and objectives for the ITS/CVO program for Ohio.

Literature review: Available literature on ITS/CVO was reviewed to develop a "best practices" white paper of ITS/CVO implementation that focused on Ohio's vision. Recent developments including ITS early deployment plans, CVISN deployment plans in pilot states as well as business plans from other states were reviewed.

Interview: Data was gathered through interviews of state and industry representatives. The questionnaire was structured to capture information relating to current practices and responsibilities; type, level and plans for future deployment of technology relating to CVO; problems and concerns relating to ITS/CVO; and strategies or opportunities for overcoming barriers. Separate questionnaires were used for state agencies and motor carriers.

Site visits: As part of the data collection effort, on-site visits were made to weight and safety

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enforcement locations: one to a weigh scale that employs mainline automated screening (i.e., part of the former Advantage CVO program) and one visit to a weigh scale that has no ITS/CVO technology. These site visits provided first hand information on the functioning of the existing roadside systems, any technical problems and insights for future modifications. These visits also provided the opportunity to solicit opinions from the enforcement personnel and drivers.

Focus groups: Data collected through the interviews was then reviewed and refined through focus groups. Two focus groups were used, one for private sector CVO stakeholders and one for state agencies. These groups were identified in consultation with the Steering Committee. This effort was essential to ensure that there is reasonable agreement on the issues and concerns identified during the individual interviews. The results are summarized in Appendix A.

2.3 Data Analysis

The third major step was the analysis of data. This involved procedural analysis to determine specific CVO problems from the agency and motor carrier standpoints in Ohio that can be addressed through ITS/CVO implementation. This was followed by strategic analysis to identify the strengths and weaknesses of the CVO systems in Ohio and the opportunities for addressing these problems and the potential threats. The Strength, Weakness, Opportunity and Threat (S.W.O.T.) analysis allowed the vision elements of Ohio's ITS/CVO program to be aligned to the opportunities, threats and CVO problems in Ohio. The strategic analysis develops the organizations strategic path towards realizing the vision elements. Results of the S.W.O.T. analysis are also attached in Appendix A.

2.4 Project Definition

The fourth step defined the projects to address the CVO problems based on the S.W.O.T. analysis. This involved two items (1) identification of the relationship between the vision elements and the four major ITS/CVO functional areas, and (2) definition of projects under each major area. Concepts for the individual projects for each of the major areas are described as part of this task. Information from the "best practices" was used to develop the concepts. The use of "best practices" information is to ensure conformity and compatibility with the nationwide effort to create a coordinated information system for CVO. The projects were assessed based on a set of criteria relating to cost, resources, technology, simplicity, etc. A schedule for project deployment was then generated.

2.5 Report Writing

The final step in the business plan development process combined the findings from the previous steps into a draft business plan. This was then reviewed and revised by the Steering Committee before a final report was prepared summarizing the business plan for Ohio.

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3.0 DESCRIPTION OF THE STATE

This section describes the existing systems relevant to the functional areas of ITS/CVO. The relationships to regional and national ITS/CVO initiatives are first outlined. The current CVO activities and issues and opportunities that impact CVO in Ohio are discussed.

The Nation

As part of the national policy initiative, the U.S. Department of Transportation has expressed its intent to spend considerable funds in the next several years to relieve traffic congestion and improve highway safety through the use of intelligent highway system technologies. The scope of the CVO component of the ITS technologies includes operations associated with passenger and freight movement via commercial vehicles and the activities necessary to regulate these operations. The national ITS/CVO goals and objectives recognized four elements as producing benefits through improving highway safety, streamlining credentials and tax administration, reducing congestion costs for motor carriers, and ensuring regulatory compliance and equitable treatment. The national ITS/CVO goals are accomplished within a framework defined by safety assurance, credentials administration, electronic clearance, and carrier operations.

The Region

Ohio is a member of the Great Lakes truckshed, and former member of the Advantage CVO States and the Alliance CVO Mainstreaming. The geographic location of Ohio places it in a central position providing an essential link to East-West freight movement in the US and North-South international trade between the U.S. and Canada. The region is composed of industrial states in the Midwest and industrializing states in the Southeast. Ohio has established a record of working with public-private partnerships to accomplish CVO goals in the region.

The State

With seven major Interstate highways (I-70, 71, 75, 76, 77, 80 and 90) and being situated in a primary East-West commercial traffic corridor, Ohio is a showcase of commercial highway transportation. Often referred to as the "crossroads of the Nation", Ohio is centered between U.S. commercial and population concentrations. Ohio's participation in regional and national ITS/CVO initiatives is an expansion of existing projects relating to applying ITS technologies to the regulations and enforcement of Federal safety regulations. Ohio has established a "track record" of success in unique technology-related projects. These include: the Advantage I-75 mainline automated clearance project, initiation of the fax back customer service for carriers, piloting the multi-state adoption of the Single State Registration System (SSRS) projects, pilot state in the implementation of the ASPEN and ISS software, pilot state in the Uniform Hazardous Materials Transportation permit project, introduction of an electronic application for oversize / overweight (OS/OW) permit, internet renewal of non-commercial vehicle registrations, and electronic filing of insurance verifications of for-hire carriers.

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Approximately 365,000 general-purpose non-International Registration Plan (IRP) commercial vehicles are registered in Ohio in addition to 47,000 truck tractors and 115,000 commercial trailers (527,000). Ohio has a total of 113,435 miles of highways. About 11,000 companies are registered in Ohio with the FMCSA. Approximately 1,000 "for hire" busses are based in Ohio, along with over 2,000 private buses. State agencies and their responsibilities for the various administrative and enforcement processes of the motor carrier safety and economic regulations are discussed in the following sections.

3.1 Current State CVO Program

This section outlines CVO programs in Ohio. Highlights of current administrative and enforcement procedures are provided. Existing CVO projects in Ohio that are ITS oriented are also listed. Currently, processing of various types of applications for permits, licenses and registrations for commercial motor vehicle are handled by four separate state agencies. The PUCO and the Ohio State Highway Patrol, a Division of the Department of Public Safety, jointly handle enforcement of the regulations. The agencies and their responsibilities are summarized in Table 3.1.

Transactions involving for-hire operating authority and insurance filings are handled via mail, facsimile, or Internet by the PUCO. This includes the SSRS and the intrastate registration. The PUCO also administers Hazmat permits. As one of the original states in the Uniform Hazardous Materials Transportation Procedures ("The Alliance"), Ohio has developed extensive, unique data and administrative systems for base-state and federal registration of Hazmat carriers. These transactions are handled via mail and fax, but the extensive data system for state use has been developed with the intent of later utilization for a variety of "external" services for carriers and other potential users.

Vehicle registration and operators' licenses are the responsibility of the Bureau of Motor of Vehicles (BMV) of the Department of Public Safety, mostly through private-party deputy registrars under contract to BMV. The IRP transactions are handled through the Affiliated Computer Systems (ACS) IRP Center, and intrastate commercial vehicle registrations through the local deputy registrars. These transactions are handled via mail or in person. Affiliated Computer Systems (ACS) provides a "turn key" IRP center for the state using VISTA/RS; i.e., it provides all personnel, hardware, and software for IRP processing. In early 2001, four regional IRP processing centers were opened under an Affiliated Computer Systems (ACS) contract. Currently, there is no direct electronic communication between the IRP Center and carriers. The current BMV contract with Affiliated Computer Systems (ACS) expires in June, 2003. Commercial vehicle driver licenses (CDL) are also processed in person by local deputy registrars. In 2000, non-commercial license plate renewal was made available on the Internet via a third-party vendor under contract to the state (see www.oplates.com).

The Ohio Department of Taxation (ODT) issues fuel use tax (FUT) and the International Fuel Tax Agreement (IFTA) permits and accepts related tax filings from carriers. ODT processes the information through Affiliated Computer Systems (ACS) VISTA/TS system. State employees perform data entry, and Affiliated Computer Systems (ACS) software is utilized for

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record keeping and calculations. These transactions are handled via mail or facsimile. In 2000, the ODT was successful in modifying state laws to eliminate small transaction fees in preparation for later Internet activity in CVISN.

The Ohio Department of Transportation (ODOT) issues oversize / overweight (OS/OW) permits. The system allows for electronic application submissions and receipt for frequent-users. This system utilizes a software system developed for and operated by ODOT.

The Ohio Department of Public Safety has signed an agreement with HELP, Inc., for installation / operation of the PrePass electronic pre-clearance system in Ohio. This system will permit vehicles of qualified carriers to be pre-cleared at weigh stations by using advanced technologies to verify the carrier’s safety and credential status. PrePass is a voluntary program that carriers opt to participate in. PrePass is currently operational at 16 sites on Ohio’s interstate highways.

The Ohio State Highway Patrol in association with the PUCO carries out MCSAP safety inspections and roadside enforcement. Ohio was the first state to utilize the ASPEN software to input all MCSAP roadside inspection data into portable computers at the roadside and to upload the information electronically to Safetynet. Currently, a total of 118 staff from the PUCO and Ohio State Patrol are involved in the program. Inspectors utilize the ASPEN program to conduct about 60,000 safety inspections annually. Once the inspection data is uploaded to Safetynet at the state level, the information is automatically processed to generate fax-back copies to carriers requesting that service, and generate violation information for Ohio's unique civil forfeiture (penalty) system.

Since motor coaches are not inspected at fixed scale sites in Ohio (destinations such as amusement parks are used), those carriers are less affected by CVISN potential changes in roadside screening; however, passenger carriers will be able to take advantage of the same electronic “one-stop shop” features as other carriers in credentialing processes. The trade association representing motor coaches is being kept informed of potential CVISN developments and will participate in the planning process as needed.

Phase I of Ohio’s Multi-Agency Radio Communications System (MARCS) is scheduled to begin in August of 2002. This 800 MHZ trunking system, costing over $280 million, will provide a key communications link for all roadside operations involved in the CVISN efforts. Originally it was anticipated that this system would also be utilized as a data link between roadside personnel and Ohio’s CVISN systems. However, after further research into the capabilities of the system, it is likely that Ohio will pursue an alternative method of data communications such as cellular or microwave technology.

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TABLE 3.1 REGULATORY AND ENFORCEMENT FUNCTIONS OF STATE AGENCIES

Function Area State Agency Responsibility

Administrative

Department of Public Safety: Bureau of Motor Vehicles

IRP (Affiliated Computer Systems (ACS) VISTA/RS)

Intrastate Registration CDL

Department of Taxation IFTA (Affiliated Computer Systems (ACS) VISTA/TS)

FUT (intrastate tax)

Department of Transportation OS/OW permit

Public Utilities Commission of Ohio

SSRS Hazmat permit

Intrastate registration

Operating authority

FMCSA Safetynet Data

Enforcement Department of Public Safety:

Ohio State Highway Patrol

Roadside inspections

OS/OW enforcement

Public Utilities Commission of Ohio Safety inspections

Hazmat inspections

ITS/CVO projects that are currently being implemented in Ohio include the following:

Electronic application and issuance of OS/OW permits by the Department of Transportation,

Participation in the Help, Inc. PrePass program involving mainline automated clearance systems currently installed at 16 sites,

Deployment of lap-top computers and ASPEN2, ISS2, CDLIS software for all safety inspectors in Ohio,

Hazmat inspection specialists equipped with lap top computers and ASPEN2, CAPRI, CDLIS, MCREGIS and other FMCSA programs

Ohio's ITS/CVO plans are defined as projects in this business plan. The major thrust is to move further to deploy systems that improve safety, efficiency and productivity in CVO through the

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development and deployment of technologies that improve efficiency in the state agencies' credentialing, safety information exchange and roadside inspections functions.

3.2 Issues and Options

Major issues that affect the administration and enforcement of CVO regulations may typically present both opportunities and obstacles to the application of ITS technologies. In Ohio, those issues include the following:

The Department of Taxation (ODT) has been moving toward paperless tax filings and this falls in line with CVISN concepts. The department uses Affiliated Computer Systems’ VISTA-TS computer system to administer the International Fuel Tax agreement (IFTA). The VISTA-TS system is also used by several other states involved in CVISN and Affiliated Computer Systems already interfaces with the IFTA Clearinghouse. Electronic filing of tax returns and registrations and the electronic sharing of information fit the department of Taxation’s goals for the future.

