Performance Registration Information Systems Management (PRISM)

SD1999-06-P Connecting South Dakota and the Nation South Dakota Department of Transportation Office of Research Performance Registration Information Systems Management (PRISM) Study SD1999-06 Implementation Project Plan Prepared by SD Department of Transportation Office of Research Pierre, South Dakota April 2001

DISCLAIMER The contents of this report reflect the views of the authors who are responsible for the facts and accuracy of the data presented herein. The contents do not necessarily reflect the official views or policies of the South Dakota Department of Transportation, the State Transportation Commission, or the Federal Highway Administration. This report does not constitute a standard, specification, or regulation. ACKNOWLEDGEMENTS This work was performed under the direction of the State of South Dakota CVISN Program Team. Martin Bettmann...Public Utilities Commission Mark Gilmore.Federal Motor Carrier Safety Admin. Debra Hillmer... Department of Revenue David Huft...SDDOT Research Bob Knadle...Public Utilities Commission Ron Knecht...Information & Telecommunications Barb Lindstrom...SD Trucking Association Capt. Myron Rau...SD Highway Patrol Hal Rumpca...SDDOT Research Mike Young... SDDOT Operations Support The work was performed in cooperation with the United States Department of Transportation Federal Motor Carrier Safety Administration. SD PRISM IMPLEMENTATION PROJECT PLAN ii April, 2001

TABLE OF CONTENTS TABLE OF CONTENTS III 1. EXECUTIVE SUMMARY 1 2. REGISTRATION REQUIREMENTS 3 3. ENFORCEMENT REQUIREMENTS 32 4. SOUTH DAKOTA PRISM IMPLEMENTATION PROJECT SCHEDULE 43 5. SOUTH DAKOTA PRISM IMPLEMENTATION PROJECT COSTS 47 6. GLOSSARY 49 SD PRISM IMPLEMENTATION PROJECT PLAN iii April, 2001

SD PRISM IMPLEMENTATION PROJECT PLAN iv April, 2001

1. EXECUTIVE SUMMARY The following agencies of South Dakota State Government are involved in the Performance and Registration Information Systems Management (PRISM) Implementation Project: Department of Transportation Department of Revenue Division of Motor Vehicles Department of Commerce and Regulation Highway Patrol Public Utilities Commission (PUC) Bureau of Information and Telecommunications (BIT) The South Dakota Department of Transportation s Division of Planning and Engineering, Office of Research, will be the Lead Agency for the PRISM Implementation Project. David Huft and Hal Rumpca will be the primary contacts for the project. The Office of Research will oversee the implementation of the PRISM Program in accordance with the operational and technical provisions of the approved plan. Major changes to the plan will be submitted to the FMCSA for review and approval. A Project Manager/Facilitator will be provided to coordinate the efforts of each affected agency, facilitate all meetings, prepare quarterly reports on the status of the State's implementation efforts, and ensure that any issues or problems that impact the State's ability to carry out the program are resolved. The project manager will also be responsible for maintaining the project schedule, communicating with other PRISM States, and providing project documentation. A Project Systems Architect will assist the Project Manager/Facilitator and will be responsible for the following tasks: Providing the systems architecture. Providing project continuity if the Project Leader should leave. Providing information to the Project Leader that will aid in the scheduling of tasks. Providing information to the Project Leader that will aid in the scheduling of personnel. Establishing system requirements. Establishing programmer specifications. Working with Federal agencies regarding data requirements and coordination. Communicating with other PRISM states. Providing independent testing of all systems. Working with state Network personnel (LAN,WAN). Working with state Data Base personnel. Working with state agencies that are involved in the PRISM project. Working on a daily basis with programmers. Providing project documentation. SD PRISM IMPLEMENTATION PROJECT PLAN 1 APRIL, 2001

The Office of Research and necessary representatives from other affected agencies will participate in scheduled National PRISM meetings that may include Steering Committee Meetings; Federal/State Working Group Meetings; and Data Processing Subcommittee Meetings. A summary of agency travel, management and implementation costs can be found in Section 5: South Dakota PRISM Implementation Project Costs. The distribution of funds between agencies will be: Agency Amount Department of Transportation $338,000 Division of Motor Vehicles $142,000 Highway Patrol $0 Public Utilities Commission $20,000 Bureau of Information & Telecommunications $0 Total $500,000 While the distribution of funds table shows the Bureau of Information and Telecommunications (BIT) with no funds, it should be noted that the work they do is charged to other agencies and therefore shows up under the other agencies budgets. The major Project Milestones are: Agency Amount Completion by all registrants of a new MCS-150 form January 2002 - December 2002 Collect and maintain the USDOT Number for Registrants and the Motor Carrier responsible April 2001 September 2002 for safety Load and maintain a Local PRISM Census File July 2001 December 2001 Implementation of PRISM September 2002 SD PRISM IMPLEMENTATION PROJECT PLAN 2 APRIL, 2001

