prism overview

PRISMOVERVIEW

Law Enforcement Training

June 2010

What is PRISM?

• Cooperative Federal/State Program to link safety fitness to state vehicle registration

• Feasibility Study mandated by Section 4003 of the ISTEA of 1991– Five state pilot concluded in 1997– Report submitted to Congress in 1998 – PRISM is cost-effective and improves safety

Benefits of PRISM

• Improves Safety– Improved performance required to exit program

• Performance Based System– Carriers identified based on safety data

• Identification of High Risk Carriers– SafeStat identifies carriers with future crash risk

Benefits of PRISM

• Improved Efficiency of Federal and State Resources– CRs on highest risk carriers– Warning letters

• Improved Data Accuracy– Automatic Census updates with registration renewals– Barcodes reduce inspection data entry errors– Ability to correct non-match inspection and accident

records through registration records

Benefits of PRISM

• Customer Service– Promotes “one-stop shop” for USDOT Number

and Plates

• Accountability for Safety– Interstate Trucks must have USDOT Number to

identify Carrier Responsible for Safety– Cannot register if prohibited from Interstate

Operations

PRISM…Two Main Processes

• Commercial Vehicle Registration Process

• Motor Carrier Safety Improvement Process(MCSIP)

PRISM ANDVEHICLE

REGISTRATION

Commercial Vehicle Registration

• The Commercial Vehicle Registration process provides the framework for PRISM

• Establishes link between the Motor Carrier Responsible for Safety and every vehicle registered commercially

– Plate number (or VIN) can always be traced back to the responsible carrier

– Brings safety down to the vehicle level

Definitions (Who’s Who)

• Registrant - Entity issued vehicle registration and plate

• Motor Carrier - Entity responsible for safe operation of the vehicle

(Note: If there is no actual motor carrier, then Registrant serves as Default Motor Carrier)

• Default Motor Carrier - Entity responsible for safety when actual motor carrier cannot be identified

How Does PRISM Affect Safety?

• Safe operating is a requirement for obtaining and keeping a registration plate

• Check the Carrier’s Safety Status

• Does the USDOT Number belong to a sanctioned carrier?

• Was the vehicle assigned to a sanctioned motor carrier previously?

PRISM Target Vehicle File

1. Daily file of MCSIP Carriers created by PRISM Central Site and distributed to States

2. States identify vehicles assigned to carriers in MCSIP and upload those vehicle records to PRISM

3. Target File created 6:00 AM daily with vehicles from all PRISM states

4. States use Target File for Safety Checks at registration offices and roadside

PRISM State Barcoding

• Barcode the cab card with vehicle and registrant information

• Barcode and print carrier responsible for safety• USDOT Number

• Carrier Name

• Mailing Address

(Note: Only if the lease is expected to remain in effect for the entire registration year)

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

PRISM State Barcode Map – April 2010

Registrant & MCRS are the Same

When there is no lease and the MCRS is not expected to change during the registration year, the following info is printed on the Cab Card:

- USDOT Number- Carrier Name- Mailing Address

This information isin the bar code.

Same Company

Scannable

Barcode

Registrant & MCRS are Different - MCRS not expected to change

When there is a lease but the MCRS is not expected to change during the registration year, the following info is printed on the Cab Card:

- USDOT Number- Carrier Name- Mailing Address

This information is in the bar code.

DifferentCompany

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

Registrant & MCRS are Different - MCRS is expected to change

In some states, when there is a lease situation and the MCRS is expected to change during the registration year, the MCRS block has this message:

*As of January 2010, a PRISM Requirement is to add this message.

Registrant & MCRS are Different - MCRS is expected to change

ASPEN – Scanning Cab Card

TraCS – Scanning Cab Card

Carrier Data from Cab Card scanned into TraCS Vehicle Data from Cab Card scanned into TraCS

TraCS – Report

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

How Does PRISM Affect Safety?

Impose Sanctions

• Deny/Suspend vehicle registrations and retrieve plates when a Federal OOS order has been issued

• This concurrent state registration suspension is the ultimate sanction when a Federal order to cease interstate operations has been issued

MOTOR CARRIER SAFETYIMPROVEMENT PROCESS

MCSIP

Motor Carrier Safety Improvement Process

What is MCSIP?

