Enforcement: Making Assignments

1. FMCSA Portal Enforcement: Making Assignments Prioritization Phase II Release, Month Year v1.8

2. Training Objectives • Introduce the functionality for Making Assignments • Understand how Enforcement users can utilize the two-step process for making assignments including: • Step One - Search for Companies • By Assignment Type, USDOT# or Advance Search options • By Prioritization List • With the option to utilize additional Filter Criteria • Saving one or more customized queries • Step Two – Make Assignments • Customizing the company results grid view • Downloading and printing company results • Accessing Company Information and Company Activity details • Making, modifying and removing existing assignments

3. Introduction to Making Assignments • The Make Assignments functionality allows Assignors to make Intervention, Safety Audit and Corrective Action Plan Review assignments based on their specific roles • The Division Organization Coordinator will administer and approve requests for the assignment roles within the Division • Individual users can be allowed full or restricted access to assignment functionality based on the Division policies and requirements • The Make Assignments functionality allows Assignors to search by • Selecting an Assignment Type then entering a specific USDOT# or selecting and entering Advance Search options • Selecting a pre-defined Prioritization List with or without optional filters • The Make Assignments functionality allows Assignors to • Assign a single Company to an Individual to conduct an assignment • Assign a group of Companies to an Individual to conduct an assignment • Modify and remove existing assignments

4. Accessing the Make Assignments Functionality • The Make Assignments functionality is accessed by selecting Make Assignments under the Assignments menu on the Enforcement home page • Only Enforcement users with the appropriate roles to make assignments will be able to access make assignments functionality

5. Search for Companies – Search by Company • Step one of the Assignment process is to search for one or more companies that require Intervention, Safety Audit or Corrective Action Plan Review Assignments • Assignors who want to make an assignment for one particular company can bypass the Prioritization List search options and search for a company by its USDOT# or selecting “Advanced” and entering other search criteria for the Company

6. Search for Companies – Search by Company (Cont’d) • To ‘Search by Company’: • Select the tab “Search for Companies” • Select the option “Search by Company” • Select the applicable “Assignment Type” from the drop-down list • Enter the Company’s USDOT# or select “Advanced” to enter other search criteria • Click “Search”

7. Searching for Companies – Search by Prioritization List • Performance, Characteristic and Action based specific searches resulting in a list of companies can be conducted using the Search by Prioritization List functionality • Prioritization List search results will only list companies in the division in which the Assignor is authorized to make assignments • Assignors have the capability to search for companies by selecting multiple Assignment Types and Prioritization Lists • Assignors have the option of selecting “Exclude Companies with Existing Assignments”. By selecting the “Exclude Companies with Existing Assignments”, companies with existing assignments will be excluded and not included in the companies results grid.

8. Searching for Companies – Search by Prioritization List (Cont’d) • To ‘Search by Prioritization List’: • Select the tab “Search for Companies” • Select the option “Search by Prioritization List” • Select the applicable “Prioritization List” • To exclude Companies with existing assignments, check the box “Exclude Companies with Existing Assignments” • Click “Search”

9. Search by Prioritization List – Optional Filter Criteria • Assignors may utilize the Optional Filter Criteria fields at the bottom of the page to apply additional search criteria to further constrain the search results • The available search fields at the bottom of the page will change according to the type of Assignment and Prioritization List selected

10. Optional Filter Criteria - Location • The Location Filter Criteria is available for all Prioritization Lists and allows Assignors to constrain their search results to companies within a specific geographical location • The option for filtering search results by ‘Contacted FMCSA’ is presented when the Safety Audit Assignment Type is selected. The ‘Contacted FMCSA’ option allows Assignors to search for companies that have contacted FMCSA to schedule their Safety Audit

11. Optional Filter Criteria - BASICs • The BASICs tab allows Assignors to constrain their search results to companies by their Safety Performance and Ratable Reviews • The BASICs Filter Criteria is available only for Prioritization Lists of the Assignment Type “Intervention”

12. Optional Filter Criteria - Company Operations • The Company Operations tab allows Assignors to constrain their search results by company operation specifics • The Company Operations Filter Criteria is available only for Prioritization Lists with of the Assignment Type “Intervention”

13. Optional Filter Criteria - Assignment • The Assignment tab allows Assignors to constrain their search results based on existing assignments • The Assignment tab is not displayed when the ‘Exclude Companies with Existing Assignments’ option is selected • The Assignment Filter Criteria is available for all Prioritization Lists

14. Optional Filter Criteria - Cargo Tank • The Cargo Tank tab allows Assignors to constrain their search results by a company’s registered cargo tank facility information • The Cargo Tank Filter Criteria is available only for the Cargo Tank Prioritization List