The Public Utilities Commission plans to initiate an effort to completely redesign the structure and format of all databases included in the Commission’s Ohio Motor Carrier Information System (OMCIS), which will include all MCSAP inspection, compliance review, and crash data as well as registration of for-hire, hazmat, and household goods carriers, both intra and interstate.

The Bureau of Motor Vehicles of the Department of Safety currently contracts with Affiliated Computer Systems (ACS) for the "turnkey" processing of IRP applications. Affiliated Computer Systems (ACS) is also the service provider for a number of states that are CVISN prototype or pilot states. The company's experience in developing CVISN compatible interfaces with state legacy systems provides a great opportunity for Ohio's ITS/CVO program. Affiliated Computer Systems (ACS), under contract to BMV, has recently opened four new regional IRP processing centers, indicating a further commitment to customer service.

The Bureau of Motor Vehicles has recently initiated on-line renewal of non-commercial license plates (see www.oplates.com). This commitment to new technologies for customer service is a major step toward similar CVISN concepts for commercial vehicles.

The Department of Transportation has developed an ITS strategic deployment plan for the I-71 corridor in Ohio. Preliminary plans include commercial vehicle electronic clearance, roadside CVO safety and driver / vehicle safety monitoring components. These are consistent with the ITS/CVO vision elements for Ohio and the core features are in compliance with the national ITS infrastructure. The deployment schedule includes short and long term projects. Experiences from these projects will be useful in CVISN deployment in Ohio.

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4.0 MISSION STATEMENT FOR ITS/CVO FOR OHIO

This section describes the strategic concepts for the ITS/CVO program for Ohio. The mission, guiding principles, goals and objectives are described.

4.1 The Mission

To achieve safe and efficient commercial transportation operations on public highways and at transportation facilities through effective implementation of motor carrier safety, registration and taxation provisions while maintaining efficiency and effectiveness in motor carrier operations.

To enhance the growth of commerce in Ohio, the region and the nation through improvements in CVO productivity.

To ensure quality and equitable service for commercial carriers and the public by maintaining a safe, efficient, accessible and integrated transportation system.

4.2 Vision Elements

Ohio's vision for ITS/CVO is composed of a number of defined elements that can be used to evaluate potential ITS/CVO projects in the state. These elements represent the guiding principles or assumptions underlying the development of the business plan. The elements are:

I. Improve efficiency and effectiveness of CVO through "paperless"electronic credentialing and taxation processes, while maintaining privacy and confidentiality of information.

II. Improve highway safety through efficient and timely data exchange to help eliminate unsafe and illegal operations.

III. Enhance CVO productivity, efficiency and effectiveness by improving efficiency in roadside screening for inspections thereby providing incentives for safe operations.

IV. Support state, regional and national economic growth and global competitiveness through improvements in CVO productivity.

V. Facilitate voluntary regulatory CVO compliance by motor carriers by creating a user-friendly environment for agency and industry interactions.

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These guiding principles or vision elements are used to tailor the goals and objectives of Ohio's ITS/CVO program. The specific multiple objectives that embody the goals are identified. These broad goals and objectives associated with each vision element are discussed in this section. These guiding principles are in agreement with the "CVISN Guiding Principles" as developed and published by the ITSA/ CVO Program Subcommittee. Those principles have been accepted and adopted by the Ohio CVISN Steering Committee to ensure that all CVISN activities in Ohio will be conducted in accordance with these guiding principles.

I. Improve efficiency and effectiveness of CVO through "paperless"electronic credentialing and taxation processes, while maintaining privacy and confidentiality of information.

This vision element is seen is an embodiment of the overriding goal of the ITS/CVO program to streamline and improve CVO in Ohio. This element is directed at the opportunities for paperless processes for both state agencies and motor carriers.

Broad goal: Improve efficiency and effectiveness in administrative processes including registration, credentialing and taxation through electronic applications without creating additional information requirements or compromising confidentiality.

Objective: Implement an "electronic one-stop shop" for credentialing, permitting and payment functions.

Objective: Reduce the steps, time and effort required by industry and state agencies to fulfill regulatory obligations.

Objective: Reduce administrative burden on the part of motor carriers in complying with safety and economic regulations.

II. Improve highway safety through efficient and timely data exchange to help eliminate unsafe and illegal operations.

This element extends the opportunities for improving highway safety through effective screening for safety enforcement based on accessibility to and timely delivery of real time safety data. Carriers with good safety performance records will experience efficiency in their operations by virtue of the ability of enforcement personnel to easily identify and target less safe operators. Similarly, unsafe operators will be more effectively identified and removed from operation.

Broad goal: Improve highway safety of CVO.

Objective: Reduce the rate and severity of crashes involving commercial vehicles in Ohio.Objective: Improve motor carrier voluntary compliance with safety regulations.Objective: Provide a real-time safety information exchange system to facilitate roadside

screening to identify and target high-risk carriers for inspections.Objective: Implement reliable high-speed communication systems and data transfer

technologies.

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III. Enhance CVO productivity, efficiency and effectiveness by improving efficiency in roadside screening for inspections thereby providing incentives for safe operations.

A major component the ITS/CVO program is directed towards enhancing economic growth through improvement in productivity and efficiency in freight movement by trucks. This element is perceived as one of the high priority areas by virtue of its relationship with safety. The element has as its central focus, streamlining enforcement procedures through the application of ITS technologies so that parallel benefits to private and public sectors can be realized.

Broad goal: Enhance CVO productivity and efficiency.

Objective: Reduce inspection delays to safe operators in Ohio and create incentives for voluntary compliance with safety and economic regulations.

Objective: Enhance efficiency and effectiveness in enforcement of safety and economic regulations.

Objective: Expand and enhance electronic screening capabilities on highways.

IV. Support state, regional and national economic growth and global competitiveness through improvements in CVO productivity.

This vision element aligns with the goals and objectives of the regional and national ITS/CVO initiatives. It focuses on the quality of choices between alternative processes in streamlining CVO.

Broad goal: Support state, regional and national economic growth and global competitiveness.

Objective: Implement technologies that are compatible with regional and national initiatives.

Objective: Identify and eliminate unproductive requirements, regulations and enforcement procedures.

Objective: Identify and eliminate state specific regulatory and enforcement requirements that may unnecessarily hinder economic growth or create barriers to smooth traffic flow through Ohio.

V. Encourage voluntary regulatory compliance by motor carriers by creating a user-friendly environment for agency and industry transactions.

This vision element unifies the expectations of the motor carrier industry and the regulating agencies to ensure the success of the ITS/CVO programs in Ohio. Conflicts in goals and interests of all stakeholders need to be resolved for the success of any programs that are implemented.

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Broad goal: Encourage voluntary compliance with safety and operating regulations.

Objective: Create an environment that encourages dialogue between agencies and industry.Objective: Strengthen partnership with associations of motor carriers through exchange of

ideas and information to improve performance of ITS/CVO systems.Objective: Provide seminars and training sessions on regulatory changes, new technology

developments and implementation, and systems enhancements.

4.3 Ohio’s ITS/CVO Vision

In the year 2005:

High technology systems for regulating Commercial Vehicle Operations in Ohio have been built to improve safety, productivity and efficiency as well as enhance economic growth. The systems have been designed to ensure that secure and accurate electronic information is gathered to allow fast and error-free credentialing process. The systems encourage safe and smooth flow of goods and services on the highways without the burden of paper documents or the need to stop at all inspection sites.

The advanced information technology systems improve efficiency and effectiveness in the administrative regulatory processes, identification and removal of unsafe carriers from the traffic stream and provide incentives for voluntary compliance with safety and economic regulations. The steps, time and effort requirements of industry and state agencies to fulfill regulatory obligations are remarkably reduced or virtually eliminated. The systems have in-built performance-based screening criteria that have reduced the number of crashes on the highways due to commercial vehicles.

These systems have been built as a service to industry with no extra taxes or surcharges placed on the motor carrier industry. The open architecture standards allow systems that ensure uniformity in services across the U.S. to motor carriers. The benefits of these systems to Ohio are also manifested in efficiency in tax collection and enforcement resource utilization.

Industry and state partnerships to promote greater economic growth at state, regional and national levels have been established. Private sector involvement and support from research and development firms in Ohio contributed immensely to the success of the Ohio's ITS/CVO program.

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4.4 Strategic Analysis

This section describes the analysis of data. The vision elements and opportunities are aligned to the CVO problems.

The project team in consultation with the Steering Committee developed the strategic concepts for the CVISN/ITS/CVO program for Ohio. Based on the guiding principles, broad goals and objectives, interviews and focus group discussions were conducted with representatives of all state agencies and the motor carrier industry. The questionnaire and the interviews were structured to gather sufficient information to map and describe the current CVO processes in Ohio, the level of technology deployment, plans for future deployment of technologies, CVO problems (technical and non-technical), and suggestions to address the problems and issues. A strategic analysis was then carried out to develop the strengths and weaknesses of the existing systems and identified the opportunities and threats for ITS/CVO programs in Ohio. The results of the data collection and S.W.O.T. analysis are included in Appendix A.

The S.W.O.T. analysis allows the inter- relationships between agencies, their problems and vision elements to be easily identified. The vision elements are first matched with the CVO problems and opportunities in Ohio, then the potential threats are aligned with them. Each vision element addresses one or more opportunities and threats, and can be associated with one or more CVO problems in Ohio. These are summarized in Figure 4.1 and discussed in the following sections.

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FIGURE 4.1 DATA ANALYSIS

Vision Element SWOT Opportunity SWOT Threat Ohio ProblemI. CVO through paperless credentialing and taxation processes

Higher use of technology Electronic one-stop shopping Paperless environment Error free credentialing

Lack of commitment Cost Lack of access to technology Lack of privacy of information Safety mission compromised Move from people to technology

Slow application process

Delays in credentialing process

Too much paperwork

Multiple agency dealings

Limited IRP application sites

(Problem has been addressed)

Limited IRP renewal dates

II. Improved highway safety Higher use of technology Targeting high risk carriers Efficient use of resources Uniform system Consistency in safety inspections

Mistrust of regulators' motivation Non-objective targeting criteria Non-uniform standards

Crash costs

Infrastructure damage

Inconsistent safety inspections

Misdirected focus on carrier selection

III. Enhanced CVO productivity, efficiency and effectiveness

Higher use of technology Paperless environment Level playing field for industry Reduced delays at inspection sites Uniform system

Lack of commitment Non-objective targeting criteria Lack of access to technology Non-uniform standards

Excessive delays at roadside inspections

Non-uniform safety enforcement practice

Inconsistent enforcement

IV. Support economic growth and global competitiveness

Higher use of technology Increased industry awareness Regional system uniformity Level playing field for industry

Lack of commitment Lack of access to technology Non-uniform standards

Inconsistent compliance requirements

Unnecessary delays to compliant carriers

V. Facilitate voluntary regulatory CVO compliance

Increased industry awareness Higher use of technology Level playing field for industry Voluntary compliance

Mistrust of regulators' motivation Lack of commitment Lack of access to technology Move from people to technology

Roadside delays

Application restrictions

Slow application process

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4.4.1 Improve Efficiency and Effectiveness of CVO Through "Paperless" Electronic Credentialing and Taxation Processes, While Maintaining Privacy and Confidentiality of Information.

This vision element addresses the problems associated with the credentialing and taxation processes in Ohio. Development and deployment opportunities in higher use of technology can be used to implement electronic one-stop shop that will reduce the time and effort required in credentialing processes. An electronic one-stop shop will eliminate multiple agency dealings and limitations on IRP application sites and time frames. This will create a paperless environment that is expected to improve efficiency and effectiveness in the administrative processes without the need for additional information requirements or compromising confidentiality. An electronic credentialing process is also expected to reduce delays in the application process.

Ohio is committed to developing systems that will reduce the steps, time and efforts required to fulfill regulatory obligations. The system will be provided as a service and made available to industry at no cost. The use of higher technologies will not result in Ohio's safety mission being compromised. The implementation of an electronic one-stop shop for credentialing purposes requires industry's accessibility to the technology in order to communicate effectively with the state agencies. The move from people to technology is viewed as a positive endeavor that is expected to result in a fast and error free credentialing process and enhance efficiency in resource utilization.

