Enforcement: Company Resolution Management

1. FMCSA Portal Enforcement: Company Resolution Management Prioritization Release x, Month Year v1.5

2. Training Objectives • The training objective for this module is to show Enforcement users how to process Company Resolutions associated with Failed Safety Audits, Expedited Actions, Cooperative Safety Plans (CSP) and Serious Violations • The Manage Failed Safety Audit functionality includes: • Searching for companies within a Service Center who have failed a Safety Audit • Reviewing and providing a decision on Corrective Action Plans • Reviewing and providing a decision on Extension Requests • Reviewing and providing a decision on Administrative Reviews • Downloading and Printing a list of companies who have failed a Safety Audit

3. Training Objectives (cont’d) • The Manage Expedited Actions functionality includes: • Searching for companies within a Service Center who received an Expedited Action • Reviewing and providing a decision on Corrective Action Plans • Canceling an Expedited Action due to Material Error • Downloading and Printing a list of Companies who received an Expedited Action • The Manage Follow-On Activity functionality includes: • Searching for the Investigations by Company to access the functionality for processing or reopening a Cooperative Safety Plan • Querying and viewing a list of Companies that have submitted a Cooperative Safety Plan in response to an Investigation where issues were found • Enforcement Users can sort, filter, print and download the returned list of Companies

4. Training Objectives (Cont’d) • The Process Cooperative Safety Plan functionality includes: • Receiving a Cooperative Safety Plan • Reviewing and providing a decision on a Cooperative Safety Plan • Modifying an existing Cooperative Safety Plan record • Reopening and modifying a previously closed Cooperative Safety Plan record • The Record Serious Violation Resolution functionality includes: • Searching for companies that have Serious Violations requiring resolution • Downloading and Printing the returned list of Companies with Serious Violations • Downloading, printing, sorting and filtering the list of Serious Violations for a Company • Recording the resolution of Serious Violations detected during an Investigation for a specific Company • Reopening and modifying a previously resolved Serious Violation for a company

5. Introduction to Manage Failed Safety Audits • The Manage Failed Safety Audit functionality allows Enforcement users with the appropriate roles within the Service Center to manage the review and approval of Corrective Action Plans, Extension Requests and Administrative Reviews • The Manage Failed Safety Audit functionality allows Enforcement users with the appropriate roles to: • Search for Companies who failed a Safety Audit by USDOT# or Advanced Search • Receive, Review and Approve Corrective Action Plans • Receive, Review and Approve Extension Requests • Receive, Review and Approve Administrative Requests • Print or Download the list of Companies who failed a Safety Audit

6. Accessing Manage Failed Safety Audits • The Manage Failed Safety Audit functionality is accessed by selecting Manage Failed Safety Audits under the Resolution Management menu on the Enforcement home page • To access Manage Failed Safety Audit functionality • Select “Resolution Management” • Select “Manage Failed Safety Audits

7. Company Search • The first step in the Manage Failed Safety Audit process is to search for one or more companies to process a Corrective Action Plan, Extension Request or Administrative Review Request • Enforcement users can search for the companies by simply entering the company’s USDOT # or by using the Advanced Search option when the USDOT# is not known • The Advanced Search includes MC/MX #, Company Name, State, Country or Postal Code • Advanced Search supports wild card searches for starts with, ends with and contains as well as combined search parameters using the operators “and” and “or”

8. Company Search (Cont’d) • To search for a company who failed a Safety Audit by USDOT#: • Enter the “USDOT#” • Click “Submit” • Enforcement users are presented with the results in the Search Results grid

9. Company Search (Cont’d) • To search for companies who failed a Safety Audit by Advanced Search: • Click “Advanced Search” • Enter your Search Criteria • Search Criteria may include a combination of the MC/MX #, Company Name, State, Country or Postal Code • Click “Find Results” • Enforcement users are presented with the Search Results for the entered company search criteria

10. Company Search (Cont’d) • Enforcement users have the option of filtering their view of the Manage Failed Safety Audit Company Search Results by Failed Safety Audits, Pending Corrective Action Plans or Rejected Corrective Action Plans

11. Download Company Search Results • Enforcement users have the option to download a list of companies who failed a Safety Audit into an Excel spreadsheet • To download the list of companies into an Excel spreadsheet • Click “Download List”

12. Print Company Search Results • Enforcement users have the option to Print a list of companies who failed a Safety Audit • To print the list of companies who failed a Safety Audit • Click “Print List”

13. Receive Corrective Action Plan • Enforcement users with the appropriate role, can record the receipt of a Corrective Action Plan • To enter the Received Date of the Corrective Action Plan • Click “Receive CAP”

14. Receive Corrective Action Plan (Cont’d) • On the Process CAP Receive page, Enforcement users can enter the “CAP Received Date” This can be a date in the past

