CHAPTER
2. CVISN SERVICES AND
TECHNOLOGY
This chapter provides information on the purposes of the Commercial
Vehicle Information Systems and Networks (CVISN) program, the services it is
designed to deliver, and the technologies that are being developed and deployed
to support CVISN capabilities in the states. The emphasis is on system design and the
eventual capabilities of these systems.
Chapter 3 presents current information on actual state deployments
of CVISN systems in their as-built configurations. Much of the information presented in
this chapter was derived from various planning documents prepared by The Johns
Hopkins University Applied Physics Laboratory on behalf of the FMCSA. These are listed in Section 2.4,
References. Additional information
about CVISN technologies, including detailed technical descriptions and planning
documents, can be found at http://www.jhuapl.edu/cvisn/.
Overview
of CVISN
CVISN is composed of three major services: Safety Information Exchange, electronic
screening, and credentials administration.
Other intelligent transportation systems (ITS) commercial vehicle
operations (CVO) services now in development or evaluation stages (such as
Hazardous Material Incident Response, International Border Crossing, and
Intermodal Transportation) are not a part of the CVISN
MDI.
Safety Information Exchange (SIE) includes electronically recording,
storing, and downloading vehicle inspection data, issuing citations if
appropriate, and exchanging safety data quickly and conveniently among agencies
within a state and among other states.
Electronic screening involves screening transponder‑equipped vehicles at
fixed sites (e.g., weigh stations) and mobile sites to confirm that
vehicles are safe, are at proper weight, have appropriate credentials, or have
not been placed out of service.
Electronic screening systems are intended to perform this screening in
such a way that safe, compliant trucks can proceed on the highway without
stopping, while potentially unsafe or noncompliant trucks can be pulled in for
closer inspection and confirmation of proper operating
credentials.
Credentials administration (credentialing) includes a combination of
carrier and state government systems.
Electronic credentialing systems will automate the complete credential
life-cycle process. All aspects of
the interstate 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. Credentials
administration also encompasses and integrates with systems that electronically
share data among states (also known as “base‑state” agreements), including the
International Registration Plan (IRP) and International Fuel Tax Agreement
(IFTA) clearinghouses. In addition,
credentials administration encompasses electronic filing and payment of
interstate commercial vehicle fuel taxes.
2.1
Safety
Information Exchange Service and Technologies
Safety Information Exchange is the electronic exchange of safety data
along with supporting credential information, related to carriers, vehicles, and
drivers involved in CVO. The
enforcement community, including state administrative offices and the state
highway patrol, use the information to make better-informed decisions about
which vehicles to inspect at roadside and who should receive credentials and
permits based on safety performance history. It helps focus inspection on high-risk
carriers.
The Safety Information Exchange capability
includes:
·
Automated collection of
information about safety performance;
·
Automated collection of
credentials information to augment safety information;
·
Improved access to carrier,
vehicle and driver safety and credentials information; and
·
Updates of carrier and
vehicle snapshot information.
Design elements include
state and federal commercial vehicle credential and safety
administration‑related offices, roadside check stations (fixed and mobile), and
information exchange systems (MCMIS, SAFER, SAFETYNET, and state CV Information
Exchange Window (CVIEW).
The primary safety-related information systems and networks include the
Safety and Fitness Electronic Records System (SAFER), Commercial Driver License
Information System (CDLIS), and Motor Carrier Management Information System
(MCMIS). Figure 2-1 illustrates the
main components and relationships in Safety Information
Exchange.
SAFER
SAFER stands for the Safety and Fitness Electronic Records system
maintained at the Volpe National Transportation Center under contract by
FMCSA. SAFER is an interactive
database, operating at the national level.
It is the primary source of safety‑related information shared among
states. SAFER uses carrier
information from existing government motor carrier safety databases. Currently, it consists of interstate
carrier data and several states’ intrastate data.
The primary function of SAFER is to provide users timely, electronic
access to safety and credential data via one or more wide-area network
communication links. SAFER provides
standardized carrier, vehicle, and driver (future) data (snapshots and reports)
containing safety and credentials information. SAFER stores and distributes inspection
reports and carrier and vehicle snapshots.