• Process to improve the safety of high-risk motor carriers through:– Identification – Treatment– Assessment

Motor Carrier Safety Improvement Process

• Uses SafeStat to identify and monitor motor carriers

• Applies progressively harsher treatments to carriers that do not improve

• Ultimate sanction: Federal Out-of-Service Order and concurrent State Suspension/Revocation of vehicle registration privileges

MCSIP IDENTIFICATION

How Motor Carriers Are Identified

for Inclusion in MCSIP

MCSIP Identification

• SafeStat is used to identify motor carriers for inclusion in MCSIP

• SafeStat is an automated, data driven analysis system designed to measure the relative safety fitness of interstate motor carriers that uses:– roadside safety– compliance reviews – enforcement data


• SafeStat provides relative rankings of motor carriers based on performance in four Safety Evaluation Areas (SEA):

– Accident– Driver– Vehicle– Safety Management


• SafeStat Data (refreshed monthly)

– Prior 30 month history of:• National Governors Association Accidents• Roadside Inspections• Compliance Reviews• Enforcement Cases• Census Data

– Data is time weighted & severity weighted

SafeStat Calculation

SEA ValuesAccident SEA = 95Driver SEA = 90Vehicle SEA = 65SM SEA = 80

SafeStat Calculation Accident x 2 + Driver x 1.5 + Vehicle x 1 + SM x 1 = SafeStat Score

(95 x 2) + (90 x 1.5) + (65 x 0*) + (80 x 1) = 405 = SafeStat Category A*Note: When a SEA is under 75, the SEA is dropped from the equation

01020

30405060

708090

100

AC DR VH SM


• SEA values approximate carrier’s percentile rank relative to the population with sufficient data

• SEA values count towards the overall SafeStat score when 75 or above

• Motor Carriers with 2 or more SEA values at or above 75 are included in MCSIP

SafeStat Categories

• SafeStat Categories A – C establish the pool of MCSIP carriers

SafeStat Category SafeStat Score Range FMCSA Action

Category A 350 and Above Compliance Review

Category B 225 – 349 Compliance Review

Category C 150 - 224 PRISM Warning Letter

CSA 2010 - Pilot

• CSA 2010 is a new major initiative of FMCSA to improve safety

• CSA 2010 safety criteria will replace SafeStat scoring system for assigning carriers in MCSIP

• Currently tested in the following states: CO, GA, KS, MD, MN, MO, MT, NJ

CSA 2010 - BASICs

• BASICS are behavior categories that can lead to crashes

• Behavior Analysis & Safety Improvement Categories

• Carrier and Driver scores in each BASIC will determine FMCSA actions:

→ Intervention (*New - including On-Site Investigations)

→ Safety Compliance Review→ Out-of-Service Order

CSA 2010 - BASICs

• 7 BASICs will replace 4 SEAs

SafeStat - SEA BASICS

Accident Driver Fitness

Driver Unsafe Driving

Vehicle Fatigued Driving

Safety Management Controlled Substances/Alcohol

Crash Indicator

Vehicle Maintenance

Improper Loading/Cargo Securement

CSA 2010 - Enforcement

• Stricter New Entrant Safety Audits– Any 1 of “15 Deadly Sins” results in failed audit

• More focus on Driver qualifications

• Canadian and Mexican carriers will be rated in the same way as U.S. carriers

MCSIP TREATMENTS

Actions taken to address MCSIP Carriers

MCSIP Treatments

Increased Roadside Inspections

• All Carriers in MCSIP (SafeStat A-C) must be targeted at the roadside for increased inspection

MCSIP Treatments

PRISM Warning Letters

• PRISM Warning Letters are recommended for newly identified SafeStat Category C motor carriers that have not had a recent CR

• What is the purpose of the Warning Letter?– Encourage safety improvement

– Serve as a diagnostic and educational tool

– Reach a greater number of carriers than CR resources alone would allow

MCSIP Treatments

Compliance Reviews

• Compliance Reviews are recommended for SafeStat Category A & B motor carriers

• Compliance Reviews:– Are conducted at the carrier place of business– Document compliance violations and performance data– Recommend safety improvements– Serve as a basis for enforcement penalties– Generate a Safety Rating

MCSIP Treatments

Registration Sanctions

In what situations will FMCSA order a carrier to cease interstate operations?

