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Appendix EBusiness Requirements Specification

Apportioned Registration Modernization

Prepared by: Pennsylvania Department of Transportation (PennDOT)

Office of Information Technology Project Development and Delivery (OIT PDD)

Last Updated: December 6, 2011

Table of Contents1.......................................................................................................................................INTRODUCTION.......................................................................................................................................................................... 4

2........................................................................................................CURRENT BUSINESS PROCESSES.......................................................................................................................................................................... 5

2.1 CREATE APPORTIONED ACCOUNT...................................................................................................................... 5

2.1.1Overview................................................................................................................................................ 5

2.1.2Process Flow......................................................................................................................................... 6

2.1.3Narrative............................................................................................................................................... 11

2.2 CANCEL APPORTIONED ACCOUNT………………………………………………………………………… 15

2.2.1Overview.............................................................................................................................................. 15

2.2.2Process Flow....................................................................................................................................... 16

2.2.3Narrative............................................................................................................................................... 18

2.3 UPDATE APPORTIONED ACCOUNT....................................................................................................................19

2.3.1Overview.............................................................................................................................................. 19

2.3.2Process Flow....................................................................................................................................... 20

2.3.3Narrative............................................................................................................................................... 24

2.4 INQUIRE APPORTIONED ACCOUNT.................................................................................................................... 27

2.4.1Overview.............................................................................................................................................. 27

2.4.2Process Flow....................................................................................................................................... 28

2.4.3Narrative............................................................................................................................................... 29

2.5 RENEW APPORTIONED ACCOUNT.....................................................................................................................30

2.5.1Overview.............................................................................................................................................. 30

2.5.2Process Flow....................................................................................................................................... 31

2.5.3Narrative............................................................................................................................................... 36

2.6 ISSUE DUPLICATE PRODUCT............................................................................................................................ 40

2.6.1Overview.............................................................................................................................................. 40

2.6.2Process Flow....................................................................................................................................... 41

2.6.3Narrative............................................................................................................................................... 43

2.7 AUDIT CARRIER MILEAGE................................................................................................................................ 45

2.7.1Overview.............................................................................................................................................. 45

2.7.2Process Flow....................................................................................................................................... 46

2.7.3Narrative............................................................................................................................................... 48

2.8 SUPPORTING PROCESSES................................................................................................................................ 51

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2.8.1Issue Hunter and Trip Permits...........................................................................................................51

2.8.2Issue Temporary Authorizations.......................................................................................................51

3...........................................................................................................................FUTURE CAPABILITIES........................................................................................................................................................................ 52

3.1 BUSINESS REQUIREMENTS............................................................................................................................... 53

3.2 SYSTEM REQUIREMENTS................................................................................................................................. 62

4....................................................................................APPENDIX A – EXAMPLE FINANCIAL REPORTS........................................................................................................................................................................ 65

5. ACRONYMS AND DEFINITION………………………………………………………………………………………66

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Business Requirements Specification

1. IntroductionPennDOT’s vision is to create a modernized business and technical system for providing vehicle and driver services to the citizens of Pennsylvania. This system will cross organizational, service channel, technical, and physical boundaries, and enable PennDOT to perform its business operations in the most streamlined, efficient and cost effective ways possible. The technologies and methods that were used to build the current PennDOT systems for providing vehicle and driver services to the citizens of Pennsylvania have become outdated. At least four systems have been in production since the early 1980s, and are using unsupported programming languages that for the most part have been decommissioned within the Information Technology (IT) industry. PennDOT’s two major systems—the Commonwealth Automated Registration and Titling System (CARATS) and the Driver License and Control System (DL&C)—have been in production since 1987 and 1990, respectively. These systems were built in separate environments where the sharing of components used in common business areas was minimal. User applications were not flexible to business changes and data was stored in rigid hierarchical databases with only minimal attention to business information needs.

As a consequence of the way the systems were designed, PennDOT has not been able to easily adapt to changing business needs or modern business models. PennDOT believes that newer software systems that utilize current technology with more streamlined interface capabilities can help achieve more cost effective government operations by reducing the costs of conducting core business while simultaneously making significant process improvements.

PennDOT’s goals are to:

Expand its online access to all business partners Reduce the cost of doing business Offer its products and services in the most efficient service channels Automate processes across traditional boundaries Transition where feasible to electronic products and correspondence Provide consolidated customer information Enhance the security and oversight of its operations Adapt to business changes that result from business initiatives, legislation, mandates, and other internal

and external sources

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2. Current Business ProcessesThere are currently thirteen service representatives who process most of the ARP transactions on a daily basis. Additionally, there are ten to fifteen others, such as managers, who have access to the ARP system but use it occasionally and most often just seasonally. There are from 125 to 150 PennDOT agents (or business partners) who have inquiry access only. The work flow represented in the following process maps and described in the accompanying narrative represents the work that is mostly performed by the service representatives.

Note that the current business processes presented in this section represent how the ARP Unit processes their work using the existing system. Due to the fact that the existing system architecture is outdated, many of the business process steps are redundant and/or supported by additional manual steps. The business and system requirements listed in Section 4, “Future Capabilities,” once implemented, will significantly streamline the current business processes.

2.1 Create Apportioned Account2.1.1 Overview

This process occurs as needed throughout the calendar year and results in the creation of a new account in the ARP system. The carrier that is applying for apportioned registration must fill out an application and supply necessary supporting documentation including a valid certificate of title, proof of payment for Heavy Vehicle Use Tax (if applicable), a valid United States Department of Transportation (US DOT) number, and proof of insurance. A carrier can obtain an apportioned registration application (MV550) from the Riverfront Office Center (ROC), PennDOT driver and vehicle services web site, or PennDOT partner (messenger, dealer, etc.). If the carrier goes to a messenger service to establish an apportioned registration account, the messenger will submit both a registration application and a processed temporary authorization (TA) so the carrier can begin hauling goods to other jurisdictions immediately.

Prior to accessing the ARP system, the user reviews all submitted paperwork for completeness, verifies the Federal DOT number and verifies that an applying organization is registered as a legal entity with the Pennsylvania Department of State (DOS). These verifications are conducted manually by the user who signs in to the appropriate systems via the internet. Vehicle title information is pulled from the CARATS computer system by the user.

If any paperwork is missing or is incorrect, or if any outside department verifications fail, error codes are assigned by the user and entered into the ARP system as the customer account and supporting information is entered. Messages associated with the error codes are then printed on the invoice and no documents are issued to the carrier until all errors are corrected, missing information is supplied, and full payment is received.

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2.1.2 Process Flow

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2.1.3 Narrative

Step Action Narrative1 Begin process User starts a session to process the customer’s apportioned

registration application. 2 PennDOT receives Apportioned

Registration applicationAn ARP application has been completed and returned to PennDOT by the carrier or a business partner. The user reviews the application and accompanying paperwork for correctness and to ensure it is complete. If there are any problems with the application, accompanying documentation or data verifications with other Pennsylvania departments, error codes will be assigned and entered into the ARP system when account processing begins.

3 Select to establish fleet from ARP Primary Menu

User selects ESTABLISH or BOTH DB. ESTABLISH from the Apportioned Registration Primary Menu. If an ARP application is processed between February and May 31st (during the renewal period), the new account must be established on both the current ARP database and the future ARP database.

4 Display Establish Fleet screen System displays the Establish Fleet screen.5 Enter account information from

applicationUser enters account information from Section A of the Apportioned Registration Application.

6 Enter account number User enters the next available account number from the list.7 Account number exists? System checks to see if the account number is currently being

used.If YES, go to step 6;If NO, go to step 8.

8 Screen errors? If the account number has been previously assigned, an error message will display at the bottom of the screen. The account number must be corrected before processing can continue.If no screen errors exist, the account information is automatically saved when the user presses Enter.If YES, go to step 9;If NO, go to step 10.

9 Make corrections User corrects the account number. When the user presses Enter after correcting the information and completing this screen, the account information is automatically saved.

10 Display Establish Weight Group Screen

System displays the Establish Weight Group screen.

11 Enter weight information from application

User enters weight group information for the appropriate jurisdiction(s); the information comes from Section B of the ARP application.

12 Screen errors? If the weight group/jurisdiction combination is incorrect or there are other errors on the screen, an error message will display at the bottom of the screen. All errors must be corrected before processing can continue.If no screen errors exist, the weight group information is automatically saved when the user presses Enter.If YES, go to step 13;If NO, go to step 14.

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Step Action Narrative13 Make corrections User corrects the weight group information. When the user

presses Enter after correcting the information and completing this screen, the weight group information is automatically saved.