It also supports distribution among states of carrier profile reports,
compliance review data, accident data, and enforcement
citations.
Because it can provide this information to authorized users within a few
seconds of a user’s request, SAFER should increase the efficiency and
effectiveness of roadside inspections. It can provide this carrier, vehicle, and
driver safety and credential information to fixed and mobile roadside inspection
stations. SAFER automatically
records vehicle inspection data, exchanging safety data among agencies within a
state and among other states.
Subscribers can request that specific “snapshots” be sent to them
automatically when substantial changes occur.
Figure
2-1. Safety Information Exchange
Relationships
Source: Johns Hopkins University Applied Physics
Laboratory planning documents, adapted in Orban, Brand, Amey, and Kinateder,
“CVISN Model Deployment Initiative Draft Summary Evaluation
Plan.”
The summary safety record of a vehicle is called a “snapshot,” a concise
electronic record of a carrier’s identification, size of fleet, information on
types of commodities transported, and safety record, including a safety rating
(if any), a roadside out-of-service (OOS) inspection summary, and crash
information. It can include carrier
compliance review reports, safety inspections, citations, credentials, and tax
information. State inspectors will
record safety inspection records using Aspen and will upload this data on a
daily basis to their respective state systems to add to a vehicle
snapshot.
Aspen
Aspen refers to the software applications that reside on the client
system for recording and transmitting inspections electronically. States can decide to use Aspen,
developed by the FMCSA, or some equivalent system. Laptop computers with Aspen are deployed
at roadside for inspections.
The Aspen system or its equivalent needs to support the following
functions:
·
Recording inspection data
electronically;
·
Transmitting electronically
inspection reports to SAFER, either directly or via CVIEW or its
equivalent;
·
Retrieval electronically of
inspection reports from SAFER, either directly or via CVIEW or its equivalent;
and
·
Downloading of carrier
snapshots via subscription processing to support the ISS.
The Inspection Selection System (ISS) is a component of Aspen. It was developed in response to a 1995 Congressional mandate that called for the use of prior carrier safety data to guide the selection of commercial vehicles and drivers for roadside inspections. The system was developed in a cooperative effort between the Upper Great Plains Transportation Institute and the FMCSA. ISS displays an inspection prioritization score of 1 to 100 and also provides an inspection recommendation and suggested areas of noncompliance based on previous inspections. ISS also contains a full page of carrier statistics that is valuable to inspectors at the roadside. The initial inspection selection algorithm, developed in 1995, was primarily based on a carrier’s history of out-of-service (OOS) violations. The next-generation algorithm, ISS-2, was introduced in 1999 and is not yet fully implemented. ISS-2 is based on the more comprehensive SafeStat algorithm that broadens the criteria and focuses in large part on crashes.
The ISS is normally installed on a hand-held notebook or laptop computer
utilizing the Aspen driver/vehicle inspection software. When an inspector is ready to conduct an
inspection, the DOT or ICC number can be entered into the software and the
computer then displays pertinent carrier information and the current ISS
inspection value. The system is not
vehicle‑specific but provides a score for the carrier for which the particular
truck is operating. A
recommendation is given for inspection based on the value of the score. Where the ISS is used to select vehicles
for inspection, several vehicles will usually be rated and the vehicle with the
highest value will be selected for inspection.
CVIEW
The FMCSA developed the CVIEW system as a data exchange mechanism that is
operated on the state level.
Although it operates like SAFER, it is operated by the state, allowing
greater control and increased flexibility regarding interfaces with state legacy
systems. More importantly, CVIEW is
used to exchange both intrastate and interstate snapshots of vehicles within the
state and connects to SAFER to exchange interstate snapshots. CVIEW communicates directly with the
state roadside system (Aspen) and several legacy credentialing and safety
information systems within the sate.