2. REGISTRATION REQUIREMENTS Requirement 1 Identify, collect and maintain the USDOT Number for the registrant and motor carrier responsible for the safe operation of each vehicle being registered. The carrier responsible for the safe operation of the vehicle will be identified at the time of registration. All PRISM actions are based on the actual safety performance of a motor carrier. Therefore, it is critical that all safety events (crashes, roadside inspections, etc.) be properly assigned to the motor carrier that was responsible for the safe operation of the vehicle at the time of the event. The PRISM project created the concept of a Default Motor Carrier. The Default Motor Carrier is defined as the person responsible for assigning safety responsibility in cases where the motor carrier has not been properly identified or cannot be identified. In these cases the Registrant will be used as the Default Motor Carrier and will be responsible for determining safety responsibility for safety events in question. If the Default Motor Carrier does not assign safety responsibility, then the events become a part of the Default Motor Carrier s safety record and their ability to register vehicles under PRISM may be adversely affected. Therefore, all registrants must provide a USDOT number when completing an IRP application. A separate data field for the registrant s USDOT number must be included on both the IRP Vehicle and Mileage schedule and maintained in the State s registrant file. A separate field for the Motor Carrier s USDOT Number must be included on the IRP Vehicle schedule, for each vehicle being registered, and included in the State s Vehicle file. Responsible Person: Debra Hillmer Tasks South Dakota will meet this requirement by: Identifying the motor carrier responsible for safety at the vehicle level and providing a USDOT Number for all registrants that are not the motor carrier. Identifying whether the vehicle is long term or short term leased, and record the appropriate USDOT Number at the vehicle and registrant level The USDOT Number of the Registrant will be recorded at the Registrant level. In addition, if short term leased the USDOT Number of the Registrant will be recorded at the vehicle level. (No Bar code) If long term lease, the actual motor carrier for safety will be identified and recorded at the vehicle level. (Bar code) The USDOT Number will be collected on the IRP Application Section III and Schedule III and recorded on the Registrant and Vehicle Files. South Dakota will modify the screen formats (forms modified in requirement 1) to capture the registrant s USDOT Number for storage in the Registrant file. South Dakota will modify the screen formats to capture the motor carrier s USDOT Number for storage in the vehicle file. SD PRISM IMPLEMENTATION PROJECT PLAN 3 APRIL, 2001

South Dakota will deny registration if the information is not provided. October Modify IRP Section III and Schedule III $ 0 December 2001 October Modify Registrant File to include USDOT Number. $85,000 December 2000 October - December 2000 Modify Vehicle File for Leased (Y-N) and USDOT Number for safety. Included in $85,000 above October - December 2000 Modify screen formats to capture Registrant s USDOT Number. Included in $85,000 above October - December 2000 Modify screen formats to capture Motor Carrier USDOT Number at the vehicle level. Included in $85,000 above SD PRISM IMPLEMENTATION PROJECT PLAN 4 APRIL, 2001

Requirement 2 - Require all registrants (motor carrier, default carrier and registrant) to provide a Taxpayer Identification Number (TIN). In addition to the USDOT number, all registrants must provide a Taxpayer Identification Number (TIN) when completing an IRP application. A TIN may be the registrant s Federal Employer Identification Number or Social Security Number. A separate data field for the registrant s TIN must be included on both the IRP Vehicle and Mileage schedule and maintained in South Dakota s registrant database. Responsible Person: Debra Hillmer Tasks 1. South Dakota will modify the IRP System when entering the USDOT Number to be able to enter the TIN and have program validate correctness with the Local PRISM Census File. 2. South Dakota will collect the TIN from Section I and Section III of the IRP application. This TIN must be maintained on the Registrant File. 3. South Dakota will collect and store the TIN at Vehicle level from the MCS-150 form. October - December 2000 Modify IRP System to capture TIN and validate correctness with the $ 0 (included in Requirement 1) Local PRISM Census File. October - December 2000 The Registrant s TIN must be maintained on the Registrant File. $ 0 (included in Requirement 1) October 2001 - September 2002 South Dakota will collect and store the TIN at the vehicle level from the MCS-150 form. $ 0 (included in Requirement 1) SD PRISM IMPLEMENTATION PROJECT PLAN 5 APRIL, 2001

Requirement 3 - Require all registrants to complete a new MCS-150 form prior to issuing initial registration credentials and to Update the MCS-150 information prior to issuing renewal credentials. It is necessary to complete the MCS-150 Form so that the information can be updated to the MCMIS Census File with the most current information. This information is then included in the PRISM Census File so that all PRISM States have current information. Responsible Person: Debra Hillmer Tasks 1. South Dakota will notify FMCSA that they need an MCS-150 file in June - August for testing and a current MCS-150 file by September 1 for production. Thereafter, the MCS-150 file will be required annually by September 1. 2. Beginning with the January 1, 2002 renewals (i.e. starting in October 2001) South Dakota will provide the MCS-150 information to carriers to update. (Either on the renewal application or on the invoice) 3. When a MCS-150 is received, South Dakota will update the information to the MCMIS file. June 2001 South Dakota will notify FMCSA that they need an MCS-150 file for testing and production. State will absorb October 2001 Provide MCS-150 form to each carrier for their renewal State will absorb January 1, 2002 Update all MCS-150 forms to the MCMIS file by DMV. $25,000 (temp position.) SD PRISM IMPLEMENTATION PROJECT PLAN 6 APRIL, 2001

