Appendix I – NYS DMV Requirements New York State Law Enforcement Records Management System Electronic Ticket/Accident Reporting Specifications (Sept. 2007) New York State Department of Motor Vehicles New York State Police New York State Office of Court Administration RFP22798 Page 1 of 207 Electronic Ticket/Accident Reporting Specifications Table of Contents Policy For Electronic Tickets and Accident Reports 3 New York State Police TraCs User Agreement 6 Certification Process 9 Post-Certification 10 Tickets 11 Ticket Algorithm 11 Data Input Schema 12 Sample TSLED XML File 15 TSLED Data Elements 20 Sample Adjudication XML File 81 Adjudication Data Elements 86 Accidents 149 Accident Report Case Number 149 Data Input Schema 150 Sample XML File 156 Accident Report Data Elements 161 Exceptions Handling 186 New York Driving License 2D Barcode Format 187 New York State Registration Barcode Format 195 Attachment A- Context Diagram 202 Attachment B- Agency and Vendor Contact Information 203 Attachment C- TraCS Local Lead Agencies 205 Page 2 of 207 Electronic Ticket/Accident Reporting Specifications Policy For Electronic Tickets and Accident Reports From New York State Police Agencies To New York State Police New York State Department of Motor Vehicles and New York State Office of Court Administration The New York State Police (NYSP), the New York State Department of Motor Vehicles (DMV), the Office of Court Administration (OCA) and other state and federal agencies, have developed a system for the electronic transmission of ticket and accident report data from law enforcement agencies to DMV and the courts. Data standards for ticket and accident report data have been agreed to between agencies for the electronic transfer of data and are available to participating agencies. 1. In order to be certified for participation each police agency must adhere to the following requirements. Failure to do so will result in certification being withdrawn. The police agency must: a. Complete testing of their data transmission before being allowed to send accident or ticket records electronically. Each agency will be certified by DSP and DMV prior to sending live production records. b. Maintain all parts of the electronic ticket and accident application under their control. The portion of the system “under agency control” includes:  The application conforming to the State Police, DMV and OCA data requirements (e.g. edits, violation codes, tables, ticket and accident report formats).  The police agency’s connection to DMV and OCA provided by the State Police.  The ability to receive and correct data errors identified and returned to the police agency by either the State Police or DMV. “Maintenance” generally means support, upkeep, repair and periodic duplication or “back-up” of records in order to safeguard the data. The police agency will take reasonable measures to prevent or correct system trouble with any portion of the system “under their control”. If the police agency determines any system trouble to be under NYSP or DMV control, it will notify and work with the proper NYSP representative. Page 3 of 207 Electronic Ticket/Accident Reporting Specifications 2. The police agency agrees: a. To abide by the applicable provisions set forth in the NY State Police TraCS User Agreement. (NOTE: The TraCS User Agreement was developed by the State Police to cover police agencies using the TraCS application. Signing this agreement does not obligate the agency to employ the TraCS application, but it does allow the agency to transmit data using the New York State Police infrastructure.) b. To electronically transfer ticket data to and from DMV and the courts and to print and forward paper copies of tickets where courts are not yet ready to receive electronic data online. c. To have their ticket and accident application software updated in a timeframe mutually agreeable to the parties, as required by state or federal agencies or mandated by changes to state and/or federal law. d. To have all printed ticket and accident report forms conform to the DMV standards, and to update the forms as required in a timeframe mutually agreeable to the parties. e. To correct error records returned to the police agency. f. To manage, support and ensure security is properly implemented within their system. g. To ensure that records are maintained in compliance with the Driver’s Privacy Protection Act (DPPA.) h. To designate a primary point of contact for all communication with state agencies. 3. DMV agrees: a. To provide police agencies or their designee with updates to edit criteria, violations codes, tables, ticket and accident forms, and changes to the NYS Vehicle and Traffic Law or to Federal laws that impact the writing of traffic tickets or collection of accident data. b. To provide limited telephone support to answer questions during the initial setup and transmission of data through the State Police network to the Department of Motor Vehicles. c. To provide program documentation:  Policy  XML  Edits  Transmission Certification Procedure  Contact Information Page 4 of 207 Electronic Ticket/Accident Reporting Specifications ---------------------------------------------------------------------------------------------------------- The Police Agency agrees that they have read and will abide by the above policy: Police Agency ____________________________ By: (signed name and title) (Printed name and title) _________________________ Date _________________________ Return the completed form to: NYS Dept. of Motor Vehicles