4.4.2 Improve Highway Safety Through Efficient and Timely Data Exchange to Help Eliminate Unsafe and Illegal Operations.

This vision element extends the opportunity for improving highway safety through the use of higher technology to identify and remove high-risk carriers and illegal operators from operation. It is anticipated that such technologies will result in efficient and effective use of enforcement resources. Availability of real time and accurate data on carriers to enforcement personnel through the deployment of higher technology is expected to encourage consistency and uniformity in safety inspections. Targeting of carriers will be based on criteria that include safety performance of carriers where no particular category of carriers by virtue of size or operating characteristics will be the focus of enforcement efforts. The use of higher forms of technology is also expected to limit bias in the roadside screening process. The systems will be deployed with the primary objective to improve safety on the highway and reduce costs associated with commercial vehicle crashes and potential damage to the infrastructure.

The systems will be developed and deployed in collaboration with the motor carrier industry in order to avoid any mistrust and suspicion on the part of motor carriers as to the real purpose of the systems. This partnership is also expected to enhance industry's awareness and encourage participation and commitment to the goals and objectives of the ITS/CVO program in Ohio. In pursuance of the goals of national ITS/CVO initiatives, Ohio envisions the adoption of systems that comply with the uniform open standards in the technologies so as to achieve a uniform system direction that promotes uniformity in the enforcement process and fairness to the motor carrier industry.

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4.4.3 Enhance CVO Productivity, Efficiency and Effectiveness by Improving Efficiency in Roadside Screening for Inspections Thereby Providing Incentives for Safe Operations.

Ohio views enhanced economic growth through improved CVO productivity and efficiency as a major component of the ITS/CVO program. Higher forms of technology that promote a level playing field where carriers of different sizes and operations are treated fairly will be deployed. Operations in a paperless environment and the use of higher forms of technology in roadside screening processes will translate into an efficient and productive motor carrier industry. The question of excessive delays at roadside presents the opportunity to use advanced forms of technology to make carrier safety data available to enforcement personnel in a timely fashion to assist in making screening decisions. Such a system will not only reduce delays to complaint operators but also promote consistency and uniformity in the entire enforcement process and serve as incentives for safe operations. Improving roadside screening reduces delays and offers the opportunity for voluntary compliance with regulations.

Ohio is committed to improving efficiency and productivity in truck operations. The technology will be accessible to industry so that they have the opportunity to conduct paperless transactions with the state agencies. Targeting of carriers for inspection will be based on criteria that include safety performance and credentials information of carriers where no particular category of carriers by virtue of size or operating characteristics will be the focus of enforcement efforts.

4.4.4 Support State, Regional and National Economic Growth and Global Competitiveness Through Improvements in CVO Productivity.

Ohio seeks to implement higher forms of technology that are compatible with regional and national initiatives. Ohio is committed to supporting economic growth and global competitiveness by eliminating state specific regulatory and enforcement requirements that may unnecessarily hinder economic growth or create barriers to smooth traffic flow through the state. Ohio will identify and eliminate unproductive compliance requirements and enforcement procedures. This will also promote consistency in the enforcement processes. Supporting state, regional and national economic growth enables Ohio to pursue opportunities in promoting regional systems uniformity.

The opportunity to deploy higher technology in accessing safety information will enable enforcement personnel to focus attention on less safe carriers thereby reducing the possibility of causing unnecessary delays to compliant and safe carriers. It is envisioned that the technology will be accessible to industry to facilitate communication between the agencies and industry. The potential benefits of the systems offer the opportunity for increased industry awareness of the ITS/CVO program and encourages their participation and involvement. Partnership between state agencies and industry is viewed as an essential element in demonstrating trust, commitment and increased awareness for the success of the ITS/CVO program.

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4.4.5 Encourage Voluntary Regulatory Compliance by Motor Carriers by Creating a User-friendly Environment for Agency and Industry Transactions.

This vision element is important for the long-term success of ITS/CVO programs in Ohio. It unifies the expectations and commitment of the motor carrier industry and state agencies to achieve the goals of the ITS/CVO program. Ohio seeks to create an environment that encourages voluntary regulatory compliance with the safety and operating regulations. This vision element enables Ohio to use the opportunity to increase industry awareness through seminars and training sessions on regulatory changes, new technology development and implementation and systems enhancements. Increased industry awareness of the potential benefits of the ITS/CVO programs is expected to eliminate suspicion of the agency’s motives and intentions of the use of higher technology. Increased awareness instills confidence and encourages participation and commitment to the ITS/CVO program including electronic systems designed to reduce delays in the credentialing processes and at roadside inspections. Streamlining CVO operations through the use of higher forms of technology that remove time wasting restrictions in credentialing processes, reduces delays at roadside inspections and offers the opportunity for voluntary compliance.

The use of higher forms of technology for credentialing purposes will be accessible to industry in order to communicate effectively with the agencies or the electronic one stop shop. The move from people to technology is expected to increase efficiency and speed in the credentialing processes and also limit bias in the roadside screening process.

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5.0 PROGRAM ACTIVITIES

5.1 Description of ProjectsThis section identifies the projects in each of the major functional CVISN areas that address problems and are targeted to the vision elements.

Project definition is accomplished in two steps. First, the linkage between the vision elements and the ITS/CVO functional areas are identified. This is then followed by a description of the conceptual framework of the individual projects. The concepts are developed based on information gathered from the "best practices" white paper developed as part of the data gathering effort. It is based on practices in CVISN pilot states. The use of "best practices" information is to ensure conformity with the nationwide effort to create a coordinated information system for CVO. The major functional areas are:

Safety assurance (safety information exchange) Credential administration (deskside) processes Roadside electronic screening

Figure 5.1 shows Ohio's ITS/CVO vision and project matrix. An "X" in a cell indicates a strong linkage between the vision element and the functional area where the vision element is an important consideration in developing projects in that functional area. A blank cell indicates that the vision element is of little importance within the context of the functional area under consideration.

FIGURE 5.1 ITS/CVO VISION AND PROJECT MATRIX

Functional area

Vision element

Projects

Credentialing Administration Systems

Roadside electronic screening

Safety Information Exchange Systems

Paperless CVO credentialing and taxation processes

X X X

Improved highway safety X X

Enhanced CVO productivity, efficiency and effectiveness

XX X

Support economic growth and global competitiveness

X X

Facilitate voluntary regulatory CVO compliance

XX X

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The following are projects identified to address the CVO problems and opportunities. These are described in detail in the following sections. The first project is within the functional area of administrative processes, the second project is within roadside electronic screening systems functional area, and the third and fourth projects are within the safety information exchange functional area.

1. Credential administration system that provides an electronic one-stop shop to fully automate the credentialing, taxation, permitting and payment process and participate in regional and national credentialing (IRP and IFTA) clearinghouses, if available;

2. Expand use of roadside electronic screening hardware and software that use safety and credentialing criteria for electronic clearance in the enforcement of safety and economic regulations;

3. Provide safety information exchange systems that allow for on-line, real time motor carrier safety and credentialing information from state, regional and national information bases to enforcement officers at the roadside; and provide data exchange systems utilizing current "snapshots" of carrier, driver, and vehicle data from various agencies to be provided to government and private entities needing the data.

The following sections describe the concepts for these projects.

5.1.1 Credentials Administration Processes

Credentials administration (CA) processes include a combination of carrier and state agency systems. These systems are aimed at automating the complete credentialing and permitting processes. All aspects of the commercial vehicle credentialing process will be integrated to include: electronic submittal of applications, automated processing and cross-checking of applications, automated fee calculation and invoice transmittal, electronic fee payment, and automated issuance and printing of credentials.

Ohio plans to operate an “electronic one-stop shop” for all credentialing systems. The goal is to provide carriers with an on-site fully electronic credentialing system. This requires user-friendly software that allows communication between each of the agency systems and motor carriers. Ohio plans to utilize an internet “web-based” system for the vast majority of transactions, with alternative standards such as XML or EDI to be considered later for larger carriers. Tentative system plans call for servers to be housed at the Public Utilities Commission of Ohio (PUCO), operating custom-designed software designed specifically for the CVISN program. This central system will handle the interchange of data from carriers to the legacy credentialing systems maintained by each of the state agencies involved in the CVISN program.

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Ohio plans to deploy systems that interface the state systems with the IRP and IFTA clearinghouses, if available. Potential legacy system interfaces to be upgraded to operate as a one-stop shop are: International Registration Plan (IRP) International Fuel Tax Agreement (IFTA) Oversize / overweight permits Fuel use tax (FUT) permits Intrastate Tax (for -hire carriers) Hazmat permitting Single State Registration System (SSRS).

Initially, IRP and IFTA systems will be included in the one stop shop system, and others will be added as interfaces are developed for that purpose and funding becomes available. During initial system design, determinations will be made as to which credentialing systems can be included "up front" and which may take longer for development.

5.1.2 Roadside Electronic Screening

Roadside electronic screening includes the electronic screening of vehicles at fixed and mobile inspection sites to confirm that vehicles are safe, at legal weight, have appropriate credentials, or have not been placed out-of-service. The projects under this functional area are designed to develop systems that perform automatic electronic screening so that safe, compliant trucks can proceed on the highway without stopping while potentially unsafe or non-compliant trucks can be pulled in for closer inspection and confirmation of proper operating credentials. The Ohio Department of Public Safety has signed an agreement with HELP, Inc., for installation of the PrePass electronic pre-clearance system at 16 weigh stations in Ohio. Sixteen sites are operational and two of the sites have mainline weigh-in-motion (WIM) capabilities. A steering committee is prepared the criteria and policies for operation of the system.

5.1.3 Safety Information Exchange

Safety information exchange systems are designed to collect, store and exchange current safety information relating to carriers safety to assist in making screening decisions at the roadside. This includes exchange of data between agencies within a state and between other states. Safety information of interest includes carrier (credentials and safety rating), vehicle (inspections and citations) and driver.

Ohio plans to use hardware and software tools to improve automation of the safety inspection process. All safety inspections in Ohio are currently conducted with the ASPEN software loaded on laptop computers. The ASPEN software enables safety inspectors to electronically collect and disseminate inspection data at the roadside. The laptop computers offer flexibility in

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accessing safety information from remote locations and improved communications between field and administrative staff. ASPEN provides the safety inspector with an inspection selection algorithm and the most current data to assist in determining which vehicles should be inspected.

Phase one of Ohio’s Multi-Agency Radio Communications System (MARCS) is scheduled to begin in August 2002. Originally it was anticipated that this system would be utilized as a data link between roadside personnel and Ohio’s CVISN systems. However, after further research into the capabilities of the system, it is likely that Ohio will pursue an alternative method of data communications such as cellular or microwave technology.

5.2 Project Assessment

Having identified the projects to address the CVO problems and given the opportunities and potential threats, their suitability can be evaluated in terms of parameters related to cost, practicality, resource, etc. The criteria summarized in Figure 5.2 can be used to help rank potential ITS/CVO projects based on their relative merits. Figure 5.3 shows the characteristics of projects relative to the evaluation criteria.

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FIGURE 5.2 ITS/CVO PROJECT ASSESSMENT CRITERIA

Cost:

Capital investment? Fixed & ‘Variable’

Maintenance?

Operating?

Efficiency:

Does this project lower costs for the private sector, the public agency, or the general public?

Does it increase the capabilities of any sectors?

Does it encourage voluntary compliance

Funding:

Potential sources of funding?

Timing of fund availability?

Special conditions attached to the funding?

Safety:

Does it improve highway safety, and how?

Can it be measured in dollars and/or lives?

Personnel:

# of person-hours by skill types?

Internal/external availability?

Ease of procurement?

New personnel needed after project completion?

Impact on existing personnel?

Equity/fairness:

Does it treat users fairly, or improve the equitable application of laws or regulations?

Does it enhance fairness to users?

Technology:

Expected technical capability of the technology?

How much training (user-friendliness)?

Does it support the open standards of CVISN?

If it works, will it solve the problem?

If it works, is it sustainable?

Compatibility with other technologies (current, future, and with outside agencies/states e.g., national architecture)?

Political/Economic:

Current political/administrative configuration likely to last?

Can other, external political circumstances suddenly impact the project?

Does it improve CVO productivity, economic growth?

Duration and Timing:

Sequencing dependencies?

External processes or events?

How long to implement?