Requirement 4 - Load and maintain a Local PRISM Census file. States must receive and maintain a Local PRISM Census File. The PRISM Census File is a subset of the MCMIS Census File and when a State prepares to enter PRISM arrangements must be made with FMCSA (tape) or SAFER (CD-ROM) to receive a copy of the PRISM Census File. The State will load this file and can make inquiries to this file to validate USDOT Numbers. Responsible Person: Ron Knecht Tasks 1. South Dakota will receive the Local PRISM Census File from FMCSA HQ. 2. South Dakota will develop the program(s) necessary to load the initial Local PRISM Census File when received from FMCSA (tape) or SAFER (CD-ROM). 3. South Dakota will identify or establish an Advantis IE mailbox for the State and provide the mailbox identifier to SAFER for the transmission of the weekly PRISM Census File Updates. 4. South Dakota will secure the software from AAMVAnet to retrieve and send files from/to the Advantis IE mailbox. (File transfer costs and Expedite software is included) 5. South Dakota will develop the program(s) necessary to retrieve the weekly PRISM Census File Updates from the States' Advantis IE mailbox. 6. South Dakota will develop the program(s) necessary to correctly process the weekly PRISM Census File Updates. January 2001 Notify FMCSA to send a PRISM Census File for testing purposes Included April September 2001 Develop program(s) necessary to load the PRISM Census File Included January - March 2001 Identify or establish an Advantis IE mailbox Included April - September 2001 Secure the software from AAMVAnet to retrieve and send files Expedite Software Included from/to the Advantis IE mailbox April September 2001 Develop the program(s) necessary to retrieve the weekly PRISM File transfer costs Included Census File Updates from the States' Advantis IE mailbox. April September 2001 Develop the program(s) necessary to correctly process the weekly PRISM Census File Updates. $18,000 SD PRISM IMPLEMENTATION PROJECT PLAN 7 APRIL, 2001

Requirement 5 - Validate the USDOT number and the motor carrier identifying information (MCS-150 data) for the motor carrier and registrant prior to issuing the registration credentials. South Dakota must develop the ability to verify the USDOT number presented by the registrant during the registration process. This is done by matching the information provided by the registrant against the Local PRISM Census file using a local Census Inquiry Transaction. The primary purposes of the Census Inquiry transaction are to: 1) confirm the USDOT number presented by the registrant and, 2) validate the carrier s name and address. It is expected that most census inquiries will be completed successfully by accessing the information on the Local PRISM Census file. If no match is found using this process, or if the information is inadequate, the State can initiate the second level of validation through a MCMIS Search. Responsible Person: Ron Knecht Tasks 1. South Dakota will develop the program(s) for users to submit an interactive or batch inquiry to the Local PRISM Census File and to receive the appropriate response. (Need to decide interactive or batch) 2. South Dakota will develop the procedures and coordinate them with FMCSA for users to make an interactive inquiry to the MCMIS Census File when a Local PRISM Census File inquiry returns a "no-hit" April September 2001 Develop the program(s) for users to submit an interactive or batch $18,000 inquiry to the Local PRISM Census File and to receive the appropriate response April September 2001 Develop the procedures and coordinate them with FMCSA for users to make an interactive inquiry to the MCMIS Census File when a Local PRISM Census File inquiry returns a "no-hit" Included SD PRISM IMPLEMENTATION PROJECT PLAN 8 APRIL, 2001

Requirement 6 - Send motor carrier information (MCS-150) to registrant for all USDOT numbers used on renewals for annual validation and updating. Once a current South Dakota motor carrier census has been established, the information is kept current through the annual IRP renewal process. Registrants must receive as part of their renewal package, census information (in the format of an MCS-150 form(s)) for each different USDOT number in the fleet. Registrants are required to update the information and verify (through a signature) that the information is true and accurate. Responsible Person: Debra Hillmer Tasks 1. South Dakota will print an MCS-150 form (from the annual MCS-150 tape) for each USDOT Number in a motor carrier s fleet and send the forms with the carrier s renewal package to be updated by the carrier. 2. When the updated MCS-150 forms are received from the carrier, South Dakota will update the information. October 2002 Print the MCS-150 form(s) to be included in carrier s renewal $1,000 package. October - December 2002 South Dakota DMV will update the MCS-150 information. Included SD PRISM IMPLEMENTATION PROJECT PLAN 9 APRIL, 2001

Requirement 7 - Enter updates to MCS-150 information for motor carriers and registrants into the MCMIS Census File by direct access to the MCMIS Census File or by coordinating with FMCSA. When updates to the MCS-150 form are received, it is necessary for the updated information to be entered into the MCMIS Census File. This updated information will then be sent to each PRISM State through the weekly updates to the PRISM Census File. South Dakota will update the MCS-150 information directly. Responsible Person: Debra Hillmer Tasks 1. South Dakota will develop procedures starting in October 2001 to receive updates to the MCS-150 forms from carriers and directly update the MCMIS Census file. October 2001 - January 2002 South Dakota will receive the updated MCS-150 forms from carriers Included in Requirement 3 and update the MCMIS Census File. SD PRISM IMPLEMENTATION PROJECT PLAN 10 APRIL, 2001

Requirement 8 - Ensure PRISM training is provided to all appropriate staff. As South Dakota implements the PRISM process several changes will be made in South Dakota s IRP processing. There are changes in numerous forms and additional computer information is available and required to be used during the IRP processing. Moreover, registration actions may be taken against a registrant or motor carrier based on their safety performance in PRISM. To ensure thorough understanding of the changes due to the PRISM process, all employees connected with IRP processing should be fully briefed on PRISM and those employees whose procedures are changed must be trained on the new procedures. Responsible Person: Debra Hillmer Tasks 1. South Dakota will identify all changes in forms, data entry processes, and procedural changes in processing forms. 2. South Dakota will develop the training courses for each of the changes noted above. 3. South Dakota will identify those persons required to complete each training course and will schedule the training to be completed during the July October 2001 period. 4. Make a PRISM Addendum to the South Dakota IRP Manual by July 1, 2001. 5. South Dakota will prepare a Press Release covering the PRISM Program for release to the news media in November 2001. July 2001 South Dakota will identify all changes in forms, data entry processes, Absorbed by South Dakota and procedural changes in processing forms. July 2001 South Dakota will develop the training courses for each of the $3,000 for training changes noted above. July October 2001 South Dakota will identify those persons required to complete each Included training course and will schedule the training to be completed during the July October 2001 period. October 2001 Make a PRISM Addendum to the South Dakota IRP Manual $2,000 November 2001 South Dakota will prepare a Press Release covering the PRISM Program for release to the news media in November 2001. Absorbed by South Dakota SD PRISM IMPLEMENTATION PROJECT PLAN 11 APRIL, 2001