MCMIS
The Motor Carrier Management Information System (MCMIS) is a national
system run by FMCSA to consolidate and process motor carrier safety data from
sources throughout the US. MCMIS
contains safety records of active intrastate and interstate motor carriers,
safety and compliance reviews, and roadside inspection records and crash
records. MCMIS also carries a
Safety Fitness Rating based on algorithms that evaluate all of a carrier’s
safety data. It supplies carrier ID
and safety data history for each interstate carrier via the SAFER system to the
Aspen ISS.
Integration
of Systems
SAFER works on a national level.
CVIEW performs this function on a state level. The delivery of interstate safety,
registration, and taxation information to the roadside may be handled by an
interstate clearinghouse, such as MCMIS, the International Registration Plan
(IRP), and the International Fuel Tax Agreement (IFTA), and distributed via
SAFER.
MCMIS supplies SAFER information to prioritize vehicles for inspection at
the roadside. This update of
information occurs on a weekly basis.
SAFER will also create CDs with snapshots of carrier and later vehicle
safety data that can be distributed to all Aspen sites within a
state.
SAFER
Data Mailbox (SDM)
The SAFER Data Mailbox (SDM) facilitates the exchange of information
between roadside inspection sites and administrative centers by acting as a
temporary repository for data files and messages. Inspection data from the roadside will
be transmitted from Aspen to SAFER via the SDM. Information is stored in the SDM for
forty-five days. Through SDM,
states can retrieve stored inspection data. The roadside agency applies to SDM for
the information via the Past Inspection Query (PIQ). SM transmits inspection reports directly
from the roadside to the SAFER system and conversely retrieves previous
inspection reports by performing a Past Inspection Query (PIQ) on individual
vehicles and drivers. The SDM was
originally developed to help identify trucks that violate out of service (OOS)
orders. Aspen units communicate
directly to CVIEW or SAFER using wireless connections, such as cellular,
cellular digital, and/or satellite technology.
2.2
Electronic
Screening Services and Technologies
Electronic screening provides the capability to automatically screen
transponder-equipped commercial vehicles as they approach weigh stations. Safety data, as well as size, weight,
and credentials information about the vehicle and its associated carrier, are
checked. Vehicles that are safe and
legal can continue traveling, without slowing down or stopping, while those
vehicles that are unknown to the system, or those requiring further attention,
can be instructed to pull into the weigh station for
inspection.
There are two types of electronic screening operations: fixed-site (scalehouse screening) and
mobile operations screening.
Fixed-site screening uses CVISN systems to prevent unnecessary
inspections and delays of vehicles. Fixed-site screening accesses information
about carriers, vehicles, and drivers.
Mobile-site screening is similar except the equipment can be moved to
others sites within the state.
Technology
and Data
In electronic screening, data snapshots about carriers and vehicles are
exchanged between SAFER and CVIEW and also sent to roadside systems using ANSI
(ASC) X12 EDI transaction sets. TS
285 is used for exchange of snapshots and snapshot
segments.
SAFER, as described in Section 2.1, collects and distributes data
snapshots. It is part of the CVISN
core infrastructure. The snapshot
data contain information about the carrier and vehicle to support safety with
accident, inspection and violation summaries, credentials administration, and
electronic screening.
Some of the following technology is used in electronic
screening:
·
Mainline Screening screens commercial vehicles without stopping
them at an inspection site. A
vehicle sensor placed up the road from an inspection site reads a transponder on
the vehicle and identifies the carrier, vehicle, and driver. In some cases, the sensor may also read
the last screening event.
·
Sorter
Lane Screening
screens vehicles that have pulled off into an approach to the scalehouse. Sorter lane screening also reads the
vehicle sensor. Sort lane screening
typically is used in conjunction with WIM and license plate
readers.
·
Weigh-in-Motion
Equipment
(WIM) equipment calculates gross commercial vehicle weight as well as per axle
weight when a vehicle travels over the equipment placed in the road
surface. WIM can be incorporated in
either mainline or sort lane screening.
