cd90.7.4 out-of-state convictions & withdrawals posting …...posting report this is a mockup of the...

CD90.7.4 Out-Of-State Convictions &

Withdrawals Posting Report

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•Review CD90.7.4 Report

•Training for CDLIS Reports

•Other Resources

PresenterPresentation NotesIn today’s webinar, we will be reviewing the CD90.7.4 Out-Of-State Convictions & Withdrawals Posting Report.

At the end, we will briefly review the training that will be available for the new reports, how to obtain CDLIS Reports and other resources.

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Jessie RogersAAMVA Reporting Analyst

PresenterPresentation NotesI will be today’s presenter! I’m a Reporting Analyst here at AAMVA.

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CD90.7.4 Out-of-State Convictions & Withdrawals

Posting Report

PresenterPresentation NotesThis new report, was created with the help from some SDLAs, AAMVA and FMCSA. This new report is another tool for SDLAs to find possible vulnerabilities in their CDL processes.

Our goal in creating this new report, is to help States in identifying issues and ensuring that FMCSRs are being followed.

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384.225 (c)(1) FMCSR

384.225: CDLIS Driver Recordkeeping

(c) Make CDLIS driver record information required by this section available to the users designated in paragraph (e) of this section, or to their authorized agent, within 10 days of:

(1) Receiving the conviction or disqualification information from another State;

SDLA receives conviction/withdrawal

Post to Driver History

Within 10 Days

PresenterPresentation NotesFMCSR monitored in the CD90.7.4 OOS Convictions and Withdrawals Posting Report:

Regulation: 384.225(c)(1): Make CDLIS driver record information required by this section available to the users designated in paragraph (e) of this section, or to their authorized agent, within 10 days of: (1) Receiving the conviction or disqualification information from another State.

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Purpose of Report

Show if the State of Record (SOR) has posted a conviction or withdrawal within 10 days of receiving the conviction or

withdrawal to the driver history

PresenterPresentation NotesThe purpose of CD90.7.4 OOS Convictions and Withdrawals Posting Report:

Show if the State of Record (SOR) has posted a conviction or withdrawal within 10 days of receiving the conviction or withdrawal from another state to the driver history

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Allows the State of Record (SOR) to determine if a conviction or withdrawal

is posted within the required time

Benefits of Report

PresenterPresentation NotesThe benefits of CD90.7.4 OOS Convictions and Withdrawals Posting Report:

Allows the State of Record (SOR) to determine if a conviction or withdrawal is posted within the required time

Gives the State Record (SOR) an opportunity to post those convictions and withdrawals by providing the detail

Note: A jurisdiction may receive a blank report if there are no late convictions/ withdrawals reported for that reporting period.

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OOS Convictions & Withdrawals Posting Report

PresenterPresentation NotesThis is a mockup of the CD90.7.4 OOS Convictions and Withdrawals Posting Report (OOS Conviction Posting Tab). It is in excel file format.

The top section shows the report information: Report as of Date (Date report was ran); Start Date/End Date (time period during which the DHR was received upon sending SB request); Jurisdiction Code (your state); Regulation (FMCSR: 384.225(c)(1)); Report Description (Out-of-State Convictions Posting Report is a weekly report that conveys information on the convictions that are sent from Central Site to State of Record (SOR) and have not been posted to the driver history within the regulation-mandated 10 day posting window. The convictions for which the SOR has sent back an error are not considered. NOTE: The underlying convictions reported using Report Out-Of-State Withdrawal (ROOSW) transaction and not posted within the regulation-mandated 10 day posting period are also included.)

The bottom section is the detail information on the convictions not posted within 10 days to the DHR: Message Locator (find message in logs); Transaction Type (ROOSC/ROOSW-underlying conviction); ST/DLN; Message Date (date HF was sent to SOR); State of Conviction; ACD Offense Code; Citation Date; Conviction Date.

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“EXCEPTION” Report

PresenterPresentation NotesThis “exception” report mockup of the CD90.7.4 OOS Convictions and Withdrawals Posting Report (OOS Conviction Posting Tab) contains the same headers and detail information for the convictions and underlying convictions we just reviewed but contains an extra note for when some of the history request (SB inquiries) were NOT sent on 11th day.