14 Display Establish Vehicle screen System displays the Establish Vehicle screen.15 Enter vehicle information from

applicationUser enters vehicle information from Section C of the ARP application.

16 Screen errors? If any vehicle information is incorrect or missing, an error message will display at the bottom of the screen. All errors must be corrected before processing can continue.If no screen errors exist, the vehicle information is automatically saved when the user presses Enter.If YES, go to step 17;If NO, go to step 18.

17 Make corrections User corrects the vehicle information. When the user presses Enter after correcting the information and completing this screen, the vehicle information is automatically saved.

18 Display Establish Weight Group screen

System displays the Establish Weight Group screen. User presses Enter to continue.

19 More vehicles? User continues to enter vehicle information for as many vehicles as are listed on the application. After information for the last vehicle is entered, user is returned to the ARP Menu.If YES, go to step 15;If NO, go to step 20.

20 Enter “e” on command line to save information and return to menu

User enters an “e” on the command line to signal that the entry of vehicle information is complete.

21 Display Apportioned Registration Primary Menu

System saves the vehicle information and returns the user to the ARP Primary Menu.

22 Select Mileage from menu User selects MILEAGE from the ARP Primary Menu.23 Display fleet Mileage screen System displays Fleet Mileage Screen.24 Enter mileage from application User enters mileage information from Schedule B of the ARP

application.25 Screen errors? System checks for mileage errors based on business rules. If

any errors are detected, an error message will display at the bottom of the screen. All errors must be corrected before processing can continue.If no screen errors exist, the mileage information is automatically saved when the user presses Enter.If YES, go to step 26;If NO, go to step 27.

26 Make corrections User corrects the mileage information. When the user presses Enter after correcting the information and completing this screen, the mileage information is automatically saved.

27 Enter “e” on command line to save information and return to menu

User enters an “e” on the command line to signal that the entry of mileage information is complete.


System saves the mileage information and returns the user to the ARP Primary Menu.

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Step Action Narrative29 Select Billing from menu User selects BILLING from the ARP Primary Menu.30 Display Billing Processor screen System displays the Billing Processor screen.31 Enter required information User enters preliminary billing information on this screen.32 Screen errors? System checks for errors and returns an error message at the

bottom of the screen if any are detected. All errors must be corrected before processing can continue.If YES, go to step 33;If NO, go to step 34.

33 Make corrections User corrects screen errors and presses Enter to continue.34 Display next Billing Processor screen System displays the next Billing Processor screen.35 Enter required information User enters required billing information based on specific ARP

account needs.36 Screen errors? System checks for errors and returns an error message at the

bottom of the screen if any are detected. All errors must be corrected before processing can continue.If no errors are detected, the billing information is automatically saved when the user presses Enter.If YES, go to step 37;If NO, go to step 38.

37 Make corrections User corrects the billing information. When the user presses Enter after correcting the information and completing this screen, the billing information is automatically saved and the user is returned to the ARP Primary Menu.

38 Return to primary menu System saves the billing information and returns the user to the primary menu.

39 Generate invoice System generates invoice. Registration fees are calculated for each jurisdiction based on factors including, but not limited to, miles in the jurisdictions, percent of miles traveled in each jurisdiction, weight of the vehicle, jurisdiction registration fees and registration expiration date.

40 Stop codes? System determines if any stop codes were entered by the user during application processing.If YES, go to step 41;If NO, go to step 42.

41 Add stop code messages to invoice System adds stop code messages to the invoice to indicate missing or incomplete information, failed verifications or any other problems associated with the apportioned registration. All errors must be corrected prior to PennDOT issuance of registration products.

42 Save invoice information and print invoice

System saves the invoice information and messages, if any. The invoice then automatically prints.

43 Customer with payment? The printer invoice is provided as a correspondence to the customer and the entire amount is due before any products are issued, including the fees for jurisdictions other than Pennsylvania.If YES, go to step 45;If NO, go to step 44.

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Step Action Narrative44 Mail invoice User processes steps to mail the invoice to the customer. If the

application was submitted by a business partner, messenger or legislative service representative, the invoice is returned to that source who then forwards it to the carrier.

45 Select Payment from menu User selects payment option from the ARP Primary Menu.46 Display Payment Processor Menu

Select screenSystem displays the Payment Processor Menu Select screen.

47 Select payment transaction option User selects payment transaction option from the menu.48 Display appropriate payment screen System displays appropriate payment screen based on user

selection.49 Collect and verify payment User collects payment from the customer for the ARP

registration.50 Enter payment information User enters payment information on the payment screen.51 Generate products System generates all required apportioned registration

products, including new cab card(s), weight class decal(s) and renewal sticker(s). License plates are issued through the .centric system at this time also.

52 Issue products User presents products to the customer.53 Prepare package and send for

imagingA Work Identification Number (WID) package is prepared to all supporting documentation. The documentation is placed in a transporter box and sent to imaging.

54 End process Process ends.

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2.2 Cancel Apportioned Account2.2.1 Overview

Carriers can request to cancel an account if apportioned registration credentials are no longer needed for their business. For example, an owner-operator may decide to work for a larger company that will pay the apportioned registration fees under their account. The carrier may complete a supplement application indicating that the account should be cancelled or the carrier may request that the account be cancelled at renewal time.

Prior to deleting the account, the ARP Service Representative inquires on the account to determine if plates are paid for through a certain date and if an overpayment exists on the account. The process ends when the account and all vehicles have been marked with a “D” (delete) status in the ARP system. The account and vehicle information is retained in the system for historical purposes. If an overpayment exists on the account, a refund is issued via the Refunds and Return Checks Unit.

During the renewal process, a carrier may request that a vehicle or vehicles be removed from their account, which impacts the amount the carrier will owe for the renewal. In that situation, the account will remain as either an “A” (active) or “I” (inactive) status. The requested vehicle or vehicles will be marked as “D” in the renewal (future) database.

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2.2.2 Process Flow

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2.2.3 NarrativeStep Action Narrative1 Start Session User accesses the ARP main menu.2 Select Correct from Main Menu User selects Correct from the main menu. 3 Enter Account Number User enters the account number of the account to be cancelled.4 Display Account Information The ARP system displays the account information including the

address and phone number.5 Change Account Status to “D” User changes the Fleet Status field to “D” for delete. Other

possible values are “A” for active (e.g., all invoices have been paid) and “I” for inactive (e.g., one or more invoices have not been paid).

6 Proceed to Weight Group Information User presses Enter to save the account information changes and to proceed to the weight group information.

7 Display Weight Group Information The ARP system displays the weight group information. 8 Proceed to Vehicle Information User presses Enter to move forward to the vehicle information.9 Display Vehicle Information The ARP system displays vehicle information for the account.10 Change Vehicle Status to “D” User changes the vehicle status to “D” for delete.11 Save Vehicle Changes User presses Enter to save the vehicle information changes.12 Display Weight Group Information The ARP system displays the weight group information.13 More Vehicles? User determines if more vehicles exist on the account.

If YES, go to step 8;If NO, go to step 14.

14 End Transaction If more vehicles do not exist, the user enters “e” for end on the command line to save the information and end the transaction.

15 Display Main Menu The ARP system displays the main menu.16 Overpayment Exists? Prior to the start of the transaction, the user performs a manual

review of the account file to determine if an overpayment exists on the account. If YES, go to step 18;If NO, go to step 17.

17 Send Documents to Imaging If no overpayment exists on the account, the documentation submitted by the carrier to cancel the account is forwarded to document imaging. The process ends when the documentation is imaged for future reference if needed.

18 Select Payment from Main Menu If an overpayment exists on the account, the user selects Payment from the main menu.

19 Display Payment Menu The ARP system displays the payment menu.20 Select Refund Transaction User selects Refund Transaction and enters the account number.21 Print Refund Invoice The ARP system prints the refund information on an invoice form

(three-part paper). 22 Forward Copy to Refund/Return Check

UnitUser forwards a copy of the refund invoice to the Refund/Return Check Unit. This unit generates a refund and mails it to the carrier.

23 Send Documents to Imaging The documentation submitted by the carrier to cancel the account is forwarded to document imaging. The process ends when the documentation is imaged for future reference if needed.

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2.3 Update Apportioned Account2.3.1 Overview

Several options are available to the user when the carrier requests that updates be made to a current account. These updates are requested on a Supplemental Application which may be filed directly by the carrier, but most often is filed by a Temporary Authorization agent (TA agent) which can be a messenger service, wire service, dealer, or authorized trucking company. When appropriate, a TA may be issued during the update process so that the carrier can operate immediately instead of waiting for their updated credentials; this TA is good for 30 days.