·
Dedicated
Short-Range Communications Equipment
(DSRC) transponders are installed in participating motor carrier trucks. DSRC equipment is an automated vehicle
identification (AVI) technology used to identify vehicles on the mainline
(highway) and in sorter lanes (at the weigh station). DSRC transponders on trucks transmit to
DSRC sensor equipment at roadside.
The transponder transmits ID numbers for the carrier, vehicle, driver,
and, in the future, perhaps load type identifiers. This DSRC equipment provides reliable
communication between a moving vehicle and a roadside enforcement
site.
The DSRC configuration that has been employed is
the American Society for Testing and Materials (ASTM), version 6, active
tag. A new standard is being
developed for truck transponders, but it is currently undergoing validation
testing. It is not known when the
new standard will be deployed.
·
License
Plate Reader/Optical Character Recognition Systems
scan
and recognize a vehicle’s license plate number and transmit this to the
screening computer. Low reliability
troubles these readers.
States can set specific criteria to decide whether a truck should pull
into an inspection site for closer examination or bypass it. Screening criteria often include vehicle
weight, axle weight, carrier safety rating, vehicle OOS citations, improper
credentials, and delinquent tax payment.
Figure 2-2 illustrates the systems and checks available for screening
vehicles in motion, on the ramp, or at a static scale/inspection
facility.
Figure
2-2. Roadside
Systems Technology to Support Electronic Screening and
Inspections
Source: CVISN Guide to Electronic
Screening
Enrollment
Before participation in electronic screening, a motor carrier must enroll in the electronic screenings program offered by each state in which it operates and have a transponder installed on each vehicle. This transponder establishes a direct link between the transponder ID and the vehicle identification number (VIN). Vehicle data snapshots contain a transponder ID field to record this information. Access to the transponder ID data is restricted to only those states requested by the motor carrier. All preclearance systems are currently using the same type of transponder and transponder ID data are currently accessible by any system. Motor carriers with a NORPASS or Green Light transponder can approach any state and request to enroll the transponder ID number in that state’s preclearance system. Carriers with PrePass transponders are subject to a transponder usage policy that restricts them to using their transponder in only those states with the PrePass preclearance system.
Electronic
Screening Algorithm
The four major components of the recommended electronic screening
algorithm are
·
Safety
of the carrier and vehicle safety history from snapshots
·
Credentials
screening based on specific credential violations
·
Random
selection factor to pull in randomly a selected percentage of
vehicles
·
Weight
and size.
Pull-in is recommended
even if only one component fails bypass.
Programs
and Interoperability
Experts agree that the success of electronic screening depends on the
interoperability of equipment from state to state. For the electronic screening to work, a
vehicle must be able to operate with the same equipment and under similar rules
as it travels from state to state.
Carrier involvement in electronic screening is heavily dependent on
solving interoperability issues among states as well as defining bypass
criteria.
The Intelligent Transportation Society of America CVO Technical Committee
adopted both the ITS/CVO Interoperability Guiding Principles and the Fair
Information Principles for ITS/CVO.
These guidelines advise jurisdictions to disclose fully electronic
screening practices and policies, especially involving enrollment criteria,
transponder ID standards, price, and screening standards.
Three systems currently enable trucks to participate in electronic
screening: Heavy Vehicle Electronic
License Plate (HELP) PrePass, NORPASS, and Oregon Green Light. A general description of these systems
is presented below. Their
deployment status, including numbers of participating states and carriers in
each program, is discussed later in Section 3.2.
HELP PrePass is the largest North American electronic screening
program. PrePass uses private
capital to build the infrastructure for automatic vehicle identification (AVI),
and then recovers those costs through user fees to the carriers for each site
bypassed. PrePass assists
participating states in recruiting and enrolling carriers, manages pre- and
post‑enrollment verification checks of carriers, and provides transponders for
vehicles.
NORPASS is the second system.
NORPASS has been deployed at existing weigh and inspection
stations in several states in the U.S. and various Canadian provinces. The NORPASS transponder administrator
manages the enrollment of carriers and performs periodic validations of carrier
status. The participating states
are responsible for building the AVI infrastructure. The program is currently in a period of
transition and development.