The note states: Due to unavoidable circumstances, the information in this period’s report may not include all the convictions that should appear on the report. During this reporting period, AAMVA attempted to request the drivers’ history records for your drivers, but the reporting system was not able to initiate some of the requests on the designated day. As a result, some convictions that should have appeared on this report may have been omitted. If you need more information, please contact the AAMVA Helpdesk.

So, your report will ONLY contain this note when some of the history request (SB inquiries) were NOT sent on 11th day.

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PresenterPresentation NotesThis is a mockup of the CD90.7.4 OOS Convictions and Withdrawals Posting Report (OOS Withdrawal Posting Tab). It is in excel file format.

The top section shows the report information: Report as of Date (Date report was ran); Start Date/End Date (time period during which the DHR was received upon sending SB request); Jurisdiction Code (your state); Regulation (FMCSR: 384.225(c)(1)); Report Description (The Out-of-State Withdrawals Posting Report is a weekly report that conveys information on the withdrawals that are sent from the Central Site to the State Of Record (SOR) and have not been posted to the driver history within the regulation-mandated 10 day posting window. The withdrawals for which the SOR has sent back an error are not considered.)

The bottom section is the detail information on the convictions not posted within 10 days to the DHR: Message Locator (find message in logs); Transaction Type (ROOSW); ST/DLN; Message Date (date HT was sent to SOR); State of Withdrawal; ACD Reason Code; Jurisdiction Report ID; Withdrawal Effective Date.

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“EXCEPTION” Report

PresenterPresentation NotesAgain, this “exception” report mockup of the CD90.7.4 OOS Convictions and Withdrawals Posting Report (OOS Withdrawal Posting Tab) contains the same headers and detail information for the withdrawals we just reviewed but contains an extra note for when some of the history request (SB inquiries) were NOT sent on 11th day.

The note states: Due to unavoidable circumstances, the information in this period’s report may not include all the withdrawals that should appear on the report. During this reporting period, AAMVA attempted to request the drivers’ history records for your drivers, but the reporting system was not able to initiate some of the requests on the designated day. As a result, some withdrawals that should have appeared on this report may have been omitted. If you need more information, please contact the AAMVA Helpdesk.

So, your report will ONLY contain this note when some of the history request (SB inquiries) were NOT sent on 11th day.

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“DHR Not Received”

PresenterPresentation NotesThis is a mockup of the CD90.7.4 Driver History Record (DHR) Not Received Tab. It is in excel file format. The top section shows the report information: Report as of Date (Date report was ran); Start Date/End Date (time period during which the DHR was received upon sending SB request); Jurisdiction Code (your state); Regulation (FMCSR: 384.225(c)(1)); Report Description (The Driver History Record (DHR) Not Received Report lists the out-of-state convictions and withdrawals whose posting status is not determined. The State-to-State History (SB) requests were sent from Central Site to the State Of Record (SOR) after 10 days from the 'Message Date' to check if the convictions and withdrawals were posted to the respective driver history record (DHR). The status of posting to the driver history could not be determined because the SOR either did not respond or responded with error to the State-to-State History (SB) requests.)

The bottom section is the detail information on the convictions not posted within 10 days to the DHR: Message Locator (find message in logs); Transaction Type (ROOSC/ROOSW); ST/DLN; Message Date (date HT/HF was sent to SOR); State of Conviction/Withdrawal; ACD Code; Citation Date (NA for ROOSW); Conviction Date (NA for ROOSW); Jurisdiction Report ID (NA for ROOSC); Withdrawal Effective Date (NA for ROOSC).