Based on the update application received, one or more of the following updates may be required:

Account Information: o Basic account information such as contact address and/or telephone number or the DOT

number may need to be updated. The name of the apportioned account and the account number may NOT be updated.

Vehicle Information:o Update current vehicle informationo Add new vehicle

Jurisdiction and/or Weight Group:o Add jurisdiction(s) for new vehicleso Add weight group(s) for new vehicles

Mileage:o Add mileage for new vehicles

Not all account changes will result in fees. For some, such as account information changes, no fee or refund is calculated. For other changes, such as adding a new vehicle, fees are charged. Whether or not there is a fee for the update services, an invoice will be generated with either zero dollars or the actual fee amount.

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2.3.2 Process Flow

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2.3.3 NarrativeStep Action Narrative1 Begin process User begins to process ARP supplemental application.2 PennDOT receives update application An ARP account update application has been completed and

returned to PennDOT by the carrier or a business partner. The user reviews the application and accompanying paperwork for correctness and to ensure it is complete. If there are any problems with the application, accompanying documentation or data verifications with other Pennsylvania departments, error codes will be assigned and entered into the ARP system when account processing begins.

3 Enter search criteria User enters search criteria for the appropriate account. Searches can be conducted using account number, account name, plate number, Vehicle Identification Number (VIN), title number and/or Account Control Number (ACN). Partial search criteria are acceptable; for example, the first name of the account holder.

4 Display account information System displays current account information. This includes account name, address, and Public Utility Commission (PUC) and Interstate Commerce Commission (ICC) permit numbers.

5 Account updates needed? Based on the update application, user determines if updates/corrections need to be made to the account information.If YES, go to step 6;If NO, go to step 8.

6 Update Apportioned Account information

User updates/corrects account information. If any screen errors are detected, error messages will appear at the bottom of the screen. User must correct all errors before being allowed to proceed.

7 Save account updates System saves account updates and automatically takes user to the Establish Weight Group screen.

8 Update weight group/jurisdiction? If YES, go to step 9;If NO, go to step 11.

9 Update weight group/jurisdiction information

User makes required updates to weight group per jurisdiction information. If screen errors are detected, user will need to correct them before being allowed to proceed with the rest of the updates from the application.

10 Save weight group/jurisdiction information

System saves weight group/jurisdiction information and automatically takes the user to the Establish Vehicle screen.

11 Select vehicle to update User selects a specific vehicle to update. 12 Display vehicle information System displays vehicle information. 13 Update vehicle information User updates limited vehicle information that does not appear on

the title; for example, equipment numbers or DOT number. Revisions to existing weight groups and/or jurisdictions may not be made at this time. If any new jurisdictions are added, the system will perform the necessary validation checks. The user will be prompted to add the weight group(s) for the new jurisdiction(s) when the invoice is being generated. If any screen errors are detected, error messages will appear at the bottom of the screen. User must correct all errors before being allowed to proceed.

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Step Action Narrative14 Display Establish Weight Group screen System saves the vehicle information and displays the Establish

Weight Group screen. The user is automatically returned to the Establish Vehicle screen when Enter is pressed.

15 More vehicles to update? If YES, go to step 11; If NO, go to step 16.

16 New vehicles to add? If YES, go to step 17; If NO, go to step 20.

17 Add new vehicle information User adds information for new vehicle. 18 Display Establish Weight Group screen. System saves the new vehicle information and displays Establish

Weight Group screen. If the vehicle will be traveling to a new jurisdiction, the jurisdiction(s) can be added at this time. The user will be prompted to add the weight group(s) for the new jurisdiction(s) when the invoice is being generated. When the user presses Enter, the data is saved and the user is returned to the Establish Vehicle screen.

19 More new vehicles to add? If YES, go to step 17;If NO, go to step 20.

20 Enter “e” on the command line to save information and return to menu

User enters an “e” on the command line to signal that the entry of vehicle information is complete.



22 Select Billing from menu User selects BILLING from the ARP Primary Menu.23 Display Billing Processor screen System displays the Billing Processor screen.24 Enter required information User enters preliminary billing information on this screen. If any

screen errors are detected, error messages will appear at the bottom of the screen. User must correct all errors before being allowed to proceed.

25 Display next Billing Processor screen System displays the next Billing Processor screen.26 Enter required information User enters required billing information based on specific ARP

account updates.27 Return to primary menu System saves the billing information and returns the user to the

primary menu.28 Generate invoice System generates invoice by calculating the fees associated with

account updates. 29 Stop codes? System determines if any stop codes were entered by the user

during application processing.If YES, go to step 30;If NO, go to step 31.

30 Add stop code messages to invoice System adds stop code messages to the invoice to indicate missing or incomplete information, failed verifications or any other problems associated with the apportioned account updates. All errors must be corrected prior to PennDOT issuance of registration products.

31 Save invoice information and print invoice.


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Step Action Narrative32 Customer with payment? The printer invoice is provided as a correspondence to the

customer and the entire amount is due before any products are issued, including the fees for jurisdictions other than Pennsylvania.If YES, go to step 34;If NO, go to step 33.

33 Mail invoice User processes steps to mail the invoice to the customer. If the application was submitted by a business partner, messenger or legislative service representative, the invoice is returned to that source who then forwards it to the carrier.




selection.38 Collect and verify payment User collects payment from the customer for the ARP registration.39 Enter payment information User enters payment information on the payment screen.40 Generate products System generates all required apportioned registration products,

including new cab card(s), weight class decal(s) and renewal sticker(s). License plates are issued through the .centric system at this time also.

41 Issue products User presents products to the customer.42 Prepare package and send for imaging A WID package is prepared to include all supporting

documentation. The documentation is placed in a transporter box and sent to imaging.


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2.4 Inquire Apportioned Account2.4.1 Overview

The process begins when the user opts to inquire on a specific individual or organization account. The user is provided with a detailed view of an apportioned account’s information and history.

The user may choose to view current or future ARP data, or to view pending payment data. A future database is created in preparation for renewals. Initially, the only information available is active accounts; i.e., vehicle and related mileage is not included. As mileage letters are returned prior to renewals and the mileage information is added to the future database, that information will also be available. The current database houses all account-associated information, and a search may be conducted using any of that information as the search key. For example, any of the following may be entered individually or in combination: Account Name, Employer Identification Number (EIN), US DOT number, VIN, title number or plate number. When the search is not by specific account number, all vehicle information that is related to the key entered will be returned in a list. The user will then locate the vehicle to find the associated account number which is then used as the search criteria to find the required account.

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2.4.2 Process Flow

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2.4.3 NarrativeStep Action Narrative1 Begin Process User opts to inquire an apportioned account in order to obtain

detailed information about an apportioned account. 2 Enter database name and search

criteriaUser determines whether to search the current, future or pending payment ARP database and enters the search criteria. Searches can be conducted using account number, account name, plate number, VIN, title number and/or ACN. Partial search criteria are acceptable, for example, the first name of the account holder.

3 Search for account Systems searches for account based on user-entered search criteria.

4 Exact account located? If YES, go to step 7; If NO, go to step 5.

5 Display list of possible accounts If the search was conducted on partial criteria, e.g., first name, the system will return all accounts in which that first name appears.

6 Locate required account on list From the list returned in step 5, the user can select the desired account and use specific information as search criteria to conduct the search again.

7 Display account information System displays high-level account information. If the user chose the future database, only accounts and mileage (when available during renewal period) will be displayed.

8 Drill down apportioned account details? User selects to view additional apportioned account detail on the current database. If YES, go to step 9;If NO, go to step 11.

9 Select more detail User can select to view account details on the current database, such as vehicles, weight groups/jurisdictions, mileage, and fees.

10 Display additional account details System displays requested details.11 End Process Process ends and user is returned to the main menu.

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2.5 Renew Apportioned Account2.5.1 Overview

The ARP renewal process recurs annually with renewal information due May 31st of the following year. All accounts are on the same renewal schedule regardless of when they were established; i.e. there is no staggered renewal process. The process begins in August when an ARP future database is created containing current account information for active apportioned accounts. Vehicle information is not included on this future database. The process is driven by the calendar date in order to coincide with the last quarter International Fuel Tax Agreement (IFTA) reporting for the fiscal year.

After the creation of the future ARP database, mileage correspondence is sent out to active carriers. Current carriers must supply mileage information for the same time period that is needed for their ARP registration renewal. The goal is to send carriers a mileage letter so they can report ARP registration mileage while their mileage records are being accessed to report IFTA mileage. The mileage letters and renewal forms are printed automatically. As the letters are returned, the mileage is entered into the future database by PennDOT employees. A follow-up letter is sent out in October to those carriers who have not responded. Again, as the letters are returned, the mileage is entered into the future database.

