Enforcement: Company Resolution Management

Enforcement:Company Resolution Management

FMCSA Portal

Prioritization Release x, Month Year v1.5

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Training ObjectivesTraining 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

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Training Objectives (cont’d)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

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Training Objectives (Cont’d)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

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Introduction to Manage Failed Safety AuditsIntroduction 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

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Accessing Manage Failed Safety Audits 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

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Company SearchCompany 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”

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Company Search (Cont’d)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

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Company Search (Cont’d)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

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Company Search (Cont’d)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

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Download Company Search ResultsDownload 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”

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Print Company Search ResultsPrint 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”

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Receive Corrective Action PlanReceive 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”

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Receive Corrective Action Plan (Cont’d)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

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Review Corrective Action PlanReview 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”

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Review Corrective Action Plan (Cont'd)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

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Approve Corrective Action PlanApprove 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”

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Approve Corrective Action Plan (Cont’d)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

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Extension RequestExtension 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”

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Receive/Review Extension RequestReceive/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

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Receive/Approve Extension RequestReceive/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

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Receive/Approve Administrative Review RequestReceive/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”

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Receive/Approve Administrative Review RequestReceive/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”

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Introduction to Manage Expedited ActionsIntroduction 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

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Accessing Manage Expedited Actions 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”

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Company SearchCompany 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”

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Company Search (Cont’d)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

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Company Search (Cont’d)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

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Download Company Search ResultsDownload 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”

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Print Company Search ResultsPrint 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”

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Receive Corrective Action PlanReceive 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”

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Receive Corrective Action Plan (Cont’d)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

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Review Corrective Action PlanReview 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”

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Review Corrective Action Plan (Cont'd)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

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Approve Corrective Action PlanApprove 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”

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Approve Corrective Action Plan (Cont'd)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

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Cancel Expedited Action Due to Material ErrorCancel 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”

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Cancel Expedited Action Due to Material Error (Cont’d)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

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Introduction to Manage Follow-On ActivityIntroduction 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

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Accessing Manage Follow-On ActivityAccessing 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

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Company SearchCompany 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”

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Company Search (Cont’d)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

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Company Search (Cont’d)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

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Company Search (Cont'd)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

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Back to Company Search ResultsBack 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”

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Download Company Search ResultsDownload 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”

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Print Company Search ResultsPrint 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”

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Introduction to Process Cooperative Safety PlanIntroduction 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

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Accessing Process Cooperative Safety PlanAccessing 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”

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Accessing Process Cooperative Safety Plan (Cont'd)Accessing Process Cooperative Safety Plan (Cont'd)

• Selecting the option from the View Assignments for an Individual functionality Select “Process Cooperative Safety Plan”

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Receiving a Cooperative Safety PlanReceiving a Cooperative Safety Plan

• On the Process Cooperative Safety Plan page, Enforcement users can provide the Cooperative Safety Plan Received Date

• To record the Cooperative Safety Plan Received Date Select “Calendar” Click on a Date

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Review and Approve a Cooperative Safety PlanReview and Approve a Cooperative Safety Plan• On the Process Cooperative Safety Plan page, Enforcement users can

provide the Cooperative Safety Plan Decision

• To provide a decision for the Cooperative Safety Plan submitted by the Company Click “Cooperative Safety Plan Decision” Select the applicable value

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Review and Approve a Cooperative Safety Plan (Cont’d)Review and Approve a Cooperative Safety Plan (Cont’d)

• To provide comments about the Cooperative Safety Plan submitted by the Company, the Enforcement user can click in the comment box and enter the comments Click in the “Comment Box” and enter comments If the Cooperative Safety Plan is ‘Inadequate’ a ‘Cooperative Safety Plan

Comment’ is required

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Review and Approve a Cooperative Safety Plan (Cont'd)Review and Approve a Cooperative Safety Plan (Cont'd)

• To complete the review and approval process and submit the decision and any comments provided Click “Complete Cooperative Safety Plan Review”

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Modify an Existing Cooperative Safety Plan RecordModify an Existing Cooperative Safety Plan Record• Enforcement users can reopen a previously saved Cooperative Safety

Plan record they’re reviewing without submitting the data

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Reopen and Modify a Closed Cooperative Safety Plan RecordReopen and Modify a Closed Cooperative Safety Plan Record

• Enforcement users can reopen a Cooperative Safety Plan record with a Cooperative Safety Plan Status of ‘Closed’ Enforcement users can modify the ‘Cooperative Safety Plan Received Date’

and the ‘Cooperative Safety Plan Decision’ When the Cooperative Safety Plan record is reopened and modified, it’s

required to enter a ‘Cooperative Safety Plan Comment’ upon saving or submitting the record

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Introduction to Record Serious Violation ResolutionIntroduction to Record Serious Violation Resolution• The Record Serious Violation Resolution functionality allows

Enforcement users with the appropriate role (Resolve Serious Violation) to manage the recording of the resolution of Serious Violations for a Company

• The Record Serious Violation Resolution functionality allows Enforcement users with the appropriate role to: Search for companies that have Serious Violations requiring resolution Download and print a list of Companies with Serious Violations Download, print, sort and filter a list of Serious Violations for a selected

Company Record the resolution of Serious Violations for a selected Company Reopen and modify a previously resolved Serious Violation for a selected

company

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Accessing Record Serious Violation ResolutionAccessing Record Serious Violation Resolution