15. Optional Filter Criteria – Corrective Action Plan • The Corrective Action Plan tab allows Assignors to constrain their search results by the date a Corrective Action Plan was received or an Extension Request granted • The Corrective Action Plan Filter Criteria is only available for the Corrective Action Plan Review Prioritization List

16. Customized Company Search Queries • As Assignors select Prioritization Lists and Optional Filter Criteria, the selections are listed in the Criteria Summary view • Assignors have the option to create and save one or more reusable customized queries to search for companies requiring an assignment • Assignors can also set a customized query as their default

17. Customized Company Search Queries (Cont’d) • To ‘Save’ the selected criteria • Click the button “Save” • Enter a ‘Name’ for the customized query • To make the customized query the default query • Select the query • Check the box “Default” • By selecting a default query, the system automatically retrieves the default criteria when navigating to the Make Assignment functionality and bypasses the step to search for companies

18. Company Search Results • Step two of the Assignment process is to select companies from the list of matching companies produced by the search and assign an individual to conduct an assignment • If the ‘Exclude Companies with Existing Assignments’ option was not selected during Step 1, all companies that match the search criteria are listed whether they have existing Assignments or not • Assignors have the option of selecting “Exclude Companies with Existing Assignments” followed by clicking the “Refresh” button to remove existing assignments from the company results grid • The company results grid is customizable, can be downloaded into an Excel spreadsheet and are printable.

19. Company Search Results (Cont’d) Select “Exclude Companies with Existing Assignments” followed by clicking the “Refresh” button to remove existing assignments from the company results grid Downloadable, Printable and Customizable

20. Customize the Company Search Results • Assignors have the option of customizing the view of the companies which matched the entered search criteria within the Company results grid • The customized view can be saved as the Assignor's default view for future Portal sessions Click Column Title to Sort Click and drag dotted rectangle to resize column

21. Customize the Company Search Results (Cont’d) • Assignors can show or hide the columns they would like to appear in the companies results grid • The default and optional columns that are available for selection, varies by Assignment Type (Intervention, Safety Audit, Corrective Action Plan Review) “Right Click” a column title to produce a menu of options to show or hide columns to display. “Check the boxes” to display, “uncheck boxes” not to display Finish customizing, click “Save” under the “Layout” menu to access the customized view in the future

22. Download Company Search Results • Assignors have the option of downloading the list of matching companies to an Excel spreadsheet • To download the list with only those columns currently selected for viewing in the Company results grid • Click “Selected Columns” under the Download menu • To download the list with all columns (even those optional columns not currently selected for viewing in the Company results grid) • Click “All Columns” under the Download menu

23. Print Company Search Results • Assignors have the option of printing the list of matching companies • To print the current list of assignments displayed (up to 100 records) with only those columns currently selected for viewing in the Company results grid • Click “Selected Columns” under the Print menu • To print the current list of assignments displayed (up to 100 records) with all columns (even those optional columns not currently selected for viewing in the Company results grid) • Click “All Columns” under the Print menu

24. Viewing Company Information • From the company results grid, Assignors can view a company’s USDOT Registration, Cargo Tank Facility, Hazardous Materials, Operating Authority, BASICs Safety Measurement Summary and Inspection Selection System Information • Click the “Company Information” icon • The Company Information portlet that appears on the Company home page is displayed

25. Viewing Company Activity • From the company results grid, Assignors can view a company’s Crash List, Inspection List, IEP Inspection List, and Intervention List • Click the “Company Activity” icon • The Company Activity portlet that appears on the Company home page is displayed

26. Making Assignments – Single Company • Assignors can select one or more companies from the company results grid for making assignments • To make an assignment for a single company • Select the Company within the company results grid, followed by clicking the icon “Make Assignment” • Enter the assignment details • The “Comment” field is optional and other fields are required based on the type of assignment

27. Making Assignments – Multiple Companies • To make an assignment for multiple companies • Select the Companies within the company results grid using “CTRL+ Left Mouse Click” while highlighting additional companies, followed by selecting “Make” from the Assignment menu • Enter the Assignment Details

28. Making Assignments – Intervention Assignment Distribution Type • For an Intervention assignment, an Assignor has the option of selecting the ‘Assignment Distribution Type’ from a drop-down list

29. Making Assignments – Safety Audit Assignment Distribution Type • For a Safety Audit assignment, an Assignor has the option of selecting the ‘Assignment Distribution Type from a drop-down list