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How it Works: OOS Convictions & Withdrawals Posting Report

CDLIS Central SiteState of Conviction/Withdrawal

State of Record

Report Conviction (HA)/Report Withdrawal (HW)

Forward Conviction (HF)/Forward Withdrawal (HT)

Confirmation Conviction

(CA)/Confirmation Withdrawal

(CW)

Confirmation Receipt (CS)/

(CT)

Message Status:‘Completed Successfully’ & ‘Initiated’

11th Day?(yes or no)

Message Date1/1/2016

Report Date1/12/2016

PresenterPresentation NotesHow the CD90.7.4 OOS Convictions and Withdrawals Posting Report works is: The report first looks at the date the ‘Report Out Of State Convictions’ and ‘Report Out of State Withdrawals’ was sent to the SOR to see if it has been 11 days (message date on transaction). {SOR has 10 days to post to driver history}.

If it has been 11 days since the message date (YES), then the report looks at the transaction status of the conviction and withdrawal. The report only considers those convictions and withdrawals that have been ‘Successfully Completed’ (confirmed by SOR) or ‘Initiated’ (no response by SOR) status. If an error is returned by either the SOR or Central Site for the conviction and withdrawal, these will be ignored. NOTE: The convictions and withdrawals that are received electronically are the only ones considered.

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CDLIS Central SiteState of Conviction/Withdrawal

State of Record

Negate Conviction (HH)/Negate Withdrawal (HY)

Forward Negate Conviction (HX)/Forward Negate Withdrawal (HV)

Confirmation Negate

Conviction (CX)/

Confirmation Negate

Withdrawal (CV)

Confirmation Receipt (CO)/

(CY)

Message Status:‘Completed Successfully’

Confirmed Negate Received?

(yes or no)

PresenterPresentation NotesHow the CD90.7.4 OOS Convictions and Withdrawals Posting Report works is:

Once the report has confirmed it has been 11 days and the conviction/withdrawal is either successful or initiated, it then checks to see if any valid negates are found {negates are valid ONLY if SOR has sent a confirmation- all negates returned in error or no response or sent manually will not be considered}. If there has been a confirmed negate within the ’10 day’ period, that conviction or withdrawal is not considered anymore for the report {SOR will not post that conviction/withdrawal}. NOTE: Negates are not being monitored to see if those are posted within 10 days.

If there are no confirmed negates by the 11th day, AAMVA will create a state-to-state history request (SB) and send to the SOR.

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SB Request Sent to SOR

State of RecordState of Inquiry

SOR not respond or SB error?

YES“DHR Not Received”

PresenterPresentation NotesHow the CD90.7.4 OOS Convictions and Withdrawals Posting Report works is: Since there were no confirmed negates for the conviction/withdrawal, AAMVA will create a state-to-state history request (SB) using the ST, DLN, Name, DOB and SSN details from the conviction or withdrawal information and send to the SOR. Once a State-to-State History (SB) request is sent for a conviction or withdrawal, the status of the conviction or withdrawal is not further monitored for reporting purpose. For example, If an error message is received for a conviction or withdrawal after the State-to-State History (SB) request was sent for it, the error message is ignored. Similarly if a valid negate is received for a conviction or withdrawal record after the State-to-State History (SB) request was sent for it, the negate is ignored.

If the SOR does NOT respond or respond fully or if there is an SB/HB error, that conviction or withdrawal is put into the ‘No DHR Received’ tab. Since we are unable to determine if the conviction or withdrawal is posted, we created this separate tab for the SOR to look into further to determine if the conviction or withdrawal has been posted.

If the DHR is received by the SOR, AAMVA will compare the information provided in the Driver History Response with the conviction or withdrawal records.

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Compare History with Conviction/Withdrawal

Conviction Elements for ComparisonJurisdiction Code

Citation Date

Conviction Date

Conviction Jurisdiction Court Report ID

State of Conviction Jurisdiction Offense Code

Conviction Offense ACD Code

Withdrawal Elements for ComparisonJurisdiction Code

Withdrawal Jurisdiction Report ID

Withdrawal Effective Date

Withdrawal Type

Withdrawal Reason Code

Withdrawal Reason Reference

PresenterPresentation NotesHow the CD90.7.4 OOS Convictions and Withdrawals Posting Report works is:

Once the DHR is received by the SOR, AAMVA will compare the information provided in the Driver History Response with the conviction or withdrawal records.