Organization/Cooperation:

Departments/agencies are involved?

Buy-in at a management level of agencies?

Sufficient cooperation to coordinate the project?

Cooperation and support from industry?

Simplicity:

Does this make the current task easier?

Does it create expectations of increased capabilities and thus more work and responsibilities?

Alternative Methods:

Are there easier, cheaper, simpler ways to accomplish the same goal?

Does it rely on other agencies/people who cannot be directed by this project?

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FIGURE 5.3 PROJECT EVALUATION SUMMARY

Credentialing Systems

Electronic Screening Safety Info Systems

Total Fed & State Cost

$1,500,000 est. $0 (Private investment) $1,500,000 est.

Funding FMCSA and State Private FMCSA and State

Time 20 months 6 months 20 months

PersonnelCI/CVIEW vendor, Programmers, Training, Maintenance

System vendor (PrePass) Internal Programmers, Training, Maintenance

Technology New, Open Standards New, Open Standards

EfficiencyLess carrier and staff timeBurden or regulatory compliance reduced

Process more carriers in less time. Focus on high risk carriers

Identify more violators

SimplicitySimpler process but not at expense of compliance

Probably simpler than present system(s)

Probably more complex software & equipment

Safety Reduce risk of crashes Easy identification of high risk carriers

Equity/fairnessMore complete coverage of carriers

Safe carriers advantaged Objective targeting criteria

More attention on unsafe carriers

CooperationRegulatory agencies, carriers, clearing houses

Regulatory agencies, carriers

Regulatory agencies, states, carriers

Political / economic

Demonstrate privacy protectedCVO productivity

Alternative methods

Simpler paper process Visual monitoring, Sample weigh

Use of diskettes

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5.3 Project Ranking

Following the project assessment summarized above and a review by the Steering Committee, and in view of the national ITS/CVO program, highway safety is viewed as the top priority in Ohio's ITS/CVO program. Projects related to improving highway safety through regulation and enforcement are therefore ranked highest. This is followed by projects relating to efficiency and effectiveness in the roadside enforcement process. The following is a relative ranking of Ohio's ITS/CVO projects in order of decreasing priority:

Roadside Electronic Screening - Provide on-line, timely motor carrier safety and credentialing information from state, regional and national information bases to enforcement officers at the roadside

Safety Information Exchange - Provide data exchange system utilizing current "snapshots" of carrier, driver, and vehicle data from various agencies to be provided to government and private entities needing the data.

Credentials Administration - Develop electronic one-stop shop to fully automate the credentialing, taxation, permitting and payment process and participate in regional and national credentialing (IRP and IFTA) clearinghouses, if available.

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5.4 Project Summary Sheets

I. Project Title: "ONE STOP" ELECTRONIC CREDENTIALING (CREDENTIALING)

Project Description: Provide carriers' software interface (primarily Internet) for electronic credentialing, to include IFTA and IRP —both interstate based. Will work toward and later include if possible SSRS, intrastate fuel tax, vehicle registration, hazmat registration, OS/OW permits, and for-hire operating authority credentials.

Goals & Objectives: Allow Ohio-based carriers to utilize PC software in their offices to electronically apply, pay for, and receive credentials to include interstate fuel tax (IFTA) and interstate vehicle registrations (IRP). Interface with national/regional IRP and IFTA clearinghouses. Determine feasibility and include if possible SSRS, Ohio intrastate fuel tax, vehicle registrations, for-hire operating authority, and hazardous materials registration. System(s) to be compatible with ITS CVO national architecture.

Desired Outcomes:

Reduce administrative burdens on carriers and state agencies Reduce errors in data Provide credential issuance in a more-timely manner

Project Location:

Offices of Ohio Dept. of Taxation, Ohio Dept. of Public Safety, and Public Utilities Commission of Ohio (PUCO). Ohio-based carriers' offices.

Technical Approach:

Establish "credentials interface (CI)" server at state to communicate between carrier software and existing government systems, and with national systems.

Use software products from CVISN pilot/model states to extent possible.

Work with existing state IRP/IFTA contractor to determine steps necessary for it to implement desired system changes.

Review and revise if necessary state laws and regulations pertaining to electronic filing of official documents and electronic payment (EFT) systems.

Organization & Management:

Overview will be under administration of OCVISN Steering Committee, since all members have an involvement (ODPS, ODT, ODOT, PUCO, OTA). Each state agency will have primary responsibility for programs it administers (e.g., ODT for IFTA/ FUT).

Schedule and Milestones:

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See Appendix D – Project ScheduleFunding Approach:

Technical consulting, software development, and hardware –- CVISN Deployment and state funding. ($1,500,000)

Continuing operations and maintenance ---- state agencies (offset by data-entry cost savings)

Carriers—no extra cost to file electronically

Key Issues/Concerns:

Determine role of primary contractor (Affiliated Computer Systems (ACS)) that currently provides all IRP functions and the data-processing (except entry) for IFTA.

Intrastate electronic vehicle registration may destabilize current private vendors system. ODPS will explore all ramifications.

State laws and regulations might need to be modified to authorize issuance without on-site display of some paper products as proof (e.g., original vehicle title for IRP)

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II. Project Title: ON-LINE ENFORCEMENT ACCESS TO CMV DATA (SAFETY)

Project Description Project Description: State roadside and headquarters commercial motor vehicle (CMV) enforcement staff will utilize laptop and desktop computers to access CMV databases on-line via new wireless and/or landline connections. CMV databases and systems will include OMCIS, ASPEN/AVALANCHE, SAFER, and CDLIS, and possibly later intrastate fuel use tax (FUT), vehicle registrations, and operating authority credentials. Existing laptops will be upgraded to allow reading of document barcodes, scanning and transmission of digital images, etc. New state 800MHZ radio system may be adapted and utilized.

Goals & Objectives:

Improve roadside access to and uploading of safety information (timeliness, accuracy).

Identify carriers, drivers, and vehicles operating unsafely or illegally.

Reduce frequency and duration of stops for safe and legal carriers (customer service)

Increase reliance on mobile enforcement by providing roadside access to CVO data.

Desired Outcome:

Immediate access to safety and credentialing data for roadside enforcement personnel.

Accurate safety data at roadside.

Immediate uploading of safety data for use by others in enforcement community

Enforcement efforts are focused on illegal and/or unsafe carriers, allowing safe and/or legal carriers to operate with less regulatory scrutiny.

Deploy enforcement resources where and when problems are anticipated

Project Location: All desktop and laptop computers in use by CMV enforcement field staff. All state agency headquarters offices involved with CMV safety records.

Technical Approach:

As needed, upgrade and replace existing laptop computers and related equipment in use by CMV enforcement field staff to take advantage of upgrades in federal systems and software.

Identify all vendor communications system(s) with ability to provide wireless and/or landline connectivity to national and state data systems (to include state’s MARCS 800 MHZ radio system).

Purchase and install hardware/software and communications links to enable all enforcement field staff to have continuous access to relevant CMV databases at national and state levels.

Coordinate continuously with development of CI & CVIEW server software.

Organization & Management: OSHP and PUCO will be primary agencies involved in

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procurement and implementation since CMV enforcement field staff are assigned to them. OSHP will be primary coordinator with state MARCS radio system. PUCO will handle primary coordination with OMCIS/CVIEW/CI servers.

Schedule and Milestones:

See Appendix D – Project ScheduleFunding Approach:

Hardware and software - CVISN deployment funds, MCSAP basic grant funds, and state funding. ($800,000)

Communications links – MCSAP, state-operating funds. ($100,000 annual)

Key Issues/Concerns:

Continuing changes in general design plans and concepts for federal, interstate communications, especially involving intrastate data.

Constant changes in technology and systems available make it difficult to plan communications systems for extended periods of use. Flexibility needs to be built into any systems.

Line and air-time charges will be difficult to estimate initially due to lack of experience with actual use

Communications systems may be used for multiple purposes, making it difficult to allocate costs to CVO.

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III. Project Title: INTER-AGENCY CMV DATA SHARING (CVIEW)

Project Description: New data exchange system (CVIEW- Commercial Vehicle Information Exchange Window) will be developed to exchange carrier, driver, and vehicle "snapshots" of safety and credential information between state and federal databases and end-users such as state enforcement officers and credential agencies. The CVIEW system will be developed utilizing guidelines developed in the national ITS/CVISN program and will conform to national ITS architecture. CVIEW will allow exchange of information among all existing state CMV databases as well as federal systems and will be housed on servers at the PUCO.

Goals & Objectives: Provide useful and current "snapshots" of carrier (and later, vehicle and driver) information from existing state and federal CMV databases to authoritative end-users such as governmental agencies, insurers, shippers, etc.

Desired Outcome:

Provide agencies with accurate and complete safety information when making credential and authorizing decisions.

Provide accurate and complete safety and identification information to roadside enforcement officers.

Improve efficiency and effectiveness of CMV database systems by avoiding duplication and inaccurate information.

Project Location: Database system will be distributed among various state and federal agencies.

Technical Approach:

Complete inventory of all existing state-level CMV-related database systems to include software and hardware. Identify areas of commonality and redundancy.

Develop system design with assistance of contracted specialists and participating agencies. Study use of JHU/APL’s CVIEW product and State of Washington’s SQL-server based product. Determine extent of merging with CI functions from Project 1, above.

Contract for development of software components.

Organization & Management: A separate and permanent "CVIEW Policy and Steering Committee" will be established to guide the development and operation of the CVIEW system. State agencies with primary CMV databases will be represented as well as user groups such as enforcement community, insurers, carriers, etc.

Schedule and Milestones:

See Appendix D – Project ScheduleFunding Approach:

Initial design and hardware/software procurement - CVISN Deployment funds, MCSAP, state agency budgets ($500,000 – may blend with CI funding from

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Project 1)

System continuing operation and maintenance - Included in state agency budgets with some offset from user fees (insurance companies, etc.).

Key Issues/Concerns:

Interface with wide variety of existing databases will be complex and require considerable work.

Although all data currently exists and is public record in Ohio, Policy & Steering Committee will need to establish procedures, fees, etc. for access.

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IV. Project Title: ROADSIDE ELECTRONIC SCREENING (E-SCREENING)

Project Description: Implement electronic pre-clearance systems at all major truck weigh stations in Ohio, utilizing the HELP. Inc. PrePass System. Mainline weigh-in-motion (WIM) will also be utilized at least two of the same locations. Operations will be conducted in accordance with national guidelines under oversight of a PrePass state Steering Committee. See http://www.prepass.com/

Goals & Objectives:

Improve traffic safety at weigh station sites, reduce delays to carriers at weigh stations, and permit enforcement personnel to focus efforts on inspections more likely to detect violations; all through implementation of pre-screened voluntary enrollment of “safe” carriers in a national CMV automatic vehicle identification (AVI) system.

Desired Outcome:

Reduce backups and delays of trucks waiting at congested weigh stations

Avoid inspections and delays of carriers with good safety records

Permit enforcement staff to focus efforts on inspections more likely to detect violations

Project Location: Fixed weigh stations at 16 locations, primarily on interstate highways.

Technical Approach: Stand-alone systems are being deployed at each site by private vendor.

Organization & Management: Primary responsibility for weigh station operation rests with Ohio State Highway Patrol. Oversight by State Prepass Steering Committee.

Schedule and Milestones: All 16 PrePass sites are operational. See Appendix D – Project Schedule for E-Screening integration with CVIEW

Funding Approach: All funding through private investment.

Key Issues/Concerns:

None

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5.5 System Requirements and Design

Ohio has developed a top-level design that addresses each of the CVISN deployment projects (detailed in section 3.0). These designs were developed as a part of the FMCSA-sponsored workshop series and are included in the Ohio Top-Level Design document. This document contains details regarding:

- System requirements (Top Level Design Section 2.0);- System design (Top Level Design Section 3.0);- Modifications to existing systems (Top Level Design Section 4.0);- System interface specifications (Top Level Design Section 2.4); and,- Unresolved issues (Top Level Design Section 6.0).

To implement the CVISN program in Ohio, the state must invest in a series of new hardware and software systems. In addition, many of the existing state systems will also need to be modified and or upgraded. Finally, deployment of CVISN will also necessitate the proper integration of each of these systems and to ensure that all systems communicate with one another proper testing will be essential.