REQUIREMENT 9 Ensure PRISM training is provided to motor carriers. To ensure that Motor Carriers understand the changes involved in the PRISM Program, South Dakota will conduct training classes for Motor Carriers during October-December 2001. Responsible Person: Debra Hillmer Tasks 1. South Dakota will develop a Motor Carrier PRISM Training Course. 2. South Dakota will develop a PRISM Training brochure for use in the Motor Carrier PRISM Training Course. 3. South Dakota will develop a Motor Carrier Newsletter with the first edition scheduled for publication in conjunction with the Motor Carrier PRISM Training Course. 4. South Dakota will schedule and conduct the Motor Carrier PRISM Training Course. August October 2001 South Dakota will develop a Motor Carrier PRISM Training Course. Included in Requirement 8 August October 2001 South Dakota will develop a PRISM Training Brochure for use in the Included in Requirement 8 Motor Carrier PRISM Training Course. August October 2001 South Dakota will develop a Motor Carrier Newsletter with the first Included in Requirement 8 edition scheduled for publication in conjunction with the Motor Carrier PRISM Training Course. October December 2001 South Dakota will schedule and conduct the PRISM Motor Carrier Training Course Included in Requirement 8 SD PRISM IMPLEMENTATION PROJECT PLAN 12 APRIL, 2001

Requirement 10 - Have the capacity to issue USDOT Numbers by online access to the MCMIS Census File using standardized procedures. To ensure that we are able to serve our Motor Carriers and issue the US DOT numbers, South Dakota will require training and equipment for the issuance of US DOT numbers. Responsible Person: Debra Hillmer Tasks 1. Schedule to send at least two people (1 from DMV and 1 from PUC) to be trained in Washington, D.C. on the issuance of US DOT numbers. 2. South Dakota will secure the necessary equipment, hardware, and software in order to accomplish this task. January - April 2001 South Dakota will send two people to DC for training on the issuance $2,000 of US DOT numbers. October 2000 - April 2001 South Dakota will secure the necessary equipment, hardware, and software to accomplish this task. $20,000 SD PRISM IMPLEMENTATION PROJECT PLAN 13 APRIL, 2001

Requirement 11 - Check carrier safety status (not safety rating) before issuing credentials and deny the registration if the motor carrier is under PRISM registration sanctions. When processing IRP registrations, the carrier safety status (i.e., MCSIP Step) must be checked prior to completing processing and issuing credentials. Responsible Person: Debra Hillmer/Ron Knecht Tasks 1. South Dakota will develop the program(s) necessary to provide for inquiry capability into the Local PRISM Target File. 2. South Dakota will check the carrier safety status on each IRP Registration or renewal by making an inquiry into the Local PRISM Target File. April September 2002 South Dakota will develop the program(s) necessary to provide for Included inquiry into the Local PRISM Target File. April - September 2002 South Dakota will check the carrier safety status on each IRP Registration or renewal by making an inquiry into the Local PRISM Target File. Included SD PRISM IMPLEMENTATION PROJECT PLAN 14 APRIL, 2001

Requirement 12 - Seek authority to suspend, revoke or deny registration based on safety fitness of the motor carrier assigned to the vehicle. South Dakota will seek authority to suspend, revoke or deny registration based on safety fitness during the 2002 legislative session. Responsible Person: Debra Hillmer/Myron Rau/David Huft Task 1. South Dakota will submit through the legislative process, in October of 2001, language which will allow for the suspension, revocation or denial of any motor carrier with an unfit safety status. 2. South Dakota will work with the Administration and Legislature to enact and implement the legislation. July September 2001 Develop draft legislative language for the CVISN group and the Absorbed by South Dakota Administration to review. January July 2002 Work with the Administration and Legislature to enact and implement the legislation. Included SD PRISM IMPLEMENTATION PROJECT PLAN 15 APRIL, 2001

Requirement 13 - Seek authority to retrieve plates from carriers whose registration has been suspended, revoked or denied based on safety fitness. South Dakota will seek authority to retrieve plates from carriers whose registration has been suspended, revoked or denied based on safety fitness. This requirement is included in Requirement 12. Responsible Person: Myron Rau/Debra Hillmer/David Huft Task 1. South Dakota will submit through the legislative process, in October of 2001, language that will allow authority to retrieve plates from carriers whose registration has been suspended, revoked or denied based on safety fitness. 2. South Dakota will work with the Administration and Legislature to enact and implement the legislation. July September 2001 Develop draft legislative language for the CVISN group and the Absorbed by South Dakota Administration to review. January July 2002 Work with the Administration and Legislature to enact and implement the legislation. Included SD PRISM IMPLEMENTATION PROJECT PLAN 16 APRIL, 2001

Requirement 14 - During interim periods in which legislative authority is not yet available, states must provide enforcement a list of vehicles associated with carriers who have been placed Out Of Service by the federal government. This list should be available through existing law enforcement mechanisms such as NLETS, ACQ/ACR or AVQ/AVR, which are made to the PRISM Target File. (Optional Requirement) This requirement no longer applies. SD PRISM IMPLEMENTATION PROJECT PLAN 17 APRIL, 2001