30. Making Assignments – CAP Review Assignment Distribution Type • For a CAP Review assignment, an Assignor has the option of selecting the ‘Assignment Distribution Type’ from a drop-down list

31. Making Assignments – Assignee • Safety Audit and Intervention assignments can be assigned to a specific Safety Auditor or Safety Investigator by entering their SI code • Corrective Action Plan Review assignments can be assigned to a specific Enforcement user using the provided drop down list

32. Making Assignments – Due Date • Assignors have the option of entering a Due Date or to allow the system to default the Due Date based on the Assignment Type • New Entrant Safety Audits and New Entrant related Compliance Reviews, the Due Date will default to the 9 months from the New Entrant Entry Date for Passenger carriers and to the company’s Planned Graduation Date for all other carriers • Corrective Action Plan Reviews, the Due Date will default to the company’s Planned Revocation Date.

33. Making Assignments – Intervention Reason for Assignment • For an Intervention assignment, an Assignor has the option of selecting a ‘Reason for Assignment’ from a drop-down list

34. Making Assignments - Safety Audit Reason for Assignment • For a Safety Audit assignment, an Assignor has the option of selecting a ‘Reason for Assignment’ from a drop-down list

35. Making Assignments – CAP Review Reason for Assignment • For a Corrective Action Plan Review assignment, an Assignor has the option of selecting a ‘Reason for Assignment’ from a drop-down list

36. Making Assignments – Intervention Type • For an Intervention assignment, an Assignor has the option of selecting an ‘Intervention Type’ from a drop-down list

37. Making Assignments – Investigation Type • For an Intervention assignment, an Assignor has the option of selecting an ‘Investigation Type’ from a drop-down list

38. Making Assignments – Intervention Type Deviation Reason • For an Intervention assignment, an Assignor has the option of selecting an ‘Intervention Type Deviation Reason’ from a drop-down list • The Intervention Type Deviation Reason will display and is required if the Intervention or Investigation Type is different than the Recommended Action

39. Making Assignments – Intervention Type Deviation Reason Comment • For an Intervention assignment, an Assignor has the option of using free-form text to enter an ‘Intervention Type Deviation Reason Comment’ • The Intervention Type Deviation Reason Comment is required if the Intervention or Investigation Type Deviation Reason is selected

40. Making Assignments – Intervention Compliant Driven Assignment • For an Intervention assignment, an Assignor has the option of selecting if an assignment is a ‘Compliant Driven Assignment’ by selecting the value from a drop-down list

41. Making Assignments - Comments • Enter any comments regarding the assignment using free-form text in the “Comment” field

42. Making Assignments – Submitting an Assignment • To finalize and submit an assignment • Click the button “OK” • To clear the form of any entered data • Click the button “Cancel”

43. Modifying Assignments • Assignors have the capability of modifying existing assignments • To identify existing assignments: • If the “Assignment Distribution Type” column in the Company results grid is populated with a value, the company has an existing assignment • To modify an existing assignment for a single company: • Select and highlight the record in the Company results grid • Click the icon “Make Assignment” • Change any of the fields to modify the assignment • Click the button “OK” to submit the changes • To modify multiple existing assignments • Select and highlight the records in the Company results grid • Select “Make” under the Assignments menu • Change any of the fields to modify the assignment • Click the button “OK” to submit the changes • When modifying multiple existing assignments, the ‘Make Assignments’ form will appear blank. The Assignor is only required to change the fields that require modification

44. Modifying Assignments (Cont’d)

45. Removing Assignments • Assignors have the capability of removing existing assignments • To remove an existing assignment for a single company: • Select and highlight the record in the Company results grid • Click the “Remove” icon • Enter a “Comment” for the reason for assignment removal • A comment is required to remove an assignment • Click the button “OK” to submit the assignment removal • To remove multiple existing assignments: • Select and highlight the records in the Company results grid • Select “Remove” under the Assignments menu • Enter a comment for the reason for assignment removal • Click the button “OK” to submit the assignment removal

46. Remove Assignments

47. Review • Assignors with an appropriate assignment role can access the ‘Make Assignments’ functionality under the Assignments menu option • Making Assignments is a two-step process • Step One: Search for Companies • By Assignment Type, USDOT# or Advance Search options • By Prioritization List • With the option to utilize additional Filter Criteria • Saving one or more customized queries that can be reused to search for companies requiring an assignment • Step Two: Make Assignments • Assignors can performing the following: • Customize their search results list format and save the results as their default view • Download and print company search results • Access Company Information and Company Activity details for each company within the company results grid • Make, modify, or remove Intervention, Safety Audit or Corrective Action Plan Review Assignments for one or more companies

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