In February, the renewal correspondence is sent out to active carriers. Included on the correspondence is pre-filled information for active accounts and the corresponding vehicle information for active and inactive vehicles. If the mileage correspondence was returned with actual mileage reported, that mileage will also be included on the renewal correspondence. If the mileage correspondence was not returned, the mileage lines for each vehicle will be blank. Upon receipt of the renewal correspondence, the carrier verifies the pre-filled information, makes any necessary corrections to account information, updates vehicle information including the addition of new vehicles or the retiring of current vehicles, adds any other pertinent data such as jurisdiction changes, signs, dates, and returns the renewal correspondence.

As the renewal applications are received, the information is entered into the future database by PennDOT personnel through May 31st. On June 1st, the future database becomes the current database and what was current will be moved to the test system. This allows renewals to be processed while work continues for the current registration year. It must be noted that any changes made to accounts on the current database after renewals are made must also be made to the future database for those same accounts so that the information will be in sync.

The preparation of the mileage and renewal correspondence is an automated process. However, most of the sub-processes within this process are done manually such as the entering of mileage information and visual review of the renewal application and corresponding paperwork.

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2.5.2 Process Flow

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2.5.3 NarrativeStep Action Narrative1 Begin process User begins to process ARP renewal application.2 PennDOT receives renewal application The completed ARP renewal application and accompanying

documents are returned to PennDOT by the carrier or a business partner. The user reviews the application and accompanying paperwork for correctness and to ensure it is complete. If there are any problems with the application, accompanying documentation or data verifications with other Pennsylvania departments, error codes will be assigned and entered into the ARP system when account processing begins.

3 Enter ARP search criteria User enters search criteria with information taken from the renewal application.

4 Display account information System displays current account information. This includes account name, address, and DOT number.

5 Account updates needed? Based on the renewal application, user determines if updates need to be made to the account information.If YES, go to step 6;If NO, go to step 9.

6 Update Apportioned Account information

User updates/corrects account information.

7 Screen errors? System checks for errors and returns an error message at the bottom of the screen if any are detected. All errors must be corrected before processing can continue.If YES, go to step 8;If NO, go to step 9.

8 Make corrections User corrects the account information. 9 Display Establish Weight Group screen System saves account information and displays the Establish

Weight Group screen.10 Weight group/jurisdiction updates? If YES, go to step 11;

If NO, go to step14.11 Update weight group/jurisdiction

information.User updates weight group information for jurisdiction(s).


13 Make corrections User corrects the weight group and/or jurisdiction information.14 Select vehicle to update User selects an existing vehicle to update.15 Display vehicle information System displays vehicle information. 16 Update vehicle information User updates all vehicle information that does not appear on the

title; for example, equipment numbers or DOT number. Revisions to weight groups and/or jurisdictions may be made at this time. If any jurisdictions are added, the system will perform the necessary validation checks. If jurisdictions and/or weight groups are removed, the association with the vehicle is severed, but the data is retained for historical purposes.

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Step Action Narrative17 Screen errors? System checks for errors and returns an error message at the


18 Make corrections User corrects the vehicle information.19 Display Establish Weight Group screen System displays the Establish Weight Group screen. Processing

continues when the user presses Enter.20 More vehicles to update? If YES, go to step 14;

If NO, go to step 21.21 New vehicles to add? If YES, go to step 22;

If NO, go to step 27.22 Add new vehicle information User adds information for new vehicle.23 Screen errors? System checks for errors and returns an error message at the


24 Make corrections User corrects the new vehicle information.25 Display Establish Weight Group screen System displays the Establish Weight Group screen. Processing

continues when the user presses Enter.26 More new vehicles to add? If YES, go to step 22;

If NO, go to step 27.27 Enter “e” on the command line to save

information and return to menuUser enters an “e” on the command line to signal that the entry of vehicle information is complete.



29 Select Mileage from menu User selects MILEAGE from the ARP Primary Menu.30 Display Fleet Mileage screen System displays Fleet Mileage screen.31 Enter mileage from application If mileage was not previously provided via the mileage

correspondence mailed in August, user will enter vehicle mileage from the renewal application.System will verify that miles are valid based on business rules. For example, if the percentage of all miles entered for each jurisdiction ends in 0 or 5, the miles are not valid.If YES, go to step 23;If NO, go to step 26.


33 Make corrections User corrects the mileage information.34 Enter “e” on the command line to save

information and return to menuUser enters an “e” on the command line to signal that the entry of mileage information is complete.


System saves the mileage information and returns the user to the ARP Primary Menu.

36 Select Billing from menu User selects BILLING from the ARP Primary Menu.

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Step Action Narrative37 Display Billing Processor screen System displays the Billing Processor screen.38 Enter required information User enters preliminary billing information on this screen.39 Screen errors? System checks for errors and returns an error message at the


40 Make corrections User corrects screen errors and presses Enter to continue.41 Display next Billing Processor screen System displays the next Billing Processor screen.42 Enter required information User enters required billing information based on specific ARP

account needs.43 Screen errors? System checks for errors and returns an error message at the

bottom of the screen if any are detected. All errors must be corrected before processing can continue.If no errors are detected, the billing information is automatically saved when the user presses Enter.If YES, go to step 44;If NO, go to step 45.

44 Make corrections User corrects the billing information. When the user presses Enter after correcting the information and completing this screen, the billing information is automatically saved and the user is returned to the primary menu. Steps 45, 46, 47, and 48 occur concurrently after Enter is pressed.


46 Generate invoice System generates invoice. Registration fees are calculated for each jurisdiction based on factors including, but not limited to, miles in the jurisdictions, percent of miles traveled in each jurisdiction, weight of the vehicle, jurisdiction registration fees, and registration expiration date.

47 Stop codes? System determines if any stop codes were entered by the user during application processing.If YES, go to step 48;If NO, go to step 49.

48 Add stop code messages to invoice System adds stop code messages to the invoice to indicate missing or incomplete information, failed verifications or any other problems associated with the apportioned registration. All errors must be corrected prior to PennDOT issuance of registration products.

49 Save invoice information and print invoice


50 Customer with payment? The printer invoice is provided as a correspondence to the customer and the entire amount is due before any products are issued.If YES, go to step 52;If NO, go to step 51.

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including new cab card(s), weight class decal(s), and renewal sticker(s). License plates are issued through the .centric system at this time also.




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2.6 Issue Duplicate Product2.6.1 Overview

Carriers or their representatives may request duplicate registration cards, registration stickers, weight decals and cab cards. Additionally, duplicate vehicles plates may be requested and they are issued from the .centric (Inventory Management) system.

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2.6.2 Process Flow

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2.6.3 NarrativeStep Action Narrative1 Begin Process User begins Duplicate Product processing. 2 PennDOT receives Duplicate Product

application PennDOT receives the duplicate product application via mail, messenger delivery, legislative representative delivery, or at the counter. User reviews the application to ensure that it is complete and correct.

3 Enter account search criteria User enters search criteria for the appropriate account. Searches can be conducted using account number, account name, plate number, VIN, title number, and/or ACN. Partial search criteria are acceptable, for example, the first name of the account holder.

4 Search for account System searches for account.5 Specific account found? If YES, go to step 8;

If NO, go to step 6.6 Display list of possible accounts If the search was conducted on partial criteria, e.g., first name, the

system will return all accounts in which that first name appears. 7 Locate specific account on list From the list returned in step 6, the user can select the desired

account and use specific information as search criteria to conduct the search again.

8 Verify account information on application

User verifies that the account information on the application matches the account information on the ARP database.

9 Vehicle is active or inactive? If ACTIVE, go to step 10;If INACTIVE, go to step 30.

10 End account inquiry User ends account inquiry and is returned to the ARP menu.11 Display Apportioned Registration

Primary MenuSystem displays the ARP Primary Menu.

12 Select Billing from menu User selects BILLING from the ARP Primary Menu.13 Display Billing Processor screen System displays the Billing Processor screen.14 Enter required information User enters preliminary billing information, including supplement

type, on this screen. Only one duplicate product can be requested at a time, resulting in a separate invoice for each product requested.If any screen errors are detected, error messages will appear at the bottom of the screen. User must correct all errors before being allowed to proceed.

15 Display next Billing Processor screen System displays the next Billing Processor screen.16 Enter required information User enters required billing information based on specific ARP

account needs. If any screen errors are detected, error messages will appear at the bottom of the screen. User must correct all errors before being allowed to proceed.