15. Review Corrective Action Plan • Enforcement users with the Review Corrective Action Plan role, can Review the Corrective Action Plan • To begin the Review of the Corrective Action Plan • Click “Review CAP”

16. Review Corrective Action Plan (Cont'd) • On the Process CAP Review page, Enforcement users with Review Corrective Action Plan role can provide their recommendation based on the evidence provided by a company

17. Approve Corrective Action Plan • Enforcement users with the Approve Corrective Action Plan role, can approve the Corrective Action Plan • To begin the approval of the Corrective Action Plan • Click “Approve CAP”

18. Approve Corrective Action Plan (Cont’d) • On the Process CAP Approval page, Enforcement users can provide their disposition based on the evidence provided by a company

19. Extension Request • Enforcement users with the appropriate role, can provide their recommendation or approval of an Extension Request • To begin the review or approval of an Extension Request • Click “Receive/Review Ext. Request” or “Receive/Approve Ext. Request”

20. Receive/Review Extension Request • On the Process Extension Request Review page, Enforcement users with the Review Corrective Action Plan role may record the receipt of an Extension Request, their Recommendation and the recommended number of days for the extension request • HazMat and Passenger Carriers can receive an extension request of a maximum of 10 days, while all other carriers can receive an extension request for a maximum of 60 days

21. Receive/Approve Extension Request • On the Process Extension Request Approve page, Enforcement users with the Approve Corrective Action Plan role may record the receipt of an Extension Request, their Decision and the number of days for the extension request • HazMat and Passenger Carriers can receive an extension request of a maximum of 10 days, while all other carriers can receive an extension request for a maximum of 60 days

22. Receive/Approve Administrative Review Request • Enforcement users with the appropriate role, can provide their decision of an Administrative Review Request • To begin the Administrative Review Request approval process • Click “SA Review”

23. Receive/Approve Administrative Review Request • Enforcement users with the appropriate role, can record the receipt of an Extension Request • To enter the Received Date of the Corrective Action Plan • Click the “Receive/Review” or “Receive/Approve”

24. Introduction to Manage Expedited Actions • The Manage Expedited Actions functionality allows Enforcement users with the appropriate roles within the Service Center to manage the review and approval of Corrective Action Plans and cancellations due to material error • The Manage Expedited Actions functionality allows Enforcement users with the appropriate roles to: • Search for Companies who received an Expedited Action by USDOT#, Inspection ID or Advanced Search • Receive, Review and Approve Corrective Action Plans • Cancel Expedited Actions Due to Material Error • Print or Download the list of Companies who received an Expedited Action

25. Accessing Manage Expedited Actions • The Manage Expedited Actions functionality is accessed by selecting Manage Expedited Actions under the Resolution Management menu on the Enforcement home page • To access the Manage Expedited Actions functionality • Select “Resolution Management” • Select “Manage Expedited Actions”

26. Company Search • The first step in the Manage Expedited Actions process is to search for one or more companies to process a Corrective Action Plan or cancellation due to material error • Enforcement users can search for the companies by simply entering the company’s USDOT # or by using the Advanced Search option when the USDOT# is not known • The Advanced Search includes MC/MX #, Company Name, State, Country or Postal Code • Advanced Search supports wild card searches for starts with, ends with and contains as well as combined search parameters using the operators “and” and “or”

27. Company Search (Cont’d) • To search for a company who received an Expedited Action by USDOT# or Inspection Report Number: • Enter the “USDOT#” or “Inspection Report Number” • Click “Submit” • Enforcement users are presented with the results in the Search Results grid

28. Company Search (Cont’d) • To search for companies who received an Expedited Action by Advanced Search: • Click “Advanced Search” • Enter your Search Criteria • Search Criteria may include a combination of the MC/MX #, Company Name, State, Country or Postal Code • Click “Find Results” • Enforcement users are presented with the Search Results for the entered company search criteria

29. Download Company Search Results • Enforcement users have the option to download a list of companies who received an Expedited Action into an Excel spreadsheet • To download a list of companies who received an Expedited Action into an Excel spreadsheet • Click “Download List”

30. Print Company Search Results • Enforcement users have the option to Print a list of companies who received an Expedited Actions • To print the list of companies who received an Expedited Action • Click “Print List”

31. Receive Corrective Action Plan • Enforcement users with the appropriate role, can record the receipt of a Corrective Action Plan • To enter the Received Date of the Corrective Action Plan • Click “Receive CAP”

32. Receive Corrective Action Plan (Cont’d) • On the Process CAP Receive page, Enforcement users can enter the CAP Received Date This can be a date in the past

33. Review Corrective Action Plan • Enforcement users with the Review Corrective Action Plan role, can Review the Corrective Action Plan • To begin the Review of the Corrective Action Plan • Click “Review CAP”