5.6 Work Breakdown Structure

The Ohio CVISN team has developed a work breakdown structure (WBS) for its Program. The WBS documents much of the same information contained in the Project Schedule (Appendix D), including specific tasks for each project and anticipated dates of completion, but presents it in a spreadsheet format. The WBS also assigns responsibility for each task to a specific owner. The complete WBS for the Ohio CVISN Program is included in Appendix B.

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6.0 ORGANIZATION AND MANAGEMENT

This section outlines the organization and management approach and the responsibilities of all stakeholders.

The organizational charts (Appendix C) show the CVO/CVISN planning and program management structure as well as the key agencies responsible for implementing ITS/CVO projects. Alan Martin, Manager of Federal Transportation Programs at the Public Utilities Commission of Ohio Transportation Department, functions as ITS/CVO program administrative manager. The program manager has direct contact with all parties responsible for the administration and enforcement of the regulations in Ohio. The ITS/CVO Steering Committee, chaired by the program manager, has representatives from all relevant state agencies and motor carrier associations. The Steering Committee has the mandate to review and approve project proposals contained in this business plan. The Steering Committee is responsible for planning, coordinating and scheduling the individual projects through the PUCO as the administrative lead agency. PUCO is responsible for project management, financial reporting and coordination with other agencies.

PUCO staff members have been designated to provide technical support to the ITS/CVO program manager. Such assistance includes program and technology exchange and development. The PUCO has hired two full-time technical staff members to support CVISN implementation. Technical staff members of other participating state agencies will assist as needed. The staffs (technical and administrative) have been designated for each of the required task areas. Private sector involvement in the development of ITS/CVO programs in Ohio is expected to continue and expand.

The OCVISN Steering Committee will formally review and update this Business Plan as necessary. The Committee will meet regularly and will formally assign tasks and review progress. Details of the agencies responsible for CVO administration and enforcement as well as key individuals who impact CVO planning and programs are shown in Appendix C2 – Program/Project Organization.

6.1 Training and Outreach Plan

The CVISN Steering Committee members have successfully completed all three of the CVISN Deployment Workshops offered by FMCSA. Staff members have communicated regularly with other CVISN states, to include a trip via state-owned plane to Virginia to review CVISN activities of that pilot state.

On-site training will be provided, as necessary, to agency staff involved in the development and deployment of the CVISN systems by selected vendors of system hardware and software and through regional and national CVISN "mainstreaming" training classes. The offer of training will be included in the agreements with the selected vendors. CVISN staff will continue to participate in national and regional training sessions and workshops as they become available.

The Ohio Trucking Association (OTA) is represented on the Steering Committee and plans to assist in communications with and education of the carriers. On-going regional meetings and seminars of OTA will provide the forum for communication and training. CVISN outreach program to carriers will be designed to increase industry awareness of changes to existing systems, new system deployment and as a means on providing training and support to carriers in applying the new systems. CVISN efforts will be publicized by OTA, the Ohio Bus Association, and participating state agencies through direct mailings, local seminars, trade shows, and newsletters.

6.2 Funding Approach

On September 14, 2001 a grant agreement between the Federal Motor Carrier Safety Administration and the Public Utilities Commission of Ohio was executed. The total participating cost of the program is projected to be $3,174,458.00. The Federal share of the program will be $1,587,229.00 and the state share will be $1,587,229.00 (Appendix I). Grant guidelines state that if sufficient federal funding is not provided for full deployment, first priority should be given to safety information exchange (Ohio projects 2 and 3).

During the first half of CY2002, Ohio CVISN participating agencies intend to develop a detailed financial plan to be presented to the State Controlling Board, which has the authority to modify agencies’ biennial budgets mid-term. That plan will reflect that the first priority expenditure will be contracting with vendor(s) for the development of the “core” software (CVIEW & CI) which must be in place before most other aspects of the CVISN project can proceed. Substantial, if not all, portions of the state’s matching funds may come from expenditures for state personnel working on the project(s) and state expenditures for safety information exchange communications development (i.e., MARCS and related systems). Use of the private investment in PrePass, as private matching funds will also be explored.

When the state’s financial plan is completed by mid-CY2002, a clearer outline of the financial program will be available.

6.3 Memorandum of Agreement

NOTE REGARDING PAGE THREE OF MEMORANDUM OF AGREEMENT

The Ohio Trucking Association has participated in the OCVISN Steering Committee since its inception in 1996 and has actively supported the CVISN concept, with special emphasis on electronic pre-clearance. Original CVISN guidelines called for the Memorandum of Agreement (MOA) to be signed only by participating state agency executives. These guidelines were modified to request that the primary state trucking association also sign the MOA and page 3 represents that addition.

Appendix A - Data Collection and Analysis

Results of Ohio CVISN Data Collection

Report on Data Collection ResultsCommercial Vehicle Operations

State of Ohio

CVISN Kick-off Workshop

A half-day Ohio CVISN kick-off workshop was held on October 30, 1997 to present and discuss the strategic concepts and outline the potential benefits of CVISN to the state agencies and motor carrier industry. The workshop participants included representatives from all Ohio agency stakeholders, and a representative from the motor carriers. The workshop was also conducted to encourage participation and buy-in of stakeholders in the ITS/CVO program for Ohio, as well as provide the opportunity for stakeholders to start communicating. As a result of the kick-off workshop, the agency stakeholders agreed upon the mission statement.

Data Collection

Data on the current regulatory and enforcement processes, as well as CVO concerns and problems were collected through interviews and focus groups.

Two questionnaires were developed to assist in the data collection process. One questionnaire was geared toward state agencies, the other toward state motor carriers. Each questionnaire was structured to capture information relating to current practices and responsibilities; type, level and plans for future deployment of technology relating to CVO; problems and concerns relating to ITS/CVO; and strategies or opportunities for overcoming barriers. In person interviews were conducted to complete the agency and motor carrier questionnaires. Both the state agency and motor carrier participants were identified in consultation with the Steering Committee.

The data collected through the interviews was then summarized and reviewed through focus groups. Once again, two focus groups were formed; one for state agencies and one for motor carriers. This effort was essential to ensure that there is reasonable agreement on the issues and concerns identified during the individual interviews. The results are summarized in Table A-1 and A-2.

Table A-1 Summary of Agency Responses to Ohio CVISN Questionnaire

Agency Responsibility/Functional Area

Current Process Problems / Concerns Technology Deployed

Plans for Future

Non-Technical Barriers

Suggestions for Improvement & CVISN Potential

Department of Taxation

IFTAFUT

Credentials

-Paper applications-Strength: Once information is keyed-in, the process is efficient

-Weakness: Paper driven and requires data entry – during tax return time, there is a lot to key in

-IFTA contracted out to Affiliated Computer Systems (ACS) VISA/TS System, expires 8/99 and replacement strategy must in place by 8/98

-IFTA data is not available to highway patrol, but should be.

-Hwy Patrol does not have easy access to real-time tax information

-Receipt of citation information not timely-Hwy Patrol does have direct access to FUT database, but not to IFTA database

-Dissemination of information to motor carriers is difficult.

-Inefficient method of verifying currency of information in filing taxes: very time consuming and does not rely on current data.

-FUT uses in-house system.

-Resides on a mainframe, not a relational database. File structure is index (VSAM ) and Sequential

-In-house DB for both FUT & IFTA is currently under development (ITAS)

-Cost effectiveness of electronic fund transfer (EFT) because decal cost is only $2 each-- Quarterly bills or quarterly EFT’s to make it cost effective

-IFTA Clearinghouse interface.-Paperless application process would improve and streamline processes.-Access to state databases by roadside enforcement personnel-Use of transponders: actual road usage will provide accurate tax triggering information0Use CVISN for FUT and IFTA credentials and for processing quarterly tax returns0Access of IFTA data to enforcement personnel

Bureau of Motor Vehicles

IRPIntra-State RegistrationCDL

Credential

-Walk-in, paper-IRP: and led by Affiliated Computer Systems (ACS)

-CDL & Intra-State: at Deputy Registrar

-Sending information to BMV is automated

-Other agencies not utilizing information

-For Motor Carrier: amount of paperwork required

-Law Enforcement and Data System (LEADS) used by Hwy Patrol

-Blocking of registration if driver or vehicle account is not paid

-Connecting deputy registrars on-line, real-time with BMV

-BMV not ready for on-line registration because of fiscal impact on deputy registrar system

-Real-time updating of registration database from deputy registrar terminals-Transponders: road usage verification from the devices would help provide useful information for IRP

Public Utilities Commission of Ohio

SSRSIntra-State Registration

Credential

-Paper applications and updates to information

-Application forms are available on the Internet, however, the carrier has to mail them back to PUCO

-Difficult to obtain proof of insurance due lack of communication with motor carrier & insurance company

-No two-way communication back to the enforcers is established.

-Auditor’s inability to access carrier information from PUCO system from remote locations

-Amount of paperwork involved is frustrating to motor carrier

-MCIS mainframe database

--In-house database, no contractor

-Integrate mainframe information (MCIS) with the FHWA PC-based program

-Coordinating information with MCIS computer system-Adopting national system SSRS

-Electronic (paperless) application process-Establish Electronic Fund Transfer-Issue credentials electronically-Request insurance company request to file electronically.

Public Utilities Commission of

Hazmat -Hazmat carriers required to obtain

-MCS 90’s (proof of insurance) is most difficult to obtain form the motor carrier

-Carrier profile from FHWA’s

-HARPS upgrade from

-Insurance companies to send proof of insurance

Agency Responsibility/Functional Area

Current Process Problems / Concerns Technology Deployed

Plans for Future

Non-Technical Barriers

Suggestions for Improvement & CVISN Potential

Ohio Credential & Safety & Roadside

a permit from PUCO

-Initial paper applications

-Computer program flags overpayments and underpayments of fee

-11 specialized Hazmat roadside inspectors

-Paperwork is a problem-Fee schedule is very difficult to understand. This is a motor carrier frustration. They are usually under or over on fee.

MCMISOhio’s own database of violations and penalties

-Lexis/Nexis Hazmat carriers database

-SAFESTAT on-line

HARPSDTR: Hazmat civil forfeiture

MCMIS: to create a new record

Access to Sybase (RSIS contractor)

-Adapt HARPS to future development of national registration system

electronically-On-line registration or mailing a disk to carrier to complete application-Computerized fee calculation & scheduling-Use of digital camera at roadside inspections. Attach picture to violation entries on mainframe.

Public Utilities Commission of Ohio

Enforcement

Safety & Roadside

-AuditsCivil and Hazmat Forfeitures

Repair certification: information is manually entered into database

-Accident information only sent periodically for download into system, and thus is not real time.

-CAPRI: FHWA PC-program for auditors and compliance review

-Copies a disk sent to PUCO

-Accident information gathered at Public Safety and sent electronically to PUCO

-ASPEN: FHWA PC-program for inspections

-VAX mainframe

-ASPEN upgrade

-Current VAX mainframe changing to Alpha (VAX)

-Improve link with Public Safety for access to the Accident Information-Electronic Fund Transfer for Forfeitures-Electronic information transmission to carriersEnforcement personnel to have access to real time data

Department of Transportation

OS/OW

Credential

-In personOn-line application-Credential is faxed-Enforcement information is verified by phone during normal hours.

-System is user friendly; a phone bill if filing electronically

-System uses an older code, and the code could use some enhancements.

-Usual turn around time is 2 hours. But, could be 6 hours.

-Delay to motor carrier during busy timeVerification limited to normal working hours

-PC server network--Novel Netware code-On-line application process

-Fully automated system, by automating the route analysis

-Fear on part of motor carrier-Privacy of information-Small companies may not have access to computers; need to accommodate them.

-Paperless permitting-Automated routing-Single trip permitting only-24 hour access

Ohio State Highway Patrol

Enforcement

Roadside

-Troopers are involved with motor carriers on CDL, IFTA,

-Difficult for the driver to locate the proper permit in the volume of permits, registrations and other documents the driver carries.

-Laptops computers equipped with Inspection

-Upgrade laptops to Windows 95

-Goal of

-Privacy-Cost-Resistance to new

-Create one-stop shops-Infra-red data transmissions, cellular communications, bar codes

Agency Responsibility/Functional Area

Current Process Problems / Concerns Technology Deployed

Plans for Future

Non-Technical Barriers

Suggestions for Improvement & CVISN Potential

Registration and speed violations

-MC Officers are involved with motor carriers if vehicle has visible defect within their scope of authority, no speed violations

-Currently unable to verify permits issued by the PUCO & ODOT for authenticity.