Interoperability between NORPASS and PrePass is available to the extent
that NORPASS transponders can be used in PrePass states. To
use PrePass, NORPASS carriers must complete a PrePass application and must pay
the same fee PrePass carriers pay, plus a verification
charge.
The
Oregon Department of Transportation administers the Green Light Mainline Preclearance System.
A total of 21 weigh stations
in Oregon are equipped with high-speed WIM devices and transponder readers. The Green Light system allows the state
to perform a quick check of each participating truck’s size, weight, height, and
carrier credential and safety status at highway speeds.
2.3
Electronic
Credentialing Services and Technologies
Electronic credentialing supports electronic transactions between carriers and governments via electronic data interchange (EDI) and/or the Internet (electronic filing of IRP or IFTA). It uses software to send credential applications to the state and to receive in return electronic notification of credentials status. It also provides for review of such credentials. When possible, credentials are returned electronically. Electronic payment is an option associated with electronic credentialing. Electronic credentialing also supports states/regions in the administration of credentials, collecting and distributing taxes and fees, and in storing and distributing credentials-related data. States will provide credential information to enforcement officials at roadside through SAFER data snapshots.
States must collect fees from operators, and apportion and transfer those fees to other states, according to state agreements. As part of electronic credentialing, clearinghouses were designed into the system to support these state agreements. The clearinghouses centralize financial reconciliation mandated by the base agreements among states. They also facilitate other information exchanges, such as audits and reporting databases. The IFTA Clearinghouse went into operation in July 2000. Only a few states were participating at that time. The IRP Clearinghouse is fully operational with about 70 percent of the IRP jurisdictions planning to participate.
Key operational concepts for credentials administration
are:
·
Electronic credentialing and
tax filing
·
State administrative
processes supported by electronic information exchange
·
Base state agreements
supported electronically
·
National electronic access
to interstate credentials information
·
Access to
data
·
Ability to correct
errors
·
Fees paid
electronically
·
Electronic access to
administrative processes available from public sites
·
Status information available
electronically to qualified stakeholders
·
Carrier audit selection
through electronic scans and records
·
Paperless electronic records
become primary and paper secondary.
CVO credentials that could be obtained electronically
are:
·
IFTA
·
IRP
·
Intrastate
registration
·
Carrier
registration
·
OS/OW
permits
·
HazMat
permits
·
Titles
·
Electronic screening
enrollment.
Figure 2-3 shows the generic design template used by the states in
setting up their electronic credentialing systems. The CVISN system implementation in a
given state can vary depending on the nature and make up of the existing
(legacy) computer system a state is using at the time of CVISN deployment. States can choose, for example, to link
or group various credentialing functions to best meet the needs of their
constituents and their legacy system data structure.
Figure
2-3. Generic State Design
Template
Source:
CVISN Guide to Top Level-Design
Technology
Each state must decide on a data communication standard for electronic
credentialing. Some prefer
electronic data interface (EDI) because it is well established. Others prefer extensible markup language
(XML) because XML is more appropriate for web
applications.
Many CVISN Model Deployment Initiative states implemented an X12 EDI
interface, using the CAT and CI model for carrier-state transactions. Some states have deployed credentialing
web sites. Some have determined
that both interface methods are necessary to meet customers needs. Those states are implementing both a web
site and some type of computer‑to‑computer interface. FMCSA recommends surveying stakeholders
to determine whether both methods would be appropriate.
A Carrier Automated Transactions (CAT) system allows a motor carrier or
service provider to enter credentials applications through a PC. Applications travel to the state
credentialing interface (CI).
States in the Model Deployment Initiative are sponsoring the development
of a CAT for their carriers. A
variation of the CAT system that might be appropriate for large carriers is to
create a CAT module for an existing fleet management system. The module would
perform the same functions as the CAT, except the processing would be integrated
with other existing capabilities.
For CAT and CI systems developed to date, messages are formatted
according to ANSI X12 EDI standard.
XML is an alternative, but, so far, no CAT software implementing XML is
currently available to carriers.