Below are the conviction data elements used for comparison:Jurisdiction Code; Citation Date; Conviction Date; Conviction Jurisdiction Court Report ID; State of Conviction Jurisdiction Offense Code; Conviction Offense ACD Code

Below are the withdrawal data elements used for comparison:Jurisdiction Code; Withdrawal Jurisdiction Report ID; Withdrawal Effective Date; Withdrawal Type; Withdrawal Reason Code; Withdrawal Reason Reference

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Outcomes of ComparisonConviction/Withdrawal Match Does NOT show in report

Conviction/Withdrawal Does Not Match or Not Found in DHR

Show in the OOS Convictions Posting/OOS Withdrawals Posting

tabs

Error on Conviction/Withdrawal in DHR

Show in the OOS Convictions Posting/OOS Withdrawals Posting

tabs

State-to-State History (SB) Request Returned in Error from SOR Show in the No DHR Received tab

State-to-State History (SB) Request Returned with (H3) or (H5) missing Show in the No DHR Received tab

PresenterPresentation NotesHow the CD90.7.4 OOS Convictions and Withdrawals Posting Report works is: The following scenarios may be encountered:

Conviction/Withdrawal Match Found- If the fields from the conviction/withdrawal record exactly matches with a conviction/withdrawal record in Driver History Convictions (H3)/Driver History Withdrawals (H5) message, the conviction/withdrawal is determined as posted and does NOT show in the report.

Conviction/Withdrawal Did NOT Match or Not Found in DHR- If the fields conviction/withdrawal information received in the Driver History Convictions (H3)/Driver History Withdrawals (H5) message does not match with the conviction/withdrawal record, the conviction/withdrawal is determined as not posted and WILL show in the “OOS Convictions Posting”/”OOS Withdrawals Posting” tabs.

Errors in Driver History Convictions (H3) Message or Driver History Withdrawals (H5) Message- If any error is encountered in the Driver History Convictions (H3) message or Driver History Withdrawals (H5) message and it cannot be determined if the conviction/withdrawal information present in the Driver History message matches with the conviction/withdrawal information, the conviction/withdrawal is considered to be not part of the driver record and WILL show in the “OOS Convictions Posting”/”OOS Withdrawals Posting” tabs.

State-to-State History (SB) Request Returned in Error from SOR- A state (SOR) may send back the State-to-State History (SB) request in error due to many reasons. If this happens, the report will show the convictions or withdrawals to the ‘DHR Not Received’ tab.

State-to-State History (SB) Request Returned with (H3) or (H5) missing- A state (SOR) may send back the State-to-State History (SB) request with the (H3) or (H5) missing. If this happens, the report will show the convictions or withdrawals to the ‘DHR Not Received’ tab.

NOTE: A conviction or withdrawal is reported only once. No rollover reporting is needed for the convictions and withdrawals that are not posted within the 10-day period.

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SDLA Actions when receiving reportConviction from “OOS Convictions Posting”

SOR needs to ensure ROOSC is posted to DHR

PresenterPresentation NotesOnce the state receives an alert from this report

When the State of Record (SOR) receives this report and there are convictions/withdrawals in the “OOS Convictions Posting”/”OOS Withdrawals Posting” tabs, the SOR should look into why these convictions/withdrawals were not posted to the DHR (either within 10 days or does not match or not there at all); then ensure the convictions/withdrawals are posted correctly to the DHR.

Using the detail in the ‘DHR not Received tab’, the State of Record (SOR) should look into why they did not respond to the State-to-State History (SB) requests sent by AAMVA or why there was an error returned. The SOR should then those convictions/withdrawals are posted correctly to the DHR.

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• Report only delivered to those states that have requested the report

• States who would like to receive the report need to perform Gap Code testing only

• Add new gap code (XZ)

Volunteer States

PresenterPresentation NotesOnly delivered to those states that have requested the report

States who would like to receive the report need to perform Gap Code testing: A new Gap Code (XZ) is needed so that the AAMVA application can send out the State-to-State History (SB) Request directly to the SOR.