18 Generate invoice System generates invoice to include fees for requested duplicate products.

19 Customer with payment? The printed invoice is provided as a correspondence to the customer and the entire amount is due before any products are issued.If YES, go to step 21;If NO, go to step 20.

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including new cab card(s), weight class decal(s), and renewal sticker(s). License plates are issued through the .centric system at this time also.




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2.7 Audit Carrier Mileage2.7.1 OverviewApportioned carriers are required to preserve the “Operational Records” of the fleet registration application for a period of three registration years. For example, the mileage record of the year 2007 and 2008 must be retained until 2012 in order to support the 2008 application. Operational records kept for the carrier shall be documents supporting miles traveled in each jurisdiction and total miles traveled, such as fuel reports, trip sheets, logs or computer runs that can be supported by source documents when requested. The authenticity of mileage and registration will be verified and an assessment will be made for any deficiency found due. Any apportioned carrier, who refuses to comply with the mileage reporting requirement, shall not be entitled to apportioned registration privileges.

Currently, PennDOT uses an accounting firm to provide audit services. The auditor assesses the operation records provided by the carrier and determines if the carrier owes apportioned fees or is owed a refund of apportioned fees. It is also possible that the auditor determines that the carrier cannot be assessed due to incomplete operational records or lack of operational records.

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2.7.2 Process Flow

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2.7.3 NarrativeStep Action Narrative1 Start Process The ARP Unit is required to audit 3% of the apportioned accounts

on file for a given year per IRP requirements. The process starts when the Office of Information and Fiscal Systems (OIFS) generates the ARP Carrier Database.

2 Generate ARP Carrier Database OIFS generates an ARP Carrier Database via MS Excel. The database includes the carrier’s account information, weight group information, vehicle information, and mileage information for the audit year. OIFS places the MS Excel file on the PennDOT FTP site which is accessible by the Auditor.

3 Receive ARP Carrier Database (FTP Site)

The Auditor receives the ARP Carrier Database by accessing the FTP site and acquiring the MS Excel file.

4 Generate Quarterly Carrier Audit List The Auditor generates a list of carriers to be audited. This is done on a quarterly basis. The Auditor uses the same MS Excel file (refer to step 2) to generate a new list of carriers for the next quarter period.

5 Receive Quarterly Carrier Audit List The PennDOT Audit Administrator receives the list of carriers via email from the Auditor.

6 Remove Carriers (if necessary) The PennDOT Audit Administrator removes any carriers that have been audited recently. If a carrier is removed, the Auditor will replace that carrier with another carrier to ensure that the 3% target has been met.

7 Receive Carrier Audit List Updates The Auditor receives the updated carrier list via email from the PennDOT Audit Administrator.

8 Notify Carriers and Request Records The Auditor notifies the carriers on the approved list that they have been selected for audit. The Auditor requests that the carriers provide their operational records representing the appropriate audit year.

9 Receive Records (if provided) The Auditor receives the records from the carrier either via the mail or electronically, depending on the method by which the carrier submitted the records. In some cases, a carrier may choose not to provide their operational records. When that occurs, the Auditor indicates that the carrier is “un-auditable” in the audit findings (refer to step 11).

10 Perform Audit The Auditor performs the audit by comparing the operational records provided by the carrier to the mileage information located in the ARP Carrier Database.

11 Create Audit Findings The Auditor prepares the audit findings and indicates for each carrier the outcome of the audit. The carrier may or may not owe apportioned fees. The carrier may also be deemed un-auditable due to a lack of records or due to incomplete records.

12 Receive Audit Findings The PennDOT Audit Administrator receives the audit findings from the Auditor. A report is included for each carrier that has been audited. In addition, a bill for owed fees or a penalty for being deemed un-auditable may also be included.

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Step Action Narrative13 Update ARP System The PennDOT Audit Administrator enters the audit month, year

and code into the ARP system using the “Correct” menu option on the Main Menu. The format of the audit date field is “mm/cc/yy” where “cc” is a two digit numeric code representing the outcome of the audit (e.g., payment due, refund due, or un-auditable).

14 Update ARP Audit Database (MS Access)

The PennDOT Audit Administrator updates the ARP Audit Database via MS Access. This database includes all the details of the audit including the audit date, outcome, amount owed, and date of carrier payment.

15 Provide Findings to Carrier The PennDOT Audit Administrator forwards the audit findings to each carrier. Included in the carrier package are instructions on how to appeal the audit findings and how to request a re-audit.

16 Request Departmental Hearing? The carrier may dispute the findings of the Auditor. The carrier may do so by requesting a Departmental Hearing within 30 days of receiving the audit findings from PennDOT. If YES, PennDOT’s Departmental Hearing process is followed. The carrier will be contacted and the results of the audit will be reviewed.If NO, go to step 17.

17 Findings Include Bill? The PennDOT Audit Administrator determines if the audit findings for each carrier include a bill for fees owed.If YES, go to step 18.If NO, the process ends. No further action is required.

18 Create Case (CARATS) If the outcome of the audit indicates that the carrier owes fees, the PennDOT Audit Administrator creates a case on the CARATS system.

19 Carrier Requests Re-audit? Upon receipt of the audit results, the carrier may select to go through the audit process again; or, the carrier may select to pay the amount owed.If YES, go to step 20.If NO, go to step 22.

20 Notify Auditor The PennDOT Audit Administrator notifies the Auditor via email that a carrier has requested a re-audit.

21 Receives Re-audit Request The Auditor receives the notification via email and restarts the audit process. Go to step 8.

22 Process Payment from Carrier The PennDOT Audit Administrator processes the payment submitted by the carrier via the CARATS system.

23 Update ARP Audit Database (MS Access)

The PennDOT Audit Administrator updates the ARP Audit Database with the payment information.

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Step Action Narrative24 Send Payments to IRP Clearinghouse On a monthly basis, the PennDOT Audit Administrator runs a

report from the ARP Audit Database that indicates which carriers have submitted payments. The report (in MS Excel format) is uploaded into the Time Sharing Option (TSO) program on the mainframe. The carrier audit payments are incorporated into the monthly recap of collected apportioned registration payments that must be submitted to other jurisdictions.The process ends when the carrier’s payment has been processed and the applicable payments are submitted to member jurisdictions.

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2.8 Supporting Processes2.8.1 Issue Hunter and Trip PermitsHunter permits are issued to owner-operators not operating as a lessor. The permits are a means of providing temporary registration (valid for 20 days) to assist the owner-operator while they secure work. The owner-operator may apply for a hunter permit by submitting an MV-585 form to PennDOT directly or by visiting one of PennDOT’s authorized business partners.

Trip permits are required on vehicles over 26,000 pounds or 3 axles in other member jurisdictions if aPennsylvania-based registrant does not apportion with that jurisdiction. If not proportionally registered before entering any other member jurisdiction, a trip permit must be secured and carried in the cab of the vehicle for which the permit was issued. Trip permits are available from each member jurisdiction and may either be ordered in advance from the jurisdiction or obtained from a business partner.

Neither hunter permits nor trip permits impact the apportioned registration fees of carriers. Due to that fact, they are not tracked in the current ARP system. Depending on the type of access granted business partners related to the future ARP system, they may be required to update carrier accounts with the permit number at the time a hunter or trip permit is issued.

2.8.2 Issue Temporary AuthorizationsAfter an original application has been filed, vehicles can be added or deleted or weights can be changed by filing a supplemental application form in the same manner as the original. In order to be able to operate an added vehicle prior to receiving the permanent credentials from PennDOT, a carrier can obtain a TA from one of PennDOT’s authorized business partners. Authorized business partners may also contact the Federal DOT. The carrier must have a vehicle or a fleet currently apportioned with Pennsylvania and the added vehicle shall be subject to proportional registration and be permanently registered as part of the carrier’s fleet in Pennsylvania.

The carrier provides the business partner all documentation required to register the vehicle including title, Manufacturer's Certificate of Origin (MCO), insurance, and lessee agreements. The supplemental registration application for the vehicle covered by the TA must be completed and submitted to PennDOT within 5 days of the date of the authorization. The TA is valid for 60 days.

When the supplemental registration application is received by the ARP Unit, the service representative updates the apportioned account using the “Correct” menu option on the ARP main menu (refer to the Update Account process flow). An invoice is then generated for the carrier and, after payment; permanent credentials are mailed to the carrier.