MCSIP Treatments


• Imminent Hazard– Extremely rare

– Immediate shut-down at time of CR closeout

• Final Unsatisfactory Safety Rating– Shut-down if carrier fails to improve a “proposed”

unsatisfactory rating within 45/60 days

– CR and proposed rating Letter notifies motor carrier of possible state registration sanctions

MCSIP Treatments


• Failure to pay fines– Shut-down if carrier fails to pay fine or enter into a payment

agreement within 90 days of final agency order (FAO)

– FAO notifies motor carrier of possible state registration sanctions

• Failure of a new entrant safety audit– Must be audited within 18 months of entry

– Newest Sanction reason – Failed Audit

OOS REASON DENY PLATE RENEWAL

ISSUE SUSPENSION (Minimum Requirement)

PHYSICALLY RETRIEVE PLATES (Minimum Requirement)

- Imminent Hazard YES YES When/If discovered operating at the roadside

Or, When/If OOS Order or State Suspension is hand delivered

- Final Unsatisfactory Rating

YES YES When/If discovered operating at the roadside


- Failure to Pay Federal Fines

YES When evidence exists that the carrier has continued to

operate

When/If discovered operating at the roadside


- Failing New Entrant Audit

YES YES When/If discovered operating at the roadside


- Carrier not allowing New Entrant Safety Audit / No Contact

YES When evidence exists that the carrier has continued to

operate

When/If discovered operating at the roadside

Why do all this?

ABC Express Trucking

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

ABC Express Trucking

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

State Registration OfficePlate Renewal Time

DOT Number Check: “The USDOT Number for XYZ Express Trucking is A – OK”

Vehicle Check: “Wait a minute! The SAFER/PRISM database indicates vehicles with these VIN #’s are linked to ABC Express Trucking. We’re gonna have to see a transfer of title, a lease agreement to another carrier, or some kind of evidence that ABC and XYZ are not the same company.”

IRP collects USDOT numbers and validates

FMCSA issues OOS to unsafe carriers

IRP checks safety and refuses /suspends registration if OOS

Carrier stops operating…Right?

Summary

WrongThis is why we are here.

It is law enforcement’s job to stop these vehicles from operating on the highways.

Last point of contact

YOU

When a vehicle is stopped at the roadside, you should always check the PRISM Target File

If OOS, Pick up plates

If OOS, Confiscate vehicle

Access Target File Data

• Query Central (Real-time OOS)

• NLETS (ACQ/AVQ)

• CVIEW

• ISS

Carrier Information Data Timeliness

MCMIS Database

Key Enforcement DataMCMIS Update

Monday – Thursday @ Midnight

Saturday @ 8:00 am

SAFER Website(ad-hoc)

CVIEWT0031(batch)

SAFER - PRISM

NLETS(ad-hoc)

ISS(batch)

Authoritative Source

USDOT NumberCarrier Name

Targeted IndicatorOOSO Status

After MCMIS Update(Real-time for OOSO Status)

After MCMIS Update

After MCMIS Update

Monthly Data

Refresh

Freshest Data Stalest DataData Availability

SAFERFTP Site

States downloadfrom SAFER FTP

after 8:00 am

Query Central(ad-hoc)

Real-time OOSO Status

PRISM Web Services

(ad-hoc)

After MCMIS Update(Real-time for OOSO Status)

Vehicle Registration Data Timeliness

State Vehicle Registration Office

Key Enforcement Data

NLETS Vehicle

Target Status(ad-hoc)

CVIEWT0041P(batch)

PRISM Target File

(batch)

SAFER - PRISM

Query Central(ad-hoc)

Freshest Data Stalest Data

VIN, State/PlateRegistration Expire Date

Carrier Responsible for Safety

After Daily Vehicle Record Uploads

States downloadafter 6:00am

Daily Vehicle Record Uploads

PRISM PVF - 5:00amCVIEW XML - Throughout the day

or evening batch upload. (dependent on State process)

NLETSVehicle

Registration(ad-hoc)

Data Availability

Real-Timedirect fromState Office

PRISMSFTP Site

States downloadafter 6:00am

Authoritative Source

SAFERFTP Site

PRISM Web Services

(ad-hoc)



Carrier and Vehicle Registration Data

Query Central

Query Central supports inquiries by:

• USDOT Number

• License Plate & State

• Vehicle Identification Number

Query Central

Real-TimeOOS

Status

Query Central

VehicleInformation


NLETS

Carrier Inquiry by: USDOT Number (ACQ)

Vehicle Inquiry by: VIN or License Plate & State (AVQ)


NLETS Responses

All NLETS Carrier Status Response Messages provide the same data elements.