-Concerned about technology being tamper-proof, resistant to failure (durability) and cost.

-Concerns with cost of equipping all law enforcement officers with equipment to read transponders, bar codes, etc.

Selection System and ASPEN

achieving wireless communications

technologies -Access to safety information databases-National standard in technology deployed-Education to carriersDetermine information requirements against motor carrier’s rights to privacy and establish clear guidelines concerning this issue

Note: This table represents a snapshot in time. Since it was completed, Ohio has continued to move forward with the implementation of CVISN. Consequently, some barriers and suggestions for improvement have already been addressed.

Table A-2 Summary of Carrier Responses to Ohio CVISN Questionnaire

Motor Carrier

Size and Operation Current Process Problems / Concerns Roadside Delays and Roadside Enforcement

Non-Technical Barriers Suggestions for Improvement & CVISN Potential

MC # 1 -For hire -80% Locally, 20% Regionally

-Small-Somewhat time sensitive shipments

-Safety Manager obtains credentials

-65% of every day dedicated to credentials

-Mail-in or walk-in applications

-Manual paper applications

-No automation

-Not many frustrations -Experience delays (usually safety inspections)

-Avg. delay: 1 hour-Significant loss is time: 1-2 hours per week

-Generally good roadside enforcement program

MC # 2 -For Hire-Locally & Regionally

-Small-Time Sensitive

-Safety/Maintenance person obtains credentials

-Spends 4hrs/week-Mail-in and walk-in applications

No automation

-Experience frustration with BMV in May – only time for tags

-CVO problem is licensing--No assistance available to carriers March – May

-Delays at weigh scales-More inspections in Ohio than in other states

Usually no delays-If they are delayed, usually for brake adjustment

-Avg. delay: 2 hours-No significant loss to company over the year

-Hwy Patrol are proficient and professional

-Stagger or change licensing process so everyone is not there at same time

-Make inspections consistent year-round

-Operate weigh scales more efficiently to avoid delays

MC # 3 -For Hire (owner/operator

-Locally & Regionally

-Small-Very time sensitive shipments

-Safety Director obtains credentials

-Spends 10/hrs/week-Obtain credentials in person

-No automation

-Only 2 IRP places in the state, results in delays

-No accessible assistance, no handbook on how to complete all credentialing correctly,

-Requirement to paying all licenses at one time

-Limited access to computer, and/or computer illiteracy

-Experience delays (mostly because they look unprofessional since all owner/operator)

-Avg. delay: 30-45 min.Stopped unnecessarily-Inconsistency in inspection-PUCO inspectors not proficient-State Hwy Patrol more proficient and professional

-Cost -Pay for licenses though a payment plan, or stagger all licenses within one company

-Stagger IRP registration

MC # 4 -For hire-Locally-Medium-Somewhat time sensitive

-One person obtains credentials

Spends 50% of time -Hazmat: mail-in-PUCO in person-Tax: mail & in person-IRP: in person-BMV: in person-No automation

-Lost time-Lack of CVO drivers-Inspectors treating drivers with no respect

-Experience delays-Avg. delay: 45 min-Significant loss is time but does not result in lost business

-Roadside CVO enforcement is good

-Lack of trust – unsure of intentions of program

-Electronic clearance type projects

-Gold card concept: a good safety record or other agreed upon criteria enables you to by-pass PUCO inspections

-Commitment is important

MC # 5 -For hire-Locally, Regionally & Nationally

-Medium-Very time sensitive shipments

-Safety Director obtains credentials

-Spends 2-4 hrs/month (IFTA saves time)

-Walk-in applications-Computer person does Fuel Tax

-Unnecessary delays in credential application process due to lack of guidance from agency

-Disagreement between expiry dates of permits and issuance. Requirement can

-Experience delays-Avg. delay: 10-15 min-Significant loss is money: $300 or less per citation

-Very seldom do they loose business because of a delay

-Good roadside commercial vehicle

Motor Carrier

Size and Operation Current Process Problems / Concerns Roadside Delays and Roadside Enforcement

Non-Technical Barriers Suggestions for Improvement & CVISN Potential

-Sometimes use Fleet Mover – OS/OW permits

be very frustrating enforcement

MC # 6 -For hire-Locally, Regionally & Nationally

-Medium-No time sensitive shipments

-Safety dept. obtains credentials (1 person)

Spends 30 hrs/week-Mail-in applications-No automation

-Navigating through the bureaucracy to reach someone who can provide an answer to a question

-Shortage of qualified CVO drivers

-Typically, no delays-If a delay, it’s usually for brakes out of adjustment or insurance out of date

-No significant losses to company during delays

-One stop shop to obtain all credentials

-Electronic screening of vehicles established to reduce delays

-Electronic filing of applications-Use of transponders

MC # 7 -For hire-Locally & Regionally

-Large-Very time sensitive

-Accounting Staff member obtains credentials

-Spends 8 hrs/week-Obtains credentials in person or by fax

-No automation

-Renewal cycle time for IRP-Non-uniform/inconsistent application of rules by roadside enforcement

-Targeting Hazmat carriers, even if their Hazmat shipments are 5% of all shipments

-Experience delays-Avg. delay: 30-45 min-Excessive delays due to amount of units being checked

-Significant loss is money: $7500 per month

-Limit roadside inspections if carrier maintains a satisfactory rating

-Once a year inspections-Use of stickers to be valid for a certain time period

-Discriminatory roadside selection of Hazmat carriers

MC # 8 -For hire-Locally, Regionally & Nationally

-Large-Very time sensitive

-One person obtains credentials

-Spends 4-6 hours per day

-Obtains credentials in person and by fax

-Walk-in applications-No automation

-General bureaucracy – even for compliant carriers

-No problems with IRP-Differences in Hazmat permits among states is redundant

-Only 2 open supplementals allowed

--slows down process-Inconsistency in Roadside enforcement practices

-Experience delays-Avg. delay: 30-45 min.-Significant loss is: 20% of time, $300-500/week, and loss of business

-Mistrust of motives of government

-ITS use with enforcement

-Cost-No level playing field among carriers of similar size

-Little confidence in enforcement practices of government

-IRP needs to be more responsive

-CDL should be universal in all states

-Specific location of stickers should be uniform

-Programs to enhance operating efficiency

-Better enforcement and permitting standards

-National uniformity in processes

MC # 9 -For hire-Locally, Regionally & Nationally

-Large-Sometimes time sensitive

-A tag agent obtains credentials for Ohio

-Not many frustrations -Do not experience significant delays-If delayed, it does cost time and money, but no loss of business

-Enforcement is professional

-Institutional conflicts (turf wars)

-Agencies need an objective which saves ALL stakeholders time and money

-Cost

-States should automate, streamline and save

-Cab-cards that are non-vehicle specific

-Intrastate authority based on calendar year only

Note: This table represents a snapshot in time. Since it was completed, Ohio has continued to move forward with the implementation of CVISN. Consequently, some carrier concerns and barriers have already been addressed.

Data Analysis

Once consensus was reached concerning the issues and concerns relating to ITS/CVO, analysis of data took place. This involved procedural analysis to determine specific CVO problems from the agency and motor carrier standpoints in Ohio that can be addressed through ITS/CVO systems implementation. These problems are listed below.

Commercial Vehicle Operations Problems in Ohio

The application process for some credentials is slow and time consuming. An excessive amount of paperwork is involved in the credentialing process. Delays in the credentialing process (from wrong paperwork to long lines) are sometimes time consuming

and frustrating. There are too many agencies involved in the credentialing process. There are limited IRP application sites that become extremely crowded at certain times of the year

because of limited IRP renewal dates. Safety inspectors are inconsistent throughout Ohio. Carrier selection for roadside safety inspections is not based solely on safety performance criteria. There can be long delays at roadside inspections. Enforcement practices during safety inspections are not entirely uniform or consistent. Unnecessary delays during inspections are sometimes imposed on compliant carriers.

Once the CVO problems were identified, a strategic analysis to identify the strengths and weaknesses of the CVO in Ohio and the opportunities for addressing these problems and potential threats was conducted. The S.W.O.T. analysis (Table A-3) allowed the vision elements of Ohio’s ITS/CVO program to be aligned to the opportunities threats and CVO problems in Ohio. The strategic analysis develops the organization strategic path towards realizing the vision elements.

Table A-3. SWOT Analysis

SWOT + -Strengths Weaknesses

Inte

rnal

Enforcement program IFTA process Permitting process Program for safety and revenue Program for efficiency Considered fair by industry Location of Ohio Highway system in Ohio Technology use Expertise in related areas Positive state/federal partnership Potential for federal funds

Limited locations for IRP applications Limited time frame for IRP registration Inconsistency in safety enforcement No electronic access for industry Delays at registration Too much paperwork Limited inter-agency interaction Delays at roadside inspection sites Agency processes not fully automated Multiple agency dealings One time payment for many credentials Communication of changes to industry Many roadside inspection on hazmat carriers

Opportunities Threats

Ext

erna

l

Increased federal funding Higher use of technology One-stop shopping Paperless environment Error free credentialing process Targeting high risk carriers Uniform system Increased industry awareness Consistency in safety inspections Level playing field for industry Voluntary compliance Effective inspection program Uniform HAZMAT surcharge Reduced delays at inspection sites Efficient use of resources

Mistrust of regulators’ motivation Lack of commitment Cost Non-objective targeting criteria Lack of access to technology Privacy of information Move from people to technology Non-uniform standards Safety mission compromised Lack of agency assistance

Appendix B - Work Breakdown Structure

WBS Task Organization Assigned to Completion Date

1.0 Program Administration 1.1 Business Plan PUCO Alan Martin 4/1/03 1.2 Top Level Design Document PUCO Alan Martin 4/1/03 1.3 Budget and Fiscal Management PUCO Alan Martin 9/30/03 1.4 Project Planning & Oversight PUCO Krish Krishnsamy 9/30/03 1.4.1 Project Plan PUCO Krish Krishnsamy 9/1/02 1.4.2 Monthly Project Meetings PUCO Krish

Krishnasamy9/30/03

1.4.3 Quarterly Steering Committee Meetings

PUCO Alan Martin 9/30/03

1.4.4 State Agency Coordination PUCO Alan Martin 9/30/03 1.5 O&M Planning Project Leads 9/30/03

2.0 System Engineering & Integration 2.1 System Architecture 2.1.1 RFP for System Architect PUCO Project Leads 5/1/02 2.1.2 Architecture Vendor Selected PUCO Project Leads 8/1/02 2.1.3 Define Data Exchange Type ARCH VENDOR System Architect 11/1/02 2.1.3 Architecture Documented &

ApprovedARCH VENDOR System Architect 11/1/02

2.1.4 Ensure Architecture Conformance ARCH VENDOR System Architect 9/30/03 2.2 Requirements Approved ARCH VENDOR System Architect 1/1/03 2.3 System Integration 2.3.1 RFP for System Integration PUCO Project Leads 8/1/02 2.3.2 System Integration Vendor Selected PUCO Project Leads 11/1/02 2.3.3 System Integration Requirements

CompletedINTEG VENDOR System Integrator 1/1/03

2.3.4 System Integration Plan Completed INTEG VENDOR System Integrator 3/1/03 2.3.5 Integration Test Scenarios

CompletedINTEG VENDOR System Integrator 6/1/03

2.3.6 Interoperability Test Completed INTEG VENDOR System Integrator 9/30/03 2.3.7 System Integration Completed INTEG VENDOR System Integrator 9/30/03 2.3.8 Integration Vendor Evaluation

ImplementationPUCO Project Leads 12/01/03

3.0 CI, CAT & CVIEW 3.1 RFP for Development PUCO Project Leads 6/1/02 3.2 Development Vendor Selected PUCO Project Leads 9/1/02 3.3 Project Plan DEV VENDOR Development