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3. Future Capabilities As stated earlier in this document, the current ARP system is limited in several ways – outdated user interface, maintenance-intensive data architecture, restricted user access, etc. The new ARP system will be implemented in such a way as to provide:

Web-based user interface Integration with PennDOT systems including but not limited to CARATS, .centric, Electronic Document

Management System (EDMS), Systems, Applications and Products (SAP), and PennDOT’s Data Warehouse

Enhanced reporting capabilities Availability of a greater variety of payment options Improved data archive and purge strategy Direct access by business partners, motor carrier customers, and PennDOT auditors Compliance with the Performance and Registration Information Systems Management (PRISM) program Improved business and financial transaction management and reconciliation to support auditing by the

Commonwealth’s Comptroller

The Business and Technical Requirements table that appears on the following pages includes the current capabilities of the ARP system as well as the future capabilities identified by stakeholders during requirement elicitation meetings.

The updated spreadsheet contains the following columns:

New – Indication of the requirements that have been added to the spreadsheet since its first distribution to the vendors. New requirements contain a in this column.

No. – Unique identifier Business Requirements – Statement of existing capability or future capability that must be fulfilled by the

new solution System Requirements - Statement of a technical component that must be addressed by the new solution

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3.1 Business Requirements

New No. Business Requirements

= New Requirement added Business Functions: Account Management - The COTS/MOTS Solution provides functionality to… 1 Create an Apportioned Account

1.1 Assign new accounts an account number that is at minimum eight characters long. 2 Cancel an Apportioned Account 3 Update an Apportioned Account

3.1 Apply alert to apportioned account based on current business rules (e.g., unpaid invoice, message from other jurisdiction, etc.).

4 Inquire on an Apportioned Account

Business Functions: Maintenance - The COTS/MOTS Solution provides functionality to… 5 Maintain an Apportioned Account 6 Inquire on a Vehicle 7 Renew Registration

7.1 Support current annual registration cycle. 7.2 Support future staggered registration cycle. 7.3 Convert accounts to staggered registration cycle as indicated by PennDOT.

8 Delete Vehicle/Fleet/ Weight Group 9 Issue a Duplicate Product 10 Add Jurisdiction(s) to an Existing Fleet 11 Transfer a Plate from One Vehicle to Another 12 Maintain a Vehicle Weight Group 13 Maintain Vehicle Mileage 14 Surrender a Vehicle Plate 15 Transfer Vehicle from One Fleet to Another

Business Functions: New Issuance - The COTS/MOTS ARP Solution provides functionality to…

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= New Requirement added 16 Add New Vehicle (self-service has a dependency based on the interfaces available) 17 Issue Temporary Permits 18 Inquire Permit/Temporary AuthorizationBusiness Functions: Audit - The COTS/MOTS ARP Solution provides functionality to… 19 Identify Fleet(s) to Audit

20 Track and report the status and results of audits. 20.1 Provide total number of audits in progress and completed. 20.2 Provide the number of audits that resulted in an invoice, a refund, or neither.

20.3 Provide the number of audits for each motor carrier size category (e.g., small, medium, and large) determined by number of vehicles.

20.4 Provide the number of un-auditable accounts (i.e., those which could not be audited due to no records or incomplete records).

21 Maintain Re-Audit Request 22 Capture Audit Results 23 Approve and Process Audit Results

23.1 Generate an invoice or refund based on audit results. 23.2 Send collected audit fees to the IRP Clearinghouse.

24 Provide Remote Access to Auditors

Business Functions: Financial/Invoicing - The COTS/MOTS ARP Solution provides functionality to…

25 Multiple Apportioned Account Functions including but not limited to; New Account/Renewal, Add Vehicle, Weight Increase, Add Jurisdiction, Transfers, etc.

25.1 Notify the Commonwealth's Attorney General of outstanding invoices that have aged 90 days or longer (requires interface with the Attorney General's system).

26 Payment via multiple methods: 26.1 EFT (Electronic Funds Transfer) 26.2 Payment cards (including both debit and credit cards) 26.3 ACH (Automated Clearing House) 26.4 Web Self-Service

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= New Requirement added 26.5 Cash 26.6 Refund

26.7 Check Exchange (internal PennDOT use only)

26.8 Check (including PennDOT's Check 21 process)

26.9 Generate a Customer ReceiptBusiness Functions: Reports - The COTS/MOTS ARP Solution provides functionality to…

27 Report Writing Capabilities

27.1 Provide the ability to export base (system generated) reports to either a Microsoft Office or Adobe product as designated by PennDOT.

28 Generate a Monthly and Yearly Renewed Account Report including account names and account numbers. 29 Generate a Weekly, Monthly, and Yearly New Account Report including account names and account numbers.

30 Generate an on-demand Mileage Report including account names, account numbers, actual mileage per jurisdiction, estimated mileage per jurisdiction, total estimated miles, total actual miles, and % paid.

31 Generate a Daily and Weekly Report of Operator Activity including transaction ID (WID), fees collected, fees refunded, credits applied, and overridden transactions.

32 Generate a Daily and Monthly Voided Transaction Report including operator, transaction ID (WID), original dollar amount, and corrected dollar amount.

33 Generate an Annual Report of Audit Activity (for IRP use and internal use) including the following: 33.1 Reporting Period 33.2 IRP Fleets Renewed 33.3 New IRP Fleets 33.4 Total Number of IRP Fleets 33.5 Total Number of Fleets Required to be Audited (3% of Total) 33.6 Audits Resulting in Fee Changes (Invoice or Refund) 33.7 Audits Resulting in No Fee Changes 33.8 Total Fee Changes and Total No Fee Changes

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= New Requirement added 33.9 Total IRP Registrants 33.10 Total Number of Power Units (Trucks, Tractors, Buses) 34 Generate Updated Estimated Mileage Chart (yearly) 35 Generate a Monthly Outstanding Audit Aging Report (30-60-90 and over 90 aging buckets). 36 Generate a Monthly Outstanding Invoice Aging Report (30-60-90 and over 90 aging buckets). 37 Generate a Daily Refund Report including refunds to accounts and refunds to jurisdictions. 38 Generate a Daily Account Balance Report including accounts with overpayments. 39 Generate an on-demand Deletion Report including deleted weight groups, vehicles, fleets, and accounts. 40 Generate an on-demand Account Alert (i.e., stop code) report including all accounts on which alerts have been placed. 41 Generate an on-demand Issued Tags Report including all tags issued during requested reporting period.

Business Functions: Correspondence/Notification - The COTS/MOTS ARP Solution provides functionality to… 42 System Generated Correspondence/Notification

42.1 Generate Mileage Invitation Letters 42.2 Generate Renewal Invitation Letters 42.3 Generate Account Statements showing overdue account balances in 30-60-90 accrual buckets. 42.4 Renewal Denial Notification Letters to carriers who cannot renew due to PRISM sanctions. 42.5 Apportioned Deposit Transmittal to jurisdictions not participating in the IRP Clearinghouse. 42.6 Generate overdue account notification letters for accounts with balances that have aged over 90-days. 42.7 If sending system generated correspondence or notifications via email, utilize PennDOT's MS Exchange server. 42.8 Store images of all generated correspondence on PennDOT's Electronic Document Management System (EDMS).

42.9 Provide the ability to retrieve stored images of all generated correspondence via access to PennDOT's Electronic Document Management System (EDMS).

Business Functions: Automated Interfaces - The COTS/MOTS ARP Solution provides functionality to… 43 Automate interfaces to the following internal and external entities/systems:

43.1 IRP Clearinghouse (for payments, refunds and inquiry) 43.2 Public Utility Commission (PUC) 43.3 Department of State (DOS)

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= New Requirement added 43.4 Department of Revenue (DOR) 43.5 PennDOT's Certified Public Accounting Firm 43.6 FMCSA's Motor Carrier Management Information System (MCMIS) 43.7 Polk Citizen-Dealer Vehicle Sales Database 43.8 Black Book Used Vehicle Database 43.9 PennDOT's Inventory Management System (.centric) 43.10 PennDOT's Electronic Document Management System (EDMS) to create yearly account records. 43.11 PennDOT's Enterprise Accounting System (SAP) for revenue collection (daily) and refund processing (weekly). 43.12 Pennsylvania Attorney General's system for outstanding receivables. 43.13 Commonwealth's address verification subscription service. 43.14 Any system required to comply with PRISM requirements (refer to the Commonwealth's PRISM Implementation Plan).

43.15 Internal Revenue Service (IRS) for verification of Heavy Vehicle Use Tax. This requirement is dependent upon IRS approval.