The new Gap Code must be added to the Jurisdiction’s UNI table. This will require a around of CERT testing and then go live. (only take a day or two)

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• Gap Code Testing:• New Gap Code (XZ) will be used by AAMVA to send the SB

requests to states

• New gap code must be authorized at the State’s end on their UNI site tables in both CERT and Prod environments

• AAMVA QA will execute 1- 2 test cases to ensure that the state is able to receive the SB request and provide response to AAMVA

• Gap Code testing will only include few cases for states to check:• States have received the convictions/withdrawals & responded back• States have received the SB request sent from the new Gap Code,

after the wait period is over• States are able to provide the driver history response back to AAMVA

Gap Code Testing

PresenterPresentation NotesScope For Gap Code Testing:New Gap Code (XZ) will be used by AAMVA to send the SB requests to states.The New gap code must be authorized at the State’s end on their UNI site tables in both CERT and Prod environments. QA will execute 1- 2 test cases in order to ensure that the state is able to receive the SB request (sent from the new Gap Code) and provide response to AAMVA.The Gap Code testing will only include few cases for volunteer states to check:If the states have received the convictions/withdrawals and responded back.States have received the SB request sent from the new Gap Code, after the wait period is over.States are able to provide the driver history response back to AAMVA.

Note: AAMVA’s UNI team will help the states to add the new Gap Code.Some states may require minimal code changes at their end since it is a Non-standard Jurisdiction Gap code. In this case, the states would need to deploy the code first in the CERT environment. Once the code is tested/verified, the states can deploy the code to production environment.

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Please send email to:

[email protected]

“My state wants to receive the CD90.7.4 Report”

How to request report

PresenterPresentation Notes

mailto:[email protected]

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•Once testing is completed, the report will be implemented for the state

•State will receive the report weekly as part of the CDLIS Report Package (every Tuesday)

What to Expect

PresenterPresentation Notes

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Any concerns/questions on new Report: oWhat is this report telling/showing me?

oWhat actions should I take on this report

Questions on new CDLIS Report

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• Training available for new CDLIS ReportsoCDLIS Reports- Identifying Potential Issues (Part 1 & 2)

• Link to view the course catalogue & enroll: http://aamva.intevista.com

AAMVA Training

PresenterPresentation NotesAAMVA Training

Training available for new CDLIS Reports: CDLIS Reports- Identifying Potential Issues (Part 1 & Part 2)

Link to view the course catalogue & enroll in a session: http://aamva.intevista.com

http://aamva.intevista.com/

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Other Resources• CDLIS Release 5.3 Documentation

• System Specifications• State Procedures Manual• Change Control Document

• ACD (Release 5.1) ManualDocumentation available from AAMVA Website: www.aamva.org

• FMCSRsFind FMCSA Regulations on FMCSA Website:

https://www.fmcsa.dot.gov/regulations/title49/b/5/3

http://www.aamva.org/https://www.fmcsa.dot.gov/regulations/title49/b/5/3

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PresenterPresentation NotesAny final questions?

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Contact Information:

Jessie Rogers

[email protected]

(703) 908-8264

PresenterPresentation NotesFor more information or if you have any questions/comments/suggestions, please contact me (Jessie Rogers) at [email protected] or 703-908-8264.

mailto:[email protected]

Slide Number 1AgendaPresenterSlide Number 4384.225 (c)(1) FMCSRPurpose of ReportBenefits of Report�OOS Convictions & Withdrawals �Posting Report��OOS Convictions & Withdrawals �Posting Report��OOS Convictions & Withdrawals �Posting Report��OOS Convictions & Withdrawals �Posting Report��OOS Convictions & Withdrawals �Posting Report��How it Works: �OOS Convictions & Withdrawals Posting Report��How it Works: �OOS Convictions & Withdrawals Posting Report��How it Works: �OOS Convictions & Withdrawals Posting Report��How it Works: �OOS Convictions & Withdrawals Posting Report��How it Works: �OOS Convictions & Withdrawals Posting Report��SDLA Actions when receiving report��Volunteer States�Gap Code TestingHow to request reportWhat to ExpectQuestions on new CDLIS ReportAAMVA TrainingOther ResourcesSlide Number 26Slide Number 27

cd90.7.4 out-of-state convictions & withdrawals posting …...posting report this is a mockup of the...

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