Requirement 15 - Once legislative authority to suspend, revoke or deny registration is granted, states must enforce and implement that authority for carriers that have been prohibited from conducting interstate operations by a federal agency. With the implementation of the PRISM Program, South Dakota will include safety as one of the reasons for registration sanctions (i.e. suspension or refusing registration). Motor Carrier enforcement officers and State law enforcement officers should be notified of the new PRISM safety reasons and the need to enforce the registration sanctions. Responsible Person: Capt. Myron Rau/Deb Hillmer Task 1. South Dakota will notify law enforcement officers that South Dakota will be enforcing PRISM registration sanctions (i.e., suspending or refusing registration) for safety reasons. July 2002 Motor Carrier enforcement officers and State law enforcement will be Absorbed by South Dakota. notified of the PRISM safety reasons for registration sanctions. SD PRISM IMPLEMENTATION PROJECT PLAN 18 APRIL, 2001

Requirement 16 - Deny registration to registrants who attempt to assign vehicles to motor carriers prohibited from conducting interstate operations by a federal action. South Dakota will deny registration to registrants who attempt to assign vehicles to motor carriers prohibited from conducting interstate operations by a federal action. Responsible Person: Debra Hillmer Task 1. South Dakota will develop procedures to deny registration to registrants who attempt to assign vehicles to a motor carrier prohibited from conducting interstate operations by a federal action. September 2002 Procedures will be developed to deny registration to registrants who attempt to assign vehicles to a motor carrier prohibited from conducting interstate operations by a federal action. Absorbed by South Dakota. SD PRISM IMPLEMENTATION PROJECT PLAN 19 APRIL, 2001

Requirement 17 - Using registration files, relate title information with motor vehicle information in order to be able to identify the owners and registrants (IF DIFFERENT) of vehicles assigned to carriers in MCSIP. Identification of registrants and owners is done in order to support PRISM activities such as Notification Letters, Return to Pool Letters, suspension, revocation, etc. Under the PRISM program, owners and registrants are involved in the safety improvement process by notifying them of a carrier s poor safety performance and the possibility of the suspension of vehicle registration privileges. To be able to notify an owner or registrant (if different from the motor carrier), the DMV must be able to relate the owner to the carrier (via USDOT number) and the vehicle (via plate number or VIN). Responsible Person: Deb Hillmer/Ron Knecht/Myron Rau Tasks 1. South Dakota will extract the VIN numbers of all the vehicles assigned to an unfit motor carrier. 2. South Dakota will match the VINs of all vehicles assigned to an unfit motor carrier against the State title file to identify the name and address of the vehicle owners. October 2002 South Dakota will be able to match the VIN of all vehicles assigned to an unfit motor carrier against the South Dakota Title file to identify the name and address of the vehicle owners. $1,000 SD PRISM IMPLEMENTATION PROJECT PLAN 20 APRIL, 2001

Requirement 18 - Provide the ability for registration and enforcement to query registration files by registrant, motor carrier or motor vehicle in order to obtain registration details. South Dakota will posses the ability for registration and law enforcement personnel to query the State Registration Files by registrant (name or USDOT Number), motor carrier (name or USDOT Number), or vehicle (plate number or VIN). Responsible Person: Debra Hillmer/Capt. Myron Rau/Ron Knecht Task 1. South Dakota will develop program(s) for registration and law enforcement personnel to make inquiries to the State Registration files in the following manner: For registrant by name or USDOT Number For motor carrier by name or USDOT Number For vehicle by plate number or VIN October December 2002 Develop program(s) to provide registration and law enforcement personnel with the capability to make inquiries to South Dakota s Registration files in the following manner: For registrant by name or USDOT Number For motor carrier by name or USDOT Number For vehicle by plate number or VIN $25,000 SD PRISM IMPLEMENTATION PROJECT PLAN 21 APRIL, 2001

Requirement 19 - Determine if the vehicle will be leased long or short term during the registration year. South Dakota will question registrants to determine if they are leasing their vehicle to a motor carrier, whether the lease is for long or short term. A long term lease would mean that the vehicle was leased to the same motor carrier for more than thirty days. A short term lease would mean that the vehicle was leased to a carrier for less than thirty days. Responsible Person: Debra Hillmer Task 2. South Dakota will modify procedures to identify whether vehicle will be leased for long term or short term. A short term lease is 30 days or less. 3. Modify forms (Y- N) to include whether the carrier will change during the registration period. 4. South Dakota will barcode the USDOT Number at vehicle level, if the motor carrier will not change during the registration period. July October 2001 Modify procedures to identify whether vehicle will be leased for long Absorbed term or short term. July October 2001 Modify forms (Y-N) to include whether the carrier will change during Absorbed the registration period. July -- October 2001 Barcode the USDOT Number at vehicle level, if motor carrier will not change during the registration period. $5,000 for barcode printing SD PRISM IMPLEMENTATION PROJECT PLAN 22 APRIL, 2001

Requirement 20 - Incorporate PRISM requirements in temporary authority processes. South Dakota has included this requirement as part of the procurement of their new IRP Software package. Responsible Person: Debra Hillmer Task 1. South Dakota will test their new IRP Software package to ensure that vehicles registered with temporary authority will comply with all PRISM requirements. September-December 2001 Test new IRP Software package to ensure that vehicles registered Absorbed with temporary authority will comply with all PRISM requirements. SD PRISM IMPLEMENTATION PROJECT PLAN 23 APRIL, 2001