34. Review Corrective Action Plan (Cont'd) • On the Process CAP Review page, Enforcement users with Review Corrective Action Plan role can provide their recommendation based on the evidence provided by a company

35. Approve Corrective Action Plan • Enforcement users with the Approve Corrective Action Plan role, can approve the Corrective Action Plan • To begin the approval of the Corrective Action Plan • Click “Review CAP”

36. Approve Corrective Action Plan (Cont'd) • On the Process CAP Approval page, Enforcement users can provide their disposition based on the evidence provided by a company

37. Cancel Expedited Action Due to Material Error • Enforcement users with the Approve Corrective Action Plan or Cancel Expedited Actions role, may cancel an Expedited Action due to a material error • To begin the Expedited Action cancellation process • Click “Cancel EA”

38. Cancel Expedited Action Due to Material Error (Cont’d) • Enforcement users with the with Approve Corrective Action Plan or Cancel Expedited Action roles have the option to cancel an inspection associated to an expedited action or a violation associated to an inspection associated to an expedited action

39. Introduction to Manage Follow-On Activity • The Manage Follow-On Activity functionality provides Enforcement Users access to process the Cooperative Safety Plan (CSP) functionality • The Manage Follow-On Activity functionality allows Enforcement users to: • Search for Investigations by Company to access the functionality for processing or reopening Cooperative Safety Plans • View a list of Companies that have submitted a Cooperative Safety Plan in response to an Investigation where issues were found • Sort, filter, print and download the returned list of Companies

40. Accessing Manage Follow-On Activity • The Manage Follow-On Activity functionality is accessed by selecting Manage Follow-On Activity under the Resolution Management menu on the Enforcement home page • All Enforcement users will have access to the Manage Follow-On Activity menu option

41. Company Search • The first step in the Manage Follow-On Activity process is to search for one or more Investigations to process a Cooperative Safety Plan for a Company • Enforcement users can search for companies by entering the company’s USDOT # or by using the Advanced Search option when the USDOT# is not known • The Advanced Search includes MC/MX #, Company Name, State, Country, Postal Code and the Investigation Completion Date Range • Advanced Search supports wild card searches for starts with, ends with and contains as well as combined search parameters using the operators “and” and “or”

42. Company Search (Cont’d) • To search for Investigations to process a Cooperative Safety Plan submitted by a Company by USDOT# : • Enter the USDOT# • Click “Submit” • Enforcement users are presented with the results in the Search Results grid

43. Company Search (Cont’d) • To search for Investigations to process Cooperative Safety Plan submitted by a Company by Advanced Search: • Click “Advanced Search” • Enter your Search Criteria • Search Criteria may include a combination of the MC/MX #, Company Name, State, Country, Postal Code and / or Investigation Completion Date Range • Click “Find Results” • Enforcement users are presented with the Search Results for the entered company search criteria

44. Company Search (Cont'd) • Enforcement users will have the option to filter the Investigation search results by Cooperative Safety Plan Status: All (Default), Open, Received, Closed or Not Submitted • Select the “Cooperative Safety Plan Status” • The search results are restricted based on Cooperative Safety Plans assigned to an Assignee for review or the division or service center of the Enforcement user’s role

45. Back to Company Search Results • Enforcement users have the option to return to the search options and the company search results • To return to the search options and company search results • Click “Back to Search”

46. Download Company Search Results • Enforcement users have the option to download a list of Investigations into an Excel Spreadsheet • To download the list of companies into an Excel spreadsheet • Click “Download List”

47. Print Company Search Results • Enforcement Users have the option to print a list of companies who submitted a Cooperative Safety Plan • To print the list of companies who submitted a Cooperative Safety Plan • Click “Print List”

48. Introduction to Process Cooperative Safety Plan • The Process Cooperative Safety Plan functionality allows Enforcement users to receive, manage the review, provide a decision and modify an existing Cooperative Safety Plan record. Additionally Enforcement users have the option to reopen and modify a previously closed Cooperative Safety Plan record. • The Process Cooperative Safety Plan functionality allows Enforcement users to: • Receive a Cooperative Safety Plan • Review and provide a decision on a Cooperative Safety Plan • Modify an existing Cooperative Safety Plan record • Reopen and modify a previously closed Cooperative Safety Plan record

49. Accessing Process Cooperative Safety Plan • The Process Cooperative Safety Plan functionality can be accessed in two different ways: • Selecting the option from the Manage Follow-On Activity functionality • Selecting the option from the View Assignments for an Individual functionality • Selecting the option from the Manage Follow-On Activity functionality • Select “Process Cooperative Safety Plan”

50. Accessing Process Cooperative Safety Plan (Cont'd) • Selecting the option from the View Assignments for an Individual functionality • Select “Process Cooperative Safety Plan”