Business Functions: Expand Service Channels - The COTS/MOTS ARP Solution provides functionality to… 44 Provide Self-Service Capabilities

44.1 Inquire Apportioned Account 44.2 Maintain Apportioned Account 44.2.1 Request Duplicate Product 44.2.2 Renew Registration 44.2.3 Add a Jurisdiction 44.2.4 Update Mileage 44.2.5 Update Account/Contact Information 44.2.6 Add New Vehicle per business rules defined by PennDOT. This function requires an interface with the CARATS system.

Business Functions: Compliance - The COTS/MOTS ARP Solution provides functionality to… 45 Comply with the federal International Registration Plan (IRP). (Refer to original RFP for details.) 46 Provide update to the Commonwealth Automated Registration and Titling System (CARATS).

46.1 Can be configured to send CARATS vehicle records created by ARP and update vehicle records modified by ARP.

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= New Requirement added

46.2 Can be configured to interface with CARATS real-time to support the retrieval of data which will be used to pre-fill designated ARP screen fields.

46.3 Can be configured to receive CARATS updates including fee amounts, Work Identification Numbers (WIDs), returned check alerts (e.g., stop codes), and other key data elements either real-time or overnight batch processing.

47 Complies with the Commonwealth's PRISM Implementation Plan.

48 Provide automated data archive and purge solution that complies with PennDOT's business and financial data retention requirements.

48.1 Retain detailed business and financial data in the production environment from zero (immediate transactions) through 6 years.

48.2 Transactions 15 years and younger will be archived in a designated On-Line Analytical Processing (OLAP) environment. 48.3 Data older than 15 years will be purged. 48.4 Data Warehouse data will be refreshed daily.

48.5 Retain stored business and financial document images in PennDOT's Electronic Data Management System (EDMS) for 15 years.

Business Functions: Financial Accounting - The COTS/MOTS ARP Solution provides functionality to… 49 Assign a deposit date to all transactions. 50 Support electronic cash drawers for users. 51 Support multiple fee codes per transaction.

52 Provide user-configurable fees that can be modified and are supported by business rules (e.g., assigned grace periods for new fees).

53 Calculate systematically product and service costs. 54 Support multiple payment types across service channels (i.e., split payments). 55 Accept partial payments, accept overpayments, and maintain customer account balances. 56 Create and transmit financial files to the IRP Clearinghouse.

57 Support financial reconciliation at multiple levels (e.g., by cash drawer, deposit date, deposit month, service channel, and fiscal year). Also referred to as multi-tiered balancing.

58 Create invoices for ARP transactions and return check processing.

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= New Requirement added

59 Provide error/rejection processing consistent with the maintenance of the customer's account balance (i.e., remitted funds related to a rejected transaction remain on the customer's account balance).

60 Provide the ability to void transactions that have been paid consistent with the maintenance of the customer's account balance (refer to above requirement).

61 Support the waiving of fees based on established fee waiver reason codes. Provide the ability to track processed fee waivers by reason code.

62 Provide the following financial reports (refer to Appendix A for examples of current financial reports):

62.1 Daily Report of Closed Payment Batches – Contains all closed cash drawer transactions showing amount remitted and payment type.

62.2 Daily Report of Revenue Code Distribution Detail – Summary report of all the revenue code distributions by fund code.

62.3 Daily Report of Fee Code Distribution Detail – Detail report of all fee-related transactions from payment batches closed the previous day.

62.4 Daily Report of Fee Code Adjustments – Detail report of fee code adjustment transactions from the previous day. 62.5 Daily Report of Payment Batches Not Closed – Detail report of payment batches that have not been closed.

62.6 Daily Report of Locked Payments Batches Not Received – Detail report of payment batches that were locked but that haven’t been received in Depositing.

62.7 Daily Report of Closed Accounting Date Fee Codes – Summary report of revenue by fee code for a “closed” (reconciled) accounting date.

62.8 Monthly Report of Fee Code Distributions – Summary report of monthly revenue by fee code for a “closed” (reconciled) month.

62.9 Monthly Report of Deposit Unit’s Summary - Summary report of monthly revenue by revenue code for each deposit unit (service channel) for a “closed” (reconciled) month.

62.10 Refund Report – SAP Interface – Weekly report of all refunds by refund status and service channel. 62.11 Daily Report of Payment Card Activity – Detail report of all payment card transactions. 62.12 Daily Report of ACH/EFT Activity - Detail report of all ACH/EFT transactions. 62.13 Daily Report of Unbalanced and Outstanding work identification numbers (WIDs) to support front-end depositing process.

62.14 Daily WID Listing By Batch Number – Daily detail listing of all front-end mail fee remit batches.Business Functions: Transaction Identification/Management - The COTS/MOTS ARP Solution provides functionality to…

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= New Requirement added 63 Assign each transaction a designated work identification number (WID) as defined by PennDOT.

63.1 The current WID supported by the .centric system includes: two digit year, three digit Julian date, five digit operator ID, and six digit unique sequence number.

63.2 The current WID supported by the CARATS system includes: two digit year, three digit Julian date, four digit operator ID, and six digit unique sequence number.

64 Assign a WID to all existing ARP transactions that are currently identified by an Accounting Control Number(ACN). 64.1 Provide the ability to locate ARP account transactions using the system-generated WID as well as the original ACN. 65 Provide the ability to print the WID on system generated forms and payment checks.

66 Locate funds deposited by PennDOT prior to the start of the transaction using the assigned WID (i.e., front-end depositing).

67 Provide the ability to enter a WID originally processed in CARATS and locate remaining balance to be applied to new ARP transaction.

Business Functions: Bar-coding - The COTS/MOTS ARP Solution provides functionality to… 68 Comply with PennDOT's existing bar code requirements. 69 Embed the assigned WID on designated system generated bar codes. 70 Comply with PRISM Cab Card Bar Code specifications.

Business Functions: Business Partner Access - The COTS/MOTS ARP Solution provides business partners functionality to…

71 Provide access to designated PennDOT business partners to perform the following functions according to PennDOT and IRP business rules:

71.1 Create an Apportioned Account 71.2 Inquire an Apportioned Account 71.3 Update Apportioned Account 71.4 Maintain Apportioned Accounts 71.4.1 Surrender Vehicle Plate 71.4.2 Issue Duplicate Product 71.4.3 Add Jurisdictions 71.4.4 Update Vehicle Weight Group 71.4.5 Transfer Vehicles

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= New Requirement added 71.4.6 Transfer Plate 71.4.7 Renew Registration 71.4.8 Add New Vehicle (requires interface with CARATS system) 71.4.9 Update Account/Contact Information 71.4.10 Issue Extension of Temporary Authorization 71.5 Issue New Products 71.5.1 Issue Temporary Authorization 71.5.2 Issue Hunter Permit 71.5.3 Issue 72-hour Permit 71.5.4 Track issued permit number (requires interface with .centric)

Business Implementation/Training - The COTS/MOTS ARP Solution will include…

72 Direct (in-person) training of PennDOT staff (approximately 25 individuals) to be conducted at a designated PennDOT facility.

73 Train-the-trainer sessions for PennDOT business partners and call center staff. 74 Training materials including user guides and training presentations covering the core ARP application functions. 75 Training materials including user guides and training presentations covering the self-service application functions.

76 Updates to user guides and training presentations covering changes to the application implemented by the vendor (vs. PennDOT staff).

77 Weekly project status reports including identified risks, issues, action items, and current project plan.

3.2 System Requirements

New No. System Requirements= New Requirement

System Requirements - The COTS/MOTS ARP Solution… 1 Allows for the encryption of sensitive data when being sent over the network.

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2Complies with Commonwealth standards and policies for devices internal to the Commonwealth to be managed by PennDOT staff.

3 Complies with PennDOT security update policies for devices internal to PennDOT.

4 Allows all devices internal to PennDOT to be secured according to PennDOT specifications.

5 Includes database design compliant with PennDOT security and privacy policies for the storage of sensitive data.

6 Includes scalable architecture to allow for an increase in system capacity without performance degradation.

7 Utilizes industry-standard communication protocols to support all interface requirements (e.g., Web Services, XML).

8 Provides configurable communication settings (e.g., the ability to change communication ports over time).

9 Establishes an application software maintenance schedule.

10 Supports multiple test environments including, but not limited to, user acceptance testing and integration testing.

10.1 Provides three pre-production environments as well as one production environment.

11 Provides the ability to add, update, or delete test data without software or hardware upgrades.

12Can be configured to interface with CARATS (Commonwealth Automated Registration and Titling System) with security access and be flexible and modular to accommodate easy modification or expansion. (Refer to original RFP for details.)