Requirement 21 - Provide assistance to FMCSA in finding correct addresses of motor carriers. When FMCSA mails out Warning Letters and they are "returned undelivered"; FMCSA will contact registration personnel to assist in determining a correct address. South Dakota must be able to access their registration files and provide FMCSA with the carrier's most recent address. When a current address is not available, state registration and enforcement must coordinate with FMCSA division and assist in procuring the correct mailing address for the carrier. When the correct address is determined, the state should update the MCMIS Census File. Responsible Person: Mark Gilmore/Debra Hillmer Task 1. South Dakota will work closely with FMCSA Division personnel to ensure correct address information is contained in the MCMIS census file. Ongoing South Dakota will work with FMCSA Division personnel to ensure Absorbed correct address information is contained in the MCMIS census file. SD PRISM IMPLEMENTATION PROJECT PLAN 24 APRIL, 2001

Requirement 22 - Update the PRISM Target File nightly with registration information for vehicles assigned to motor carriers in MCSIP. South Dakota will possess the capability of providing the PRISM Vehicle File on a nightly basis to the PRISM Central Site. The PRISM Vehicle File contains registration information on each vehicle assigned to a motor carrier in MCSIP. The PRISM Central Site will combine all PRISM Vehicle Files each business night to update the PRISM Target File. Responsible Person: Debra Hillmer/Ron Knecht Tasks: South Dakota will: 1. Develop program(s) to retrieve the PRISM Carrier File on a weekly basis. 2. Using the PRISM Carrier File and South Dakota s Registration File, develop program(s) to create the PRISM Vehicle File on a nightly (every business night) basis. 3. Develop program(s) to send the PRISM Vehicle File to the PRISM Central Site. September 2002 South Dakota will develop program(s) to retrieve the PRISM Carrier Absorbed File on a weekly basis. September 2002 South Dakota will use the PRISM Carrier File and South Dakota's $13,000 Registration File and develop program(s) to create the PRISM Vehicle File on a nightly (every business night) basis. September 2002 South Dakota will develop program(s) to send the PRISM Vehicle File to the PRISM Central Site. Absorbed SD PRISM IMPLEMENTATION PROJECT PLAN 25 APRIL, 2001

Requirement 23 - Update the PRISM Target File nightly with leased vehicle information obtained through Compliance Reviews. This requirement applies to vehicles registered in both PRISM and non-prism states. During some compliance reviews, FMCSA Safety Investigators will receive a list of vehicles assigned to the motor carrier. Some of these vehicles may be registered in non-prism states. South Dakota will develop the capability to enter the vehicle and registration information on their PRISM Vehicle File for all vehicles registered in non-prism States. Responsible Person: Debra Hillmer/Ron Knecht Tasks 1. South Dakota will develop program(s) to allow registration personnel to enter vehicle and registration information to the States PRISM Vehicle File for vehicles registered in non- PRISM States. 2. South Dakota will train registration personnel on entering vehicle and registration information to the States' PRISM Vehicle File for vehicles registered in non-prism States. July September 2002 South Dakota will develop program(s) to permit registration $13,000 personnel to enter vehicle and registration information to the States PRISM Vehicle File for vehicles registered in non-prism States. July September 2002 South Dakota will train registration personnel on entering vehicle and registration information to the States' PRISM Vehicle File for vehicles registered in non-prism States. $5,000 SD PRISM IMPLEMENTATION PROJECT PLAN 26 APRIL, 2001

Requirement 24 Provide motor carrier law enforcement with a list of vehicles and registration data for all vehicles assigned to a specific carrier. South Dakota, upon request, will provide FMCSA Division Office with a list of vehicles and registration data for all vehicles assigned to a specific motor carrier. Since FMCSA conducts all compliance reviews in South Dakota, this action will assist them in conducting compliance reviews. Responsible Person: Debra Hillmer Tasks 1. South Dakota, upon request, will provide a list of vehicles and registration data for vehicles assigned to a specific carrier to assist FMCSA Division in the conduct of compliance reviews. January 2002 South Dakota, upon request, will provide a list of vehicles and registration data for vehicles assigned to a specific carrier to assist FMCSA Division in the conduct of compliance reviews. Absorbed SD PRISM IMPLEMENTATION PROJECT PLAN 27 APRIL, 2001

Requirement 25 - Create a plan to improve the quality of data. Since PRISM is a data driven program, the quality of the SafeStat rankings is only as accurate as the carrier safety data. Therefore, it is crucial that every effort be made to assure current, correct safety data. States should undertake this task by creating a written plan to improve the quality of the safety data collected in their state and following through with the plan. The plan should include tasks such as the coordination of registration and enforcement in validating USDOT Numbers and MCS-150 data as well as addressing dataquality requirements in this document. Responsible Person: Debra Hillmer/ Capt. Myron Rau Tasks 1. South Dakota will barcode the registration information on the cab card and/or Temporary Authority and motor carrier information if applicable using the PDF-417 standard. 2. South Dakota will barcode the driver s information on the driver s license. This process has already started and will take up to five years to complete as a part of the current drivers license renewal cycle. 3. As a part of the overall CVISN/PRISM effort South Dakota will automate the roadside collection of accident and inspection data by developing consensus with city, county and state agencies on automated forms for inspections, accidents and citations. In support of this task, South Dakota is equipping their Highway Patrol vehicles to automate the roadside collection of accident and inspection data. Where feasible, South Dakota will utilize bar code technology to complete the inspection, accident and citation form to improve data quality and speed up the process for those involved. 4. South Dakota will include the USDOT Number on accident and inspection reports. This requirement applies to states that are bar coding carrier information or for subsequent identification of the motor carrier. 5. South Dakota will use barcode readers for registration issuance as well, in order to ensure accuracy and quality of bar-coded information. 6. South Dakota will use the VINA program to ensure the vehicle identification information is accurate. July - October 2001 Barcode the registration information on the cab card and/or Absorbed temporary authority and motor carrier information if applicable using the PDF-417 standard. Purchase of barcode readers for staff use. January 2000 December 2005 Barcode the driver s information on the driver s license. Absorbed by state July 2001 December 2002 Automate the roadside collection of accident and inspection data by developing consensus with city, county and state agencies on automated forms for inspections, accidents and citations. Where Funding to be determined. Will be coordinated with other CVISN Projects. feasible, utilize bar code technology to complete the inspection, accident and citation form to improve data quality and speed up the process for those involved. July 2002 Include USDOT Number on accident and inspection reports. This Absorbed requirement applies to states that are bar coding carrier information or for subsequent identification of the motor carrier. December 2001 Use bar code readers for registration issuance as well, in order to $5,000 ensure accuracy and quality of bar-coded information. July 2001 Purchase the VINA program to ensure valid data. $52,000 SD PRISM IMPLEMENTATION PROJECT PLAN 28 APRIL, 2001