Vendor12/15/02

3.4 Architecture DEV VENDOR Development 12/1/02

vendor 3.5 Requirements DEV VENDOR Development

vendor12/1/02

3.6 Design & Code DEV VENDOR Development vendor

5/1/03

3.7 Interoperability Test DEV VENDOR Development vendor

9/1/03

3.8 System Test DEV VENDOR Development vendor

7/1/03

3.9 System/User Documents DEV VENDOR Development vendor

9/1/03

4.0 Safety 4.1 Project Management 4.1.1 Project Plan PUCO Krish

Krishnasamy6/1/02

4.1.2 Project Management PUCO Krish Krishnasamy

9/30/03

4.2 MCR & SSR 4.2.1 Requirements & Architecture PUCO Brian Barringer 5/1/02 4.2.2 Design & Code PUCO Brian Barringer 10/1/02 4.2.3 System Test PUCO Brian Barringer 12/01/02 4.3 Inspections & Forfeiture 4.3.1 Requirements & Architecture PUCO Brian Barringer 7/1/02 4.3.2 Design & Code PUCO Brian Barringer 1/1/03 4.3.3 System Test PUCO Brian Barringer 2/01/03 4.4 Hazmat Registration 4.4.1 Requirements & Architecture PUCO Brian Barringer 8/1/02 4.4.2 Design & Code PUCO Brian Barringer 3/1/03 4.4.3 System Test PUCO Brian Barringer 4/01/03 4.5 Compliance Reviews 4.5.1 Requirements & Architecture PUCO Brian Barringer 9/1/02 4.5.2 Design & Code PUCO Brian Barringer 5/1/03 4.5.3 System Test PUCO Brian Barringer 6/01/03 4.6 Safetynet 2000 Integration 4.6.1 Safetynet 2000 & Aspen Upgrade PUCO Bo bLeader 3/1/02 4.6.2 Roadside Inspectors Systems’

UpgradePUCO Bob Leader 5/1/02

4.6.3 Inspections, CRs, & Crash Data Integration

PUCO Bob Leader 81/02

4.6.4 Aspen, SAFER, CVIEW &CI Integration Scenarios

PUCO Bob Leader 5/1/03

4.6.5 Aspen, SAFER, CVIEW &CI Integration

PUCO Bob Leader 7/1/03

4.7 Safety System Test PUCO Brian Barringer 8/1/03 4.8 Safety Interface Test PUCO Bob Leader 9/1/03

4.9 Safety System System/User Documents

PUCO Brian Barringer 9/1/03

4.10 Safety System Delivery PUCO Bob Leader 10/1/03

5.0 Credentialing Systems 5.1 Project Management PUCO Penny Weaver 9/30/03 5.2 Integration Plan 5.2.1 International Registration Plan (IRP)

for Up-Front Initial IntegrationBMV Tom Coady (ACS) 6/1/03

5.2.2 International Fuel Tax Agreement (IFTA) for Up-Front Initial Integration

TAX Dick Beckner (ACS)

6/1/03

5.2.3 Oversize / Overweight Permits Plan for Possible Future Integration

ODOT Jeff Honefanger 6/1/03

5.2.4 Fuel Use Tax (FUT) Permits Plan for Future Integration

ODOT Jeff Honefanger 6/1/03

5.2.5 Hazardous Materials Permits Plan for Future Integration

PUCO Penny Weaver 6/1/03

5.2.6 Single State Registration System (SSRS) Plan for Future Integration

PUCO Penny Weaver 6/1/03

5.3 Development to support Credential Interfaces

5.3.1 Architecture ARCH VENDOR System Architect 10/1/02 5.3.2 Requirements ARCH VENDOR System Architect 11/1/02

5.3.3 IRP 5.3.3.1 IRP design & Code BMV Tom Coady (ACS) 6/1/03 5.3.3.2 IRP System Test BMV Tom Coady (ACS) 8/1/03 5.3.3.3 IRP System & User Documents BMV Tom Coady (ACS) 8/1/03 5.3.3.4 IRP Interface/Integration Testing BMV Tom Coady (ACS) 9/1/03 5.3.3.5 IRP System Delivery BMV Tom Coady (ACS) 10/1/03 5.3.4 IFTA 5.3.4.1 IFTA design & Code TAX Dick Beckner

(ACS)6/1/03

5.3.4.2 IFTA System Test TAX Dick Beckner (ACS)

8/1/03

5.3.4.3 IFTA System & User Documents TAX Dick Beckner (ACS)

8/1/03

5.3.4.4 IFTA Interface/Integration Testing TAX Dick Beckner (ACS)

9/1/03

5.3.4.5 IFTA System Delivery TAX Dick Beckner (ACS)

10/1/03

5.4 Credential Integration (CI. CVIEW, CAT, IRP, IFTA, E-Screening)

INTEG VENDOR System Integrator 10/1/03

6.0 Electronic Screening Systems

6.1 Project Planning 6.1.1 Project Plan OSP Paul Meddles 6/1/02 6.1.2 Project Management OSP Paul Meddles 9/30/03 6.2 Deployment of PrePass to 16 sites OSP Paul Meddles Completed 6.3 E-Screening Enrollment and

(Inter/Intra) Snapshots to Roadside Operations

6.3.1 Interface/Integration Plan OSP Paul Meddles 7/1/03 6.3.2 Design & Code OSP Paul Meddles 6/1/03 6.3.3 System Test OSP Paul Meddles 8/1/03 6.3.4 System & User Documents OSP Paul Meddles 8/1/03 6.3.5 Interface/Integration Testing OSP Paul Meddles 9/1/03 6.3.6 System Delivery OSP Paul Meddles 10/1/03

7.0 Project Evaluation 7.1 Process Evaluations Project Leads 12/31/03 7.2 Benefit Analysis PUCO Alan Martin 1/31/04

Appendix C – Organization Charts

Appendix C1 - State of Ohio Organization Relating to Commercial Vehicle Operations

Appendix C2 - Program / Project Organization

Appendix C3 - Inter Agency Coordinating Group (Alternate members not listed)

Chris Pirik, Chief of StaffPublic Utilities Commission of Ohio180 East Broad St., 12th FloorColumbus, OH 43215Phone: 614-644-8955 Fax: 614-466-7366Christine.Pirik@puc.state.oh.us

Alan Martin, Federal Programs ManagerPublic Utilities Commission of Ohio (PUCO)180 East Broad Street, 12th FloorColumbus OH 43215-3793Phone: 614-466-0785 Fax: 614-752-8349Alan.martin@puc.state.oh.us

Brian BarringerInformation Systems DivisionPublic Utilities Commission of Ohio180 E. Broad St.Columbus, OH 43215-3793Phone: 614-466-0343 Fax: 614-752-8349Brian.barringer@puc.state.oh.us

Krish KrishnasamyChief, Data Management DivisionPublic Utilities Commission of Ohio180 East Broad StreetColumbus OH 43215-3793Phone: 614-995-7084 Fax: 614-752-9274Perumal.Krisnasamy@puc.state.oh.us

Penelope A. Weaver Chief, Motor Carrier Registration DivisionPublic Utilities Commission of Ohio180 East Broad StreetColumbus OH 43215-3793Phone: 614-466-8098 Fax: 614-466-0333Penelope.weaver@puc.state.oh.us

Richard O. BecknerAdministrator, Excise and Motor Fuel Tax DivisionOhio Department of Taxation30 E. Broad StreetColumbus OH 43215Phone: 614-466-3794 Fax: 614-752-8644Richard_beckner@tax.state.oh.us

Patrick B. Muinch, State Director Federal Motor Carrier Safety Administration200 N High Street, Room 328Columbus, OH 43215(614) 280-6870

patrick.muinch@fhwa.dot.govKeith Willoughby, State Programs SpecialistFederal Motor Carrier Safety Administration200 N High Street, Room 328Columbus, OH 43215(614) 280-6863 keith.willoughby@fhwa.dot.gov

Thomas P. Coady, Assistant Chief, RegistrationBureau of Motor VehiclesOhio Department of Public Safety1970 West Broad St.Columbus, OH 43223Phone: 614-752-7518 Fax: 614-752-7972tcoady@dps.state.oh.us

Jim Buckson, Mobility & Traffic Ops. Eng Federal Highway Administration 200 North High Street, Room 328Columbus, Ohio 43215-2408(614) 280-6846 jim.buckson@fhwa.dot.gov

Jeff Honefanger, Manager, Special Hauling PermitsOhio Department of Transportation1610 W. Broad St.Columbus, OH 43223Phone: 614-351-5520 Fax: 614-283-3501Jeff.Honefanger@dot.state.oh.us

George W. Saylor, P.E., ITS CoordinatorOhio Department of Transportation1980 W. Broad St.Columbus OH 43223Phone: 614-752-8099; Fax: 614-644-8199George.Saylor@dot.state.oh.us

Dean M. Gatton, Manager, Special ProjectsOffice of Technology & Information ServicesOhio Department of Public Safety1970 W. Broad St.Columbus OH 43223Phone: 614-752-7693 Fax: 614-466-8243Dgatton@dps.state.oh.us

Staff Lt. Paul Meddles Ohio State Highway PatrolOhio Department of Public Safety1970 W. Broad St.Columbus OH 43223

Phone: 614-466-4056 Fax: 614-752-0243 Pmeddles@dps.state.oh.usLarry WoolumOhio Trucking Association50 W. Broad St. Suite 1111Columbus OH 43215Phone: 614-221-5375 Fax: 614-221-3717Larrywoolum@aol.com

Appendix D – Project Schedules

Appendix D1 – Project Wide Schedule

Appendix D2 – Integration Schedule

Appendix D3 – Safety, Credentialing and E-Screening Schedule

Appendix E – Work Assignments

System Relates To Person Assigned Agency

Category

ASPEN / Avalanche Roadside Inspections Bob Leader PUCO SACAPRI Compliance Reviews Bob Leader PUCO SACarrier Registration-Intra

Intrastate Carrier Registration

Penny Weaver PUCO CR

CI Credentials Interface Brian Barringer PUCO CRCivil Forfeiture Inspection / CR Penalties John Canty PUCO SACVIEW “Snapshot” Data Exchange Brian Barringer PUCO SA/ESDrivers Licenses CDL & Non-CDL Tom Coady BMV CRFuel Tax-Intra Fuel Tax Ohio Only Dick Beckner TAX CRHaz Mat Permits Ohio Haz Mat Permits Penny Weaver PUCO CRIFTA Fuel Tax – Interstate Dick Beckner (Affiliated

Computer Systems (ACS))TAX CR

IRP License Plates-Multi State Tom Coady (Affiliated Computer Systems (ACS))

BMV CR

License Plates-Intra License Plates Ohio Only Tom Coady BMV CROS/OW Oversize/Overweight

PermitsJeff Honefanger ODOT CR

Pre-Clearance Weigh Station Pre-Clearance

Paul Meddles (Pre Pass) OSP ES

SafetyNet Inspection/CR Data Exchange

Bob Leader PUCO SA

SSRS Interstate Carrier Registration

Penny Weaver PUCO CR

CategoriesSA = Safety AssuranceCR = CredentialingES = Electronic Screening

Appendix F – Procurement StrategyProgram Area Projects Items to be Procured Lead

AgencyProcurement Method

Program-wide CVIEW Application ServerDatabase ServerDatabase Software (TBD)CVIEW ApplicationElectronic Data Interchange (EDI) Software Interface to PrePass E-screening system Contracting service to develop Ohio specific CVIEW software

PUCO RFP

CICAT

Web ServerInterfaces to Legacy systems, including IRP, IFTA & OS/OWContracting service to develop Ohio specific CVIEW software

PUCO RFP

System Engineering, Architecture & Integration

Contracting services to define and enforce system architecture and write high level requirementsContracting services to plan, write test scenarios and execute system integration

PUCO RFP

Safety Information Exchange

All Projects None PUCO NA

Electronic Screening All Projects Replacement servers for roadside operations

OSP State Purchasing Authority

Credentialing Systems

All Projects None PUCO NA

Appendix G – COACH Part 2, Management Checklists

COACH2 Phase Planning & Incremental Development Checklist

Commit Level(F/P/N) Intended Actions

F 1. Sustain a system perspective -- a vision of the overall CVISN architecture and deployment strategy.

F 2. Plan, develop, and release incrementally, such that at the end of each phase useful end-to-end functionality is delivered in a way that subsequent phases can build upon.

F 3. Choose and format the elements of the phase plan such that they are naturally useful for presenting status. For example, the list of deliverables could also include columns for dates, current standing, and reasons for change.