Program Analysis 6 ESP, Room 530 Albany, New York 12228 Attention: Electronic Ticket/Accident Reporting Coordinator Page 5 of 207 Electronic Ticket/Accident Reporting Specifications New York State Police TraCs User Agreement TraCS USE AND DISSEMINATION AGREEMENT Between New York State Police, the Lead Agency _____________________________, and _________________, herein after referred to as the “Participating Agency” WHEREAS: New York State Police (NYSP), working with the New York State Department of Motor Vehicles (DMV), the Governor’s Traffic Safety Committee (GTSC), the Office of Court Administration (OCA) and other state and federal agencies, has developed a system for the electronic capture of ticket and accident report data in a police vehicle environment and the electronic transfer of that data from law enforcement agencies to DMV and courts. The system is called TraCS (Traffic and Criminal Software). Ticket and accident report forms have been developed and other law enforcement forms are planned for the future. DMV and the courts have approved these forms for official use. Data standards for ticket and accident report data have been agreed to between agencies for the electronic transfer of data. NYSP has developed an infrastructure and a limited capacity for local support. It is the intention of NYSP to provide the TraCS software to any police agency in New York free of charge, based on NYSP support staff availability and the Lead Agency’s ability to self- support. NOW THEREFORE, in consideration of the terms and conditions herein contained, the parties agree as follows: 1. NYSP agrees to provide the current version of TraCS software (includes ticket, accident report and associated forms) to the Lead Agency at no cost to the Lead Agency. 2. This Agreement will become effective upon proper execution and will remain in effect for the duration of the program, unless sooner terminated in accordance with the provisions of this Agreement. 3. This Agreement constitutes the entire Agreement between the parties hereto with respect to the subject matter hereof and shall supersede all previous negotiations, comments and writings. It shall not be released, discharged, changed or modified except by an instrument in writing signed by a duly authorized representative of each of the parties. 4. Each agency agrees: Maintenance To maintain all parts of the TraCS System under their control. The portion of the system “under agency control” includes:  The hardware and operating system associated with the in-vehicle equipment  The hardware and operating system associated with the in-station TraCS computer. Page 6 of 207 Electronic Ticket/Accident Reporting Specifications  Backup & restoration of all system and production ticket and/or accident report data. “Maintenance” generally means support, upkeep, repair and periodic duplication or “back-up” of records in order to safeguard the data. The Lead Agency will take reasonable measures to prevent or correct system trouble with any portion of the system “under their control”. If the Lead Agency determines any system trouble to be under NYSP control, it will notify and work with the proper NYSP representative. 5. The Participating Agency agrees: 1. This agreement is only for the use of TraCS by the Participating Agency. TraCS software will not be distributed beyond the Participating Agency without written approval from NYSP. 2. To abide by the provisions of the TraCS Users Agreement. 3. To not alter the form(s) and TraCS database in any way without express written approval from NYSP and DMV. 4. To not introduce custom system enhancements during the Participating Agency implementation. 5. To contact the Lead Agency for all assistance with the implementation and use of the TraCS software. 6. To support reports, queries, ticket logs and any other analysis of the ticket data. 7. To coordinate the use of TraCS with local courts. However, the State Police will coordinate the assistance and response of OCA (Office of Court Administration) and DMV personnel to attend these meetings. 8. The TraCS system will be used for data entry and the electronic transfer of ticket data to and/or from DMV and the courts and the printing of ticket forms where courts are not yet online to receive electronic data. 9. Whereas a court is not yet able to accept electronic ticket data, to be responsible for printing and forwarding ticket copies to the appropriate court unless arrangements are made with individual agencies to print their own tickets and forward them to courts not yet ready to receive electronic data. 10. To supply equipment for use with the TraCS system, with the exception of any NYSP participation in the area. NYSP agrees that all NYSP equipment will be purchased, installed and supported by NYSP unless equipment is purchased by an entity for use by all agencies within a county or region. 11. To manage, support and ensure security is properly implemented within TraCS. 6. NYSP agrees: 1. To review, prioritize and schedule change requests for inclusion in future software releases. Change requests for “bug” fixes, system enhancements, form enhancements and routine change requests such as court address changes shall be directed to NYSP. Any enhancement that requires funding will be the responsibility of the Lead Agency to obtain the necessary financing and if the enhancement benefits multiple agencies, then the State Police will attempt to also obtain funding. No matter where funding comes from, NYSP and /or its contractors will make all changes to TraCS. Once Page 7 of 207 Electronic Ticket/Accident Reporting Specifications TraCS begins statewide rollout, a TraCS steering committee shall be formed to prioritize TraCS enhancements, functionality requests, issues, etc. 2. Whereas each agency will have the opportunity to participate in the electronic transfer of data, via the NYSPIN infrastructure, to a gateway server in Albany (NYSP). This data will then be transferred to DOT, DMV, OCA, etc. for processing. 