Registration Option 1 - States utilizing PRISM procedures with intrastate carriers may utilize an enhanced VIN check program to determine if the motor vehicle being registered meets the 10,001 pounds or more threshold. This requirement is not applicable. South Dakota will use VINA as part of Requirement 25. SD PRISM IMPLEMENTATION PROJECT PLAN 29 APRIL, 2001

Registration Option 2 - States that are including intrastate carriers in PRISM may want to assure that they can suspend, revoke or deny registration based on the action of a state agency. South Dakota intends to review this option again between October 2001, and March 2002. SD PRISM IMPLEMENTATION PROJECT PLAN 30 APRIL, 2001

Registration Option 3 - Seek authority to retrieve plates from carriers whose registration has been suspended, revoked or denied based on safety fitness. This requirement is not applicable. SD PRISM IMPLEMENTATION PROJECT PLAN 31 APRIL, 2001

3. Enforcement Requirements Requirement 1 - Seek authority to stop and inspect vehicles based on the safety fitness of the motor carrier assigned to the vehicle. This requirement applies specifically to probable cause states. In PRISM states, enforcement resources are focused on carriers with the worst safety records. Therefore, vehicles that are registered to carriers in MCSIP are given priority at roadside for safety inspections. South Dakota currently has authority to stop and inspect vehicles based on the safety fitness of the motor carrier assigned to the vehicle. This authority is granted under SDCL 32-2-7, SDCL 49-28A-3, and Administrative Rule 61:23:01:04. SD PRISM IMPLEMENTATION PROJECT PLAN 32 APRIL, 2001

Requirement 2 - Provide the ability to query the Target File by VIN, plate number/state or USDOT Number. Identify vehicles assigned to carriers in MCSIP at fixed enforcement sites, mobile sites and patrol cars and give these vehicles priority for inspection. This can be accomplished through license plate readers, transponders, and/or manual query of the Local PRISM Target File. The PRISM Target File contains information on all motor carriers in MCSIP and the vehicles assigned to those carriers. Enforcement personnel access the PRISM Target File to assist them in making decisions on which vehicles to inspect. Targeted vehicles receive more enforcement attention while non-targeted vehicles receive less scrutiny. The PRISM Target File can be accessed through the PRISM Central Site, via NLETS or a copy of the PRISM Target File can be maintained locally by a state. South Dakota will establish a manual query system by December 2001 while exploring possible use of HELP- PREPASS as a means for involving transponders in the future. South Dakota will request a copy of the Local PRISM Target File to support inquiries from their Weigh Stations. South Dakota will also develop the NLETS Carrier and Vehicle Status Inquiries (ACQ/ACR & AVQ/AVR) for inquiry support for law enforcement. Responsible Person: Capt. Myron Rau/Ron Knecht Tasks 1. South Dakota will coordinate with the PRISM Central Site to receive a copy of the Local PRISM Target File on a nightly basis. 2. South Dakota will develop program(s) to retrieve the Local PRISM Target File and load the file on South Dakota s system for use by Weigh Stations. 3. South Dakota will develop program(s) to support inquiry capability (Carrier and Vehicle Status Request/Response) from the Weigh Stations and dispatchers. 4. South Dakota will develop program(s) to support inquiry capability through NLETS for the NLETS Carrier and Vehicle Status Request/Response to support law enforcement. September 2002 South Dakota will coordinate with the PRISM Central Site to receive $12,000 file transfer a nightly copy of the Local PRISM Target File September 2002 South Dakota will develop program(s) to retrieve the Local PRISM Included Target File and load the file on South Dakota s system for use by Weigh Stations. September 2002 South Dakota will develop program(s) to support inquiry capability Included (Carrier and Vehicle Status Request/ Response) from the Weigh Stations and dispatchers. September 2002 South Dakota will develop program(s) to support inquiry capability through NLETS for the NLETS Carrier and Vehicle Status Request/Response to support law enforcement. $13,000 SD PRISM IMPLEMENTATION PROJECT PLAN 33 APRIL, 2001