F 4. Employ the rolling wave planning technique, with more detail for the near-term tasks and progressively less detail for the far-term tasks.

F 5. Involve the project staff in the phase planning process, for example in a team-oriented planning session.

F 6. Review items on the issues list; resolve to the extent possible.

F 7. Close open action items, to the extent possible.

F 8. Review items on the decisions list -- as a reminder and to verify they are still relevant and correct.

F 9. Set phase objectives.

F 10. Flesh out the applicable lowest-level details of the Work Breakdown Structure.

F 11. Derive phase requirements; refer to COACH Part 1 checklists and the Program Plan as starting points. Look for alternative design and development approaches.

F 12. Itemize phase deliverables.

F 13. Indicate which elements of the system design baseline are to be deployed; update presentation diagrams accordingly.

F 14. Perform studies to determine whether to make, buy, or modify subsystem components.

F 15. Develop a detailed schedule for the work to be accomplished during the current phase. Most effectively done by identifying and linking activities per the critical path method, utilizing a desktop scheduling tool. The output can be printed as both a Gantt (bar) chart and a PERT (network) chart.

F 16. Identify named individuals who will perform the activities in the detailed schedule.

F 17. Update project external dependencies, with their need-by date.

F 18. Update the master program phases chart.

F 19. Complete the detailed design for all components and interfaces to be developed or modified in the phase. Start with the top-level design and phase objectives. Use COACH Part 3 checklists as guidance, plus the Scope and Design Workshops.

F 20. Define subsystem and component control and data interfaces. Utilize COACH Part 4 for functional allocation.

F 21. Conduct technical reviews in order to catch problems as early as possible in the development life cycle.

F 22. Maintain a strict version numbering system for all products.

F 23. Maintain stakeholder commitment via visibility into progress by physical demonstrations of useful capability, and by regular management status reporting.

F 24. Define system acceptance criteria; use COACH Part 5 checklists as guidance.

F 25. Conduct operational acceptance tests at the end of each phase; specify re-work if necessary.

F 26. Conduct a lessons learned session at the end of each phase (as part of planning the next phase).

COACH2 Program/Project Planning Checklist

Commit Level(F/P/N) Intended Actions

F 1. Review state's ITS/CVO strategic plan and business plan.

F 2. Define objectives for CVISN Program.

F 3. Derive requirements for deployment projects.

F 4. Establish project development standards, such as design margin as a function of development lifecycle.

F 5. Define project-specific processes, such as required design reviews, or how to close an action item.

F 6. Establish a system design baseline. (See the CVISN Guide to Top-Level Design.)

F 7. Create a program Work Breakdown Structure.

F 8. Delineate program deliverables, including support documentation and training.

F 9. Establish a program organization structure, with clear roles and responsibilities.

F 10. Assign each element of the work breakdown structure to an element of the program organization structure.

F 11. Develop project-specific "partnering charters" covering four areas: mission statement; communication objectives (e.g. decision-making at lowest possible level); performance objectives (e.g. complete the project without litigation); issue resolution system (e.g. management levels and timeframes).

P 12. Develop a flexible procurement strategy. Allocate sufficient calendar time for the required steps.

F 13. Establish a top-level schedule divided into phases; ensure milestones are measurable.

F 14. Outline high-level objectives for each phase; express in a 1-2 page phases chart that explains capabilities from a user's point of view.

F 15. Set the stage for the transition to production use and support; such as database backup and restoration, and a user "help" desk.

F 16. Identify project external dependencies, with their need-by date.

F 17. Estimate cost and resource requirements first using summary top-down methods, such as historical analogy and manager's judgement. This will initiate the process and set targets.

F 18. Estimate cost and resource requirements using bottoms-up detailed methods, such as resource-type quantities for each element of the WBS. This will get 'buy in" from the staff, and validate the top-down estimates.

F 19. Determine potential funding sources and obtain funding commitments

F 20. Identify both programmatic and technical issues and develop a resolution plan.

F 21. Obtain approval, publish, and distribute program plan document. Include completed COACH Part 2 checklists as an appendix.

F 22. Maintain on each project a Project Leader's notebook with up-to-date copies of essential key charts and diagrams.

F 23. Maintain a Program Manager's notebook with up-to-date copies of essential key charts and diagrams.

F 24. Once a year or more often, re-figure the estimate-to-completion.

COACH2 Program/Project Management Checklist

Commit Level(F/P/N) Intended Actions

F 1. Establish program executive sponsorship. For example an agency head or chief information officer; or a group such as an executive-level steering committee.

P 2. Empower a Program Manager, dedicated to the program at least 30% of the time on average. More time is needed in the startup phase, when a team is new, and if there are many simultaneous projects under the CVISN umbrella. (One state with 20 projects has a full-time Program Manager.)

P 3. Engage a System Architect, dedicated to the program approximately 80% of the time on average.

P 4. Engage a facilitator/scheduler/administrator, dedicated to the program approximately 50% of the time on average.

F 5. When multiple state agencies are involved, establish an inter-agency coordinating council.

F 6. Obtain an approved memorandum of agreement among all involved state agencies.

F 7. Establish a state carrier advisory council.

F 8. Recruit interstate, intrastate, and owner-operator carriers to participate in the program before production deployment (both motor carriers and motor coach companies).

F 9. Where appropriate initiate separate deployment projects under the scope of the CVISN program. For example, deployments in disparate domains such as credentials administration vs. electronic screening are likely to be developed by different teams operating as distinct projects.

F 10. Assign a Project Leader for each separate deployment project, dedicated to each project at least 30% of the time on average. More time is needed in the startup phase.,

F 11. Provide adequate training opportunities to project team members, such as attendance at FHWA's CVISN training courses and CVISN workshops.

F 12. Ensure all team members acquire a broad and common understanding of CVISN activities, architecture, and design guidance -- for example, by reading the CVISN Guides, and noting lessons-learned by other states.

F 13. Foster a sense of professional fellowship and teamwork. Likely to require teambuilding interventions such as a partnering workshop; and periodic face-to-face meetings of geographically dispersed teams.

F 14. Adopt the strategy of incrementally developing and deploying products in 3-6 month phases, where each phase adds additional CVISN capabilities. This is called the “spiral” development model as opposed to the “linear” model. Refer to the CVISN Guide to Phase Planning & Tracking.

F 15. Establish a configuration management process for controlling changes to the system baseline; this typically includes a Configuration Control Board. Utilize state's existing configuration control process wherever possible.

F 16. Set up a program library; obtain needed references identified in the CVISN Guide to Program & Project Planning.

F 17. Maintain a list of action items, decisions, and issues. (By definition action items require formal closure.)

F 18. Delineate needs for external communications with stakeholders (including the state legislature), and with related projects.

F 19. Conduct monthly team meetings and status assessments.

F 20. Track progress versus schedule monthly; strategize accordingly.

F 21. Conduct quarterly stakeholder progress reviews before a wider audience.

F 22. Monitor actual costs and resource expenditures relative to estimates.

Appendix H – CVISN Grant Agreement

Appendix I - Acronyms

AAMVA American Association of Motor Vehicle AdministratorsAASHTO American Association of State Highway Transportation OfficialsAFF Application file formatAHPS Automated Hauling Permit SystemANS American National StandardANSI American National Standards InstituteAPL The Johns Hopkins University Applied Physics LaboratoryASAP Automated Safety Assurance ProgramASC Accredited Standards CommitteeASPEN Inspection system name (Not an acronym)ASTM American Society for Testing and MaterialsATA American Trucking AssociationsAVALANCHE Communications module for ASPEN (Not an acronym)AVC Automatic Vehicle ClassificationAVI Automatic Vehicle Identification

CA Credentials AdministrationCAPE Commercial Accident Prevention and EvaluationCAPRI Compliance Analysis Performance Review InformationCARS Credentials Administration Requirements SpecificationsCASE Computer Aided Software EngineeringCAT Carrier Automated TransactionCDL Commercial Driver’s LicenseCDLIS Commercial Driver’s License Information SystemCI Credentialing InterfaceCIA custom interface agreementCICS Customer Information Control System (IBM)CIS (alt. 1) Credential Input SystemCIS (alt. 2) Central Information SiteCMVSA Commercial Motor Vehicle Safety ActCOACH CVISN Operational and Architectural Compatibility HandbookCR Compliance ReviewCSFR Carrier Safety Fitness RatingCV Commercial VehicleCVIE (Obsolete -- see CVIEW)CVIEW Commercial Vehicle Information Exchange WindowCVIS Commercial Vehicle Information SystemCVISN Commercial Vehicle Information Systems and NetworksCVO Commercial Vehicle OperationsCVSA Commercial Vehicle Safety Alliance

DOT Department of TransportationDSRC Dedicated Short Range CommunicationDSTU Draft Standard for Trial UseDUNS Dun and Bradstreet

EDI Electronic Data InterchangeEFT Electronic Funds TransferETA Education and Technical AssistanceETC Electronic Toll Collection

FFE Flat File EquivalentFHVUT Federal Heavy Vehicle Use TaxFHWA Federal Highway AdministrationFMCSR Federal Motor Carrier Safety RegulationsFMIS Financial Management Information SystemFOC final operating capabilityFTA (alt. 1) Federation of Tax AdministratorsFTA (alt. 2) Federal Transit AdministrationFTP File Transfer Protocol

GSN Global Services NetworkGUI Graphical User Interface

HAZMAT Hazardous MaterialHELP Heavy Vehicle Electronic License Plate ProgramHTML Hypertext Markup LanguageHVUT Heavy Vehicle Use Tax

IDT Intelligent Decision TechnologiesIEEE Institute of Electrical and Electronics EngineersIFTA International Fuel Tax AgreementIFTA/RPC International Fuel Tax Agreement/Regional Processing CenterIG Implementation Guide (for EDI)IMS Information Management SystemsINT InternetIOC initial operating capabilityIP Internet Protocol (in TCP/IP)IRP International Registration PlanISS Inspection Selection SystemITS Intelligent Transportation Systems (formerly IVHS)ITSA Intelligent Transportation Society of America

JHU/APL The Johns Hopkins University / Applied Physics Laboratory

LAN Local area networkLM Legacy ModificationLSI Legacy System Interface

MAPS Multi-Jurisdictional Automated Preclearance SystemMCMIS Motor Carrier Management Information SystemMCSAP Motor Carrier Safety Assistance ProgramMF MainframeMFTU Motor Fuel Tax UnitMVA Motor Vehicle Administration (means MD’s MVA)

NCIC National Crime Information CenterNDR National Driver RegisterNLETS National Law Enforcement Telecommunications SystemNMVTIS National Motor Vehicle Title Information System

OCD Operational Concept DocumentODBC Open Data Base Connectivity ODBC/SQL see ODBC and SQLOIR Office of Information ResourcesOMC Office of Motor CarriersOOS Out of ServiceOS/OW Oversize/Overweight

PC personal computerPDPS Problem Driver Pointer SystemPOP Post Office ProtocolPRISM Performance and Registration Information Systems Management

RES Roadside Electronic ScreeningROC Roadside Operations Computer

RPC Regional Processing CenterRS Registration SystemRSPA Research and Special Program Administration

SAFER Safety and Fitness Electronic RecordsSAFETYNET Inspection report storage system (Not an acronym)SafeVUE SAFER & CVIEW Visual User Environment SCE Selective Compliance and EnforcementSDM SAFER Data MailboxSDO Standard Development OrganizationSHA State Highway AdministrationSMTP Simple Mail Transfer ProtocolSMTP/POP Simple Mail Transfer Protocol/ Post Office ProtocolSNA Systems Network ArchitectureSQL Structured Query LanguageSSN Social Security NumberSSRS Single State Registration SystemSTOLEN State On-line Enforcement System

TA Temporary Authority (for IRP registration)TCP Transmission Control ProtocolTCP/IP see TCP and IPTS Transaction Set

UCR Unified Carrier RegisterUSDOT United States Department of Transportation

VAN Value-Added NetworkVIN Vehicle Identification NumberVISTA Vehicle Information System for Tax ApportionmentVISTA/RS VISTA Registration SystemVISTA/TS VISTA Tax SystemVMS Variable Message Sign

WIM Weigh-In-Motion

XML Extended Markup Language