• The Record Serious Violation Resolution functionality is accessed by selecting Record Serious Violation Resolution under the Resolution Management menu on the Enforcement home page. Enforcement users with the appropriate role (Resolve Serious Violation) will be able to access the Record Serious Violation Resolution menu option and its functionality. Select the menu item “Resolution Management” Select “Record Serious Violation Resolution”

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Company SearchCompany Search• The first step in the Record Serious Violation Resolution process is to

search for one or more companies to record the Serious Violation resolution

• Enforcement users can search for the 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, County,

Country or Postal Code The State will be restricted to the Division or Service Center associated to the

Enforcement user’s role 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”

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Company Search (Cont’d)Company Search (Cont’d)

• To search for Companies with Serious Violations to record the Serious Violation resolution by USDOT# : Enter the “USDOT#” Click the “Submit” button

Enforcement users are presented with the results in the Search Results grid

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Company Search (Cont’d)Company Search (Cont’d)

• To search for Companies with Serious Violations to record the Serious Violation resolution by Advanced Search: Click the “Advanced Search” link Enter your Search Criteria

Search Criteria may include a combination of the MC/MX #, Company Name, State, County, Country and/or Postal Code

The State will be restricted to the Division or Service Center associated to the Enforcement user’s role

Click the “Search” button Enforcement users are presented with the Search Results for the entered company search criteria

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Download Company Search ResultsDownload Company Search Results• Enforcement users have the option to download a list of Companies

that have Serious Violations into an Excel Spreadsheet from the Search Results page

• To download a list of companies that have Serious Violations into an Excel spreadsheet: Click “Download List”

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Print Company Search ResultsPrint Company Search Results• Enforcement Users have the option to print a list of companies that

have Serious Violations from the Search Results page

• To Print a list of companies that have Serious Violations: Click “Print List”

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View Selected Company’s Serious ViolationsView Selected Company’s Serious Violations• Enforcement users have the option to select a Company from the

Search Results and view the selected Company’s Serious Violations

• To view a selected Company’s Serious Violations: Select a “Company” from the Search Results Click “Record Serious Violation Resolution”

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Download Selected Company’s Serious ViolationsDownload Selected Company’s Serious Violations• Enforcement Users have the option to download a selected Company’s

Serious Violations into an Excel spreadsheet

• To download a selected Company’s Serious Violations into an Excel spreadsheet: Select a “Company” from the Search Results Click “Record Serious Violation Resolution” Click “Download List”

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Print Selected Company’s Serious ViolationsPrint Selected Company’s Serious Violations• Enforcement Users have the option to print a selected Company’s

Serious Violations

• To print a selected Company’s Serious Violations: Select a “Company” from the Search Results Click “Record Serious Violation Resolution” Click “Print List”

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Filter Company’s Serious ViolationsFilter Company’s Serious Violations• Enforcement Users have the option of filtering their view of the

selected Company’s Serious Violations by the Serious Violation Status ‘Open’ or ‘Corrected’

• To filter the view of a selected Company’s Serious Violations by the Serious Violation Status: Select a “Company” from the Search Results Click “Record Serious Violation Resolution” Select the Serious Violation Status “Open” or “Corrected”

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Record Serious Violation ResolutionRecord Serious Violation Resolution• Enforcement users have the option to provide resolutions for the

selected Company’s Serious Violations

• To provide resolutions for the selected Company’s Serious Violations: Select a “Company” from the Search Results Click “Record Serious Violation Resolution” Select a “Serious Violation” from the list Select “Resolve Serious Violation” Enter the required data

A Serious Violation Corrected Comment is required to resolve a Serious Violation Select “Submit”

Upon submittal of the Serious Violation Corrected Comment the Serious Violation Status will change from Open to Corrected

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Record Serious Violation Resolution (Cont’d)Record Serious Violation Resolution (Cont’d)

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Reopen a Corrected Serious ViolationReopen a Corrected Serious Violation• Enforcement users have the option to reopen a Serious Violation that

has been resolved with a Serious Violation Status of ‘Corrected’.

• To reopen a Serious Violation that has been resolved with a Serious Violation Status of ‘Corrected’: Select a Company from the Search Results Click the “Record Serious Violation Resolution” button Select a Serious Violation from the list with the Serious Violation Status

‘Corrected’ Select the option to “Resolve Serious Violation” Enter the required data

The Enforcement user will have the option to change the Serious Violation Status from ‘Corrected’ to ‘Open’

If the Serious Violation Status is changed from ‘Corrected’ to ‘Open’ a Serious Violation Corrected Comment is required

Select “Submit” to save the entered data

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Reopen a Corrected Serious Violation (Cont’d)Reopen a Corrected Serious Violation (Cont’d)

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ReviewReview• Enforcement users with appropriate roles can process Company

Resolutions associated with Failed Safety Audits, Expedited Actions and Cooperative Safety Plans

• 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

• 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

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Review (Cont’d)Review (Cont’d)

• 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

• 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

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Review (Cont’d)Review (Cont’d)

• The Record Serious Violation Resolution functionality includes: Searching for companies that have Serious Violations requiring resolution Downloading and printing a list of Companies with Serious Violations Downloading, printing, sorting and filtering a list of Serious Violations for a

selected Company Recording the resolution of Serious Violations for a selected Company Reopening and modifying a previously resolved Serious Violation for a

selected company

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ENDEND

End of Training Module

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