In the short term, FMCSA recommends that carriers and states use X12 EDI
for computer‑to‑computer interfaces.
It has a 20-year history of consensus on data semantics and is used by
many firms. However, FMCSA
recommends exploring XML as an alternative. It may prove to be cheaper to implement
than EDI. In the future, there may
be off-the-shelf software to support electronic
credentialing.
States exchange information about credentials through the SAFER
snapshots. Many CVISN Model
Deployment Initiative states elected to build a state CVIEW from the FMCSA
product. This generic CVIEW
supports an EDI interface for snapshot updates. Some states are talking about developing
regional CVIEWs to update snapshots with credential
information.
Standardized EDI or Web transactions can allow:
·
Carriers to file for
credentials from their offices
·
States to process
applications automatically
·
State to exchange
information electronically to support base state
agreements.
Standardized transactions support fee payments among payers, payees, and
financial institutions.
Some states develop their own in-house credentialing systems, while
others engage the services of a third-party provider to support the credentials
administration function. The
Vehicle Information System for Tax Apportionment (VISTA) is such a third-party
system, offered by Lockheed Martin IMS (Teaneck, New Jersey). VISTA provides a computer system
interface between state credentialing administrators and the state’s
registration database.
Approximately 20 states (including Ohio and Tennessee) currently use
the VISTA program for processing their
IRP
credentials. An alternate
third-party credentialing service is provided by
R.L. Polk & Co. (Southfield, Michigan). The service, known as COVERSnet®, which
stands for Commercial Vehicle Registration System, is used by 10 states for IRP
credentialing and by six states for IFTA credentialing.
2.4
References
American Trucking
Associations, Intelligent Transportation Systems for Commercial Vehicle
Operations (ITS/CVO) Glossary of Related Terms & Acronyms, www.truckline.com/informcenter/topics/tech/itsglossary/html. Visited 3/2/01.
Lantz, Brenda M.,
ISS-2: “The Integration of the
Motor Carrier Safety Status Measurement System (SafeStat) into the Roadside
Inspection Selection System (ISS),” The Upper Great Plains Transportation
Institute, North Dakota State University, January 2000.
CVISN Guide to Credentials
Administration (Preliminary Version P.2), The Johns Hopkins University Applied
Physics Laboratory, August 2000.
CVISN Guide to Electronic
Screening (Draft Version D.1), The Johns Hopkins University Applied Physics
Laboratory, October 1999.
CVISN Guide to Safety
Information Exchange (Draft Version D.1), The Johns Hopkins University Applied
Physics Laboratory, March 2000.
CVISN Guide to Top
Level-Design (Baseline Version 1.0), The Johns Hopkins University Applied
Physics Laboratory, February 2001.
CVISN System Design
Description (V2.0), Federal Motor Carrier Safety Administration document
prepared by The Johns Hopkins University Applied Physics Laboratory,
August 2000.
Kelley, Tom, “NORPASS Users
Get Access to HELP,” Driving Force On-Line, http://www.drivingforcemag.com/, June
2000 Issue.
McSafe, The Inspection
Selection System (ISS), website http://ai.volpe.dot.gov/Mc/Safe/mcsf01.stm. Visited 3/2/01.
Orban, John E., “What Have
We Learned About ITS for Commercial Vehicle Operations? Status, Challenges, and
Benefits of CVISN Level 1 Deployment,” Chapter 6, U.S. DOT, December
2000.
Orban, Brand, Amey &
Kinateder, “CVISN Model Deployment Initiative Draft Summary Evaluation Plan,”
U.S. Department of Transportation document prepared by Battelle, July
1998.
Patton, Oliver, “Oregon
withdraws from NORPSS Preclearance System,” Leading Edge Trucking, http://www.heavydutytrucking.com/. Visited 3/2/01.
Richeson, Kim E., “Introductory Guide to CVISN,” (Preliminary Version P.2), The Johns Hopkins University Applied Physics Laboratory, February 2000.
SAFER, website www.safersys.org/about/. Visited 2/27/01.