13 Includes an archival/purge strategy for both data and data images.

14 Includes components that must be hosted by PennDOT (e.g. database server, application server, web server, etc.).

14.1 Includes knowledge transfer to designated PennDOT technical staff.

14.2 Can be configured to interface with EMC Captiva for document capture from scan devices.

14.3 Can be configured to interface with IBM FileNet for imaged document storage and management.

14.4Can be configured to interface with PennDOT's Electronic Document Management System (EDMS) for imaged document retrieval.

15 Includes server components that are compatible with Microsoft Windows Server 2003 or 2008.

16 Includes client components that are compatible with Microsoft Windows XP.

17 Includes client components that are compatible with Microsoft Windows 7(64 bit) or provide an upgrade path to Windows 7(64 bit).

18 Utilizes TCP/IP protocol for network communication.

19 The solution will be hosted by PennDOT.

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20 Server Operating System will be Windows 2003 or 2008 or zLinux (SLES 11),

21 Application architecture will be J2EE or .NET

22 Presentation tier will be Web based

23 The middle tier application servers will be IBM WebSphere or .NET Application Server (IIS)

24 The solution database tier will be Oracle 11g, DB2 , or SQL Server 2008

25 The solution will provide a documented data model and data dictionary.

25.1 Includes capability to support Data Warehouse ETL (Extract, Transform and Load) scheduled process using Informatica PowerCenter product.

25.2 The Data Warehouse will be comprised of data that is zero to 15 years old.

25.3 The Data Warehouse will be updated daily with changes from the production environment.

26 The solution shall support IE verison 8 or greater web browsers.

27 The system shall integrate with CA SiteMinder for application authentication to support single sign-on.

28 The system shall integrate with CA Identity Manager or PennDOT approved authorization system for roll based authorization.

29 The system shall meet PennDOT's performance requirements. 30 The system shall meet PennDOT's availability requirements. 31 The system shall meet PennDOT's capacity requirements. 32 The system shall adhere to the Office of Administration (OA) information technology bulletins and PennDOT IT standards.

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4. Appendix A – Example Financial ReportsDouble-click on the icon below to view the attached PDF document containing the example financial reports.

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4.1 Acronyms and DefinitionsAcronym Definition DescriptionACH Automated Clearing House An electronic network for processing financial transactions in

the United States. Both the government and the commercial sectors use ACH payments. Businesses increasingly use ACH online to have customers pay, rather than via credit or debit cards.

ACN Account Control Number Number stamped on applications, submitted paperwork, and check payments that is used within the ARP computer system to track processing.

ARP Apportioned Registration Program

PennDOT system that processes apportioned registration transactions.

BBSS Bureau of Business Solutions and Services

Bureau within PennDOT responsible for the development and support of PennDOT’s information systems.

BIO Bureau of Infrastructure and Operations

Bureau within PennDOT responsible for providing support for all components of an information technology network that are needed to support the business requirements of the Department of Transportation. The Bureau will ensure compliance with Commonwealth policies so interagency requirements can also be fulfilled.

BMV Bureau of Motor Vehicles A Pennsylvania governmental agency responsible for administering vehicle titling and registration; housed within the Pennsylvania Department of Transportation

CARATS Commonwealth Automated Registration and Titling System

PennDOT system that processes all vehicle titling and registration transactions

.centric N/A – not an acronym PennDOT system that manages product inventory for the Bureau of Motor Vehicles

COTS Commercial-Off-the-Shelf Application software that can be purchased as an alternative to in-house development but typically requires customization that is tailored for specific uses

DL&C Driver License and Control System

PennDOT system which processes driver licensing applications, sanction notifications, and driver privilege restorations

DOR Department of Revenue A Pennsylvania governmental agency responsible for collecting Personal Income Tax, Sales and Use Tax, all corporate taxes, Inheritance Tax, Realty Transfer Tax, Motor Fuel Taxes and all other state taxes

DOS Department of State A Pennsylvania governmental agency that, among other responsibilities, houses the Corporation Bureau which maintains the records repository of more than 2.6 million companies that do business in the Commonwealth and serves as the centralized filing office for Uniform Commercial Code financing statements. In order to register a business, you will need to file with the Corporation Bureau.

DOT Department of Transportation A Pennsylvania governmental agency that oversees transportation issues in the Commonwealth

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Acronym Definition DescriptionEDMS Electronic Document

Management SystemPennDOT system in which electronic versions of scanned documents are stored

EFT Electronic Funds Transfer Name given to the process of electronic payment and collection

EIN Employer Identification Number

Also known as a Federal Tax Identification Number; used to identify a business entity

FMCSA Federal Motor Carrier Safety Association

Part of the US Department of Transportation (DOT) whose primary responsibility is to prevent commercial motor vehicle-related fatalities and injuries

FTP File Transfer Protocol Standard network protocol used to transfer files from one host to another host over a Transmission Control Protocol-based network, such as the Internet

ICC Interstate Commerce Commission

Federal operating authority that looks after the rules governing transport companies for hire across the different state lines. An ICC permit is required when you carry commodities over different state lines.

IFTA International Fuel Tax Agreement

An agreement among all states (except Alaska and Hawaii) and Canadian provinces (except Northwestern Territories, Nunavut, and Yukon) to simplify the reporting of fuel used by motor carriers operating in more than one jurisdiction

IT Information Technology The management of technology which spans a wide variety of areas including computer software, information systems, computer hardware and programming languages

IRP International Registration Plan Registration reciprocity agreement among US states and Canadian provinces providing for the payment of license fees on the basis of total distance operated in all jurisdictions

MCMIS Motor Carrier Management Information System

Federal Motor Carrier Safety Association (FMCSA) system that stores carrier census and safety information

MCO Manufacturer's Certificate of Origin

A document created by a manufacturer when a vehicle is created. It is used as the proof of ownership of the vehicle until the vehicle is titled.

MDA Multi-Dimensional Analysis A data analysis process that groups data into two or more categories: data dimensions and measurements

MOTS Modified-Off-The-Shelf A MOTS software product is typically a COTS software product whose source code can be modified. The product may be customized by the purchaser, by the vendor, or by another party to meet the requirements of the customer.

MS Microsoft An American public multi-national corporation that develops, manufactures, licenses, and supports a wide range of products and services predominantly related to computing through its various product divisions

OIFS Office of Information and Fiscal Services

An office within PennDOT that is responsible for the reconciliation and depositing of all motor vehicle and driver license funds collected, including sales tax paid on the purchase of vehicles. This office is also responsible for providing IT services and supporting IT projects within Safety Administration.

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Acronym Definition DescriptionOLAP On-line Analytical Processing An approach to swiftly answer multi-dimensional analytical

(MDA) queries. OLAP is part of the broader category of business intelligence which also encompasses relational reporting and data mining. Typical applications of OLAP include business process management and reporting.

PennDOT Pennsylvania Department of Transportation

Bureau of the Commonwealth of Pennsylvania that provides driver and vehicle services, traveler information, and details on public safety

PUC Public Utilities Commission A Pennsylvania governmental agency that, among other responsibilities, regulates motor carriers that transport property, passengers or household goods as well as brokers of passenger transportation between points in Pennsylvania for compensation. Property carriers (e.g., trucking companies) and charter bus carriers (seating capacity of more than 15) are regulated for safety and insurance requirements only.

PRISM Performance and Registration Information Systems Management

Cooperative program between federal and state governments to link safety fitness to vehicle registrations

RFP Request for Proposal A document that is issued at an early stage in a procurement process, where an invitation is presented for suppliers, often through a bidding process, to submit a proposal on a specific commodity or service. The RFP process brings structure to the procurement decision and is meant to allow the risks and benefits to be identified clearly upfront.

ROC Riverfront Office Center Main PennDOT building which houses Safety AdministrationSAP Systems, Applications and

ProductsEnterprise accounting software used to manage business operations and customer relations

TA Temporary Authorization Temporary registration credentials issued to carriers that are valid for 30 days

TA Agent Temporary Authorization Agent

Messenger service, wire service, dealer or authorized trucking company that purchases blank TAs (form MV-586) to be issued when requested by carriers

TSO Time Sharing Option An interactive time-sharing environment for IBM mainframe operating systems; many persons can access the operating system concurrently

US DOT United States Department of Transportation

Division of US Government responsible for ensuring a fast, safe, efficient, accessible and convenient transportation system that meets our vital national interests

VIN Vehicle Identification Number Name given to the hard coded number imprinted on all vehicles by the manufacturer

WID Work Identification Number A unique number that the Bureau of Motor Vehicles uses to identify each document submitted along with an application for titling and/or registration

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