Requirement 3 - Perform level 2 analysis of Identification SafeStat and Monitor SafeStat recommendations to determine the appropriateness of the action. This includes motor carriers recommended for Warning Letter, Compliance Review and Return to Pool. Once Identification SafeStat has identified a carrier as being in need of improvement of safety performance, or Monitor SafeStat has indicated a change in a carrier's MCSIP Step, enforcement conducts level 2 activities to determine the appropriateness of the indicated action. The goal of the Level 2 Analysis is to determine the appropriateness of the action specified by MCSIP. Level 2 Analysis is necessary because Responsible Agencies may desire to override the automatic actions of the SafeStat programs. This option allows for flexibility within MCSIP and encourages compliance by carriers. South Dakota expects to work closely with the FMCSA Division in performing the Level 2 Analysis and will provide FMCSA with the South Dakota Highway Patrol logo for use on Warning Letters. Responsible Person: Capt. Myron Rau/Mark Gilmore Tasks 1. South Dakota Highway Patrol will provide authorization to FMCSA to use South Dakota Highway Patrol logo with FMCSA logo on Warning Letters. 2. South Dakota Highway Patrol will work closely with the FMCSA Division to perform Level 2 analysis as a result of Identification and Monitoring SafeStat runs beginning in April 2002. April 2002 South Dakota Highway Patrol will provide authorization to FMCSA to Absorbed use South Dakota Highway Patrol logo with FMCSA logo on Warning Letters. April 2002 South Dakota Highway Patrol will work closely with the FMCSA Absorbed Division to perform Level 2 analysis as a result of Identification and Monitoring SafeStat runs. April 2002 South Dakota Highway Patrol will train law enforcement personnel and Motor Carrier representatives to discuss Warning Letters with carriers. Absorbed SD PRISM IMPLEMENTATION PROJECT PLAN 34 APRIL, 2001

Requirement 4 - Coordinate Level 2 activities with FMCSA Division office. Level 2 activities are conducted by state enforcement agencies with the assistance of the FMCSA Division Office. Since Level 2 activities must be conducted in accordance with federal guidelines, the FMCSA Division office can be a valuable resource for enforcement personnel. South Dakota will review the Level 2 activities with the FMCSA Division every six months beginning in April 2002. Responsible Person: Capt. Myron Rau/Mark Gilmore Task 1. South Dakota Highway Patrol will meet with the FMCSA Division every six months to review the Level 2 Analysis process. April - October 2002 South Dakota Highway Patrol will meet with the FMCSA Division Absorbed every six months to review the Level 2 Analysis process. SD PRISM IMPLEMENTATION PROJECT PLAN 35 APRIL, 2001

Requirement 5 - Ensure PRISM training is provided to all appropriate staff. South Dakota Highway Patrol and the Department of Revenue will need to train some of their personnel in procedures that are specific to PRISM, such as the PRISM System Check, MCMIS procedures, general PRISM training, etc. Responsible Person: Capt. Myron Rau/Debra Hillmer/Mark Gilmore Tasks 1. Training courses designed specifically for law enforcement and Department of Revenue personnel will be identified and developed. 2. Training will be scheduled and conducted for all applicable law enforcement and Revenue personnel. April 2002 Training courses designed specifically for law enforcement and revenue personnel will be identified and developed. $15,000 April 2002 Training will be scheduled and conducted for all applicable law enforcement and revenue personnel. Included SD PRISM IMPLEMENTATION PROJECT PLAN 36 APRIL, 2001

Requirement 6 - States must coordinate required MCSIP Step updates with FMCSA Division office. Level 2 activities are conducted by the FMCSA Division with the assistance of state enforcement agencies. (Refer to Enforcement Requirement #4.) Since Level 2 activities must be conducted in accordance with federal guidelines, enforcement must coordinate MCSIP Step updates with the FMCSA Division Office. MCSIP Step updates will also occur outside of the Level 2 procedures. For example, in the case of registration suspension, revocation or reinstatement; Post Compliance Review activities; carrier complaints or due process appeals. Responsible Person: Capt. Myron Rau/Debra Hillmer/Mark Gilmore Tasks 1. South Dakota Highway Patrol and registration will coordinate service of suspension/revocation orders or plate pickup orders with FMCSA Division. April 2002 South Dakota law enforcement and registration will coordinate service of suspension/revocation orders or plate pickup order with FMCSA Division. Absorbed SD PRISM IMPLEMENTATION PROJECT PLAN 37 APRIL, 2001

Requirement 7 - Implement procedures to determine how to correct the unassigned or misassigned events. All PRISM actions are based on the actual safety performance of a motor carrier. Therefore, it is critical that all safety events (crashes, roadside inspections, etc.) be properly assigned to the motor carrier that was responsible for the safe operation of the vehicle at the time of the event. Responsible Person: Capt. Myron Rau/Ron Knecht Tasks 1. South Dakota Highway Patrol will access the USDOT Number for the responsible motor carrier at the vehicle level in order to research/resolve mis-assigned or unassigned events. In the process of being completed South Dakota Highway Patrol will access the USDOT Number for the Absorbed responsible motor carrier at the vehicle level. SD PRISM IMPLEMENTATION PROJECT PLAN 38 APRIL, 2001

Requirement 8 - Upload driver moving violations from inspection reports completed during traffic enforcements. In some cases, states have not been including on the inspection report, moving violations discovered during an inspection that occurred as a result of a traffic enforcement. Consequently, important safety data may be lost. These safety events should be included on the inspection report in order to improve the quality and accuracy of safety data. Responsible Person: Capt. Myron Rau Tasks 1. South Dakota will upload driver moving violations from Inspection Reports completed during traffic enforcement. Already doing South Dakota will upload driver moving violations from Inspection Absorbed Reports completed during traffic enforcement. SD PRISM IMPLEMENTATION PROJECT PLAN 39 APRIL, 2001