There are differences in the Heading that appears above the data fields.

The following messages can be found depending on the MCSIP Step:

NLETS Response Message MCSIP Steps

CARRIER IS NOT TARGETED 00, 30, 99

CARRIER IS TARGETED 2-22, 31-39, 70-89

CARRIER IS UNDER FEDERAL OOSO 54, 55, 57, 63, 64, 65, 66

INTRASTATE OOS 59

CARRIER IS UNDER FEDERAL OOSO & INTRASTATE OOS

52, 53, 60, 61, 62, 67, 68

*NOT ON FILE *Vehicle not on PRISM Target File

NLETS

MSG FROM NLETS 3745ACR.AVLIC0000. TO:DEST IA07710B5*MRI0056917.TXT

CARRIER IS UNDER FEDERAL OOS. IMMINENT HAZARD.

DOT/178097.NAM/ACTION CARRIER INC.ADR/700 E 52ND STREET NORTH.CITY/SIOUX FALLS.ST/SD.ZIP/57104.CAR TARG‑HIST IND/T.MCSIP STEP/54.MCSIP DATE/11122008.PAGE/01 OF/01.

PRISM Target File Alert Message

**NLETS-PRISM Queries only return data when the Carrier is under a Federal OOS or Vehicle is Targeted for Inspection

NLETS Carrier Status Response Sample


NLETS Vehicle Status Response

CARRIER IS TARGETED.

DOT/1816966.NAM/STALLION TRANSPORT LLC.DBA/.ADR/817 SUNDALE ST.CITY/BISMARCK.ST/MO.ZIP/63624.CAR TARG‑HIST IND/T.MCSIP STEP/7.MCSIP DATE/12182009.

VMA/FORD.VYR/2004.VIN/1FDXW47P84ED62797.LIC/13AF9M.LIS/MO.REG EFF DATE/10012009.REG EXP DATE/09302010.VEH TARG‑HIST IND/T.PAGE/01 OF/01.

PRISM Target File Alert Message

PRISMCARRIER

DATA

PRISMVEHICLE

DATA

**NLETS-PRISM Queries only return data when the Carrier is under a Federal OOS or Vehicle is Targeted for Inspection


NLETS Vehicle Status Response

• Carrier data is also included in the Vehicle Status Response

• PRISM alert messages are based on the value contained in the MCSIP Step

“NOT ON FILE” = Vehicle not on PRISM Target File


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

The first screen presented will display the available data.

The option of “Company Snapshot” should be selected


SAFER Website

Note that there is an OOSO dated February 16, 2010


SAFER Website

There is significantly more information available on this carrier from this inquiry but we have chosen to only show the Carrier Identification Screen Some of the additional information is:

• Operation Classification

• Carrier Operations

• Cargo Carried

• Inspections/Crashes

• Safety Rating

• Insurance


CVIEW

Training coordinator: Place state CVIEW screen here

ISS(Monthly Refresh available for download)



ISS

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

Press OK and ISS will provide the next screen


ISS

ISS-2 - 3

The Red Light indicates the carrier is Out of Service

(At the time of the last update of ISS)

Carrier/Vehicle is OOSO

What should you do if you verify the vehicle

is under an OOSO?

Training Coordinator: Customize the next slide series for actions authorized by your laws


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


Susan

You remember that Smith & Jones Trucking that we have been looking for? I got the plates off of it and I’ll turn them in tonight.

IRP Office

OK Bill I’ll show the plates as turned in


Tow the vehicle

prism overview

Documents

motor carrier responsible

vehicle records

usdot number carrier

sanctioned carrier

actual motor carrier

sanctioned motor carrier

print carrier responsible

registration renewalsbarcodes