7. Both parties agree: 1. To develop a process for forms development by New York State agencies. 2. Representatives on the TraCS steering committee shall only be from agencies that have signed this agreement. 3. NYSP is the sole contractor and sole contact agency with Technology Enterprise Group, approved vendor of the TraCS system. 4. NYSP is the sole contractor with the Center for Transportation Research and Education at Iowa State University, approved vender of the CTRE Location Tool used in the TraCS system. IN WITNESS WHEREOF, the Participating Agency, the Lead Agency and the NYSP have executed this Agreement in triplicate: Participating Agency ____________________________ By: (signed name and title) (Printed name and title) _________________________ Lead Agency ____________________________ By: (signed name and title) (Printed name and title) _________________________ New York State Police By: (signed name and title) (Printed name and title) _________________________ Return the completed application form to: Michael Rubinstein New York State Police TraCS Local Agency Coordinator Bldg 22, 1220 Washington Ave Albany, NY 12226-2252 518.457.7040 [email protected] www.tracs.troopers.state.ny.us Page 8 of 207 Electronic Ticket/Accident Reporting Specifications Certification Process The following are the preliminary steps: DSP has received the signed user agreement DMV has received the signed Applicant Organization form DMV has received the completed Vendor Information form DMV has received the signed policy agreement Once these have been completed, the certification process can start Once the user agreement has been signed and received by the State Police, they will work with the local agency to help them set up the test/certification environment. The first step to validation will be for the local agency to install TraCs on a local PC. This will allow the local agency to enter the same ticket or accident information in TraCs that is entered in their application and to compare the XML created by both. Once the XML is an exact match to the TraCs XML, the certification process with DSP and DMV can begin by contacting… State Police  Verify Communications / Firewall issues with the State police o Send File to State Police to test server setup and communications o State Police will verify results  Validate XML data o State Police will manually run file through test environment o State Police will post errors on test web site.  Process continues until State Police signs off DMV  State Police passes file to DMV for validation (DMV passes on to OCA for parallel validation.) o Same communication as all other file transfers  Validation with DMV o Police Agency must send copies of its printed Ticket, Simplified Traffic Information /Conviction Certificate and Accident Report forms to DMV for certification. o DMV runs file through appropriate test process (TSLED/ADJ/Accidents) o DMV will communicate errors back to the State Police to be posted on the test Web site  Process continues until DMV signs off  Police Agency must send copies of its printed Ticket, Simplified Traffic Information /Conviction Certificate and Accident Report forms to DMV for certification. OCA  DMV passes file to OCA for validation o Same communication as all other file transfers  Validation with OCA Page 9 of 207 Electronic Ticket/Accident Reporting Specifications o OCA runs file (minimum 25 tickets) through appropriate test process (TSLED/ADJ) o OCA validates file against Simplified Traffic Information /Conviction Certificate (paper or .pdf)  Process continues until OCA signs off DOT (Accident Reports only)  State Police passes file to DOT for validation o Same communication as all other file transfers  Validation with DOT o DOT runs file through appropriate test process (Accidents)  Process continues until DOT signs off Post-Certification After initial certification for the transmission and acceptance of electronic tickets, the police agency will be monitored for six months and will then receive a performance evaluation. Twelve months after initial certification the police agency will again be evaluated for Re- Certification to determine if they have met the following two conditions: I. Acceptable Error Rate --The police agency must maintain an acceptable error rate for transmitted tickets, and for accident reports when those are transmitted. The error rate (percentage of records rejected by DMV and returned to the police agency by way of the NYSP) must be equal to or lower than 3%. Certification will be revoked if the acceptable error rate standard is not maintained. II. Electronic Accident Reports-- While the certification of electronic tickets may occur first, it is expected that an agency’s software will be able to transmit police accident reports electronically. Certification of electronic accident reports will be expected by the time of the Re-Certification process, twelve months after the initial ticketing certification. Failure to attain certification for accident reports will result in revocation of certification for tickets. Page 10 of 207