INSTRUCTIONS FOR AN APPEAL OF AN “OUTOFSERVICE” DETERMINATION FROM

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Instructions for an Appeal

Instructions for an Appeal

of an “Out-of-Service” Determination

from a NYSDOT

Bus and Passenger Vehicle Safety Inspection

NYSDOT’s “Bus and Passenger Vehicle Safety Regulations” (17 NYCRR Parts 720 & 721) and formally issued “Interpretations & Guidance” are available on the Department’s web site at (www.nysdot.gov).

Occasionally, there may be instances where a bus operator (for the purposes of this discussion the term “operator” shall include operator, owner, distributor and/or manufacturer) believes that one of his or her vehicles has been placed “Out-of-Service” in error. The purpose of this procedure is to describe the actions the operator may take to appeal the results of the inspection “Out-of-Service” determination.

The Appeal Process consists of two possible steps. Step 1 is to submit the Department’s “Out-of-Service Defect Appeal” form to the DOT Regional Office for review. If the appeal response is still questioned by the operator, a second appeal may be made to the DOT Main Office in Albany. Each procedure is described below:

Step 1- Regional Office Appeal:

Preferably, within 24 hours of a vehicle being placed “Out-of-Service” (OOS) by a NYSDOT bus inspector, the operator may appeal the “Out-of-Service” finding by contacting the Regional SMVI or Regional Traffic Engineer, via phone or fax, and filing a formal appeal form.

The Operator shall first notify the MVI that there is disagreement with the OOS defect as written on the MC300 form. The MVI shall clearly explain the basis of the OOS determination as the condition relates to the OOS criteria found in 17 NYCRR Part 720.11.

The MVI shall contact the Regional SMVI or RTE to discuss the OOS defect. If after further review with the SMVI or RTE, the operator is still not satisfied with the decision, the operator may then complete the “Out-of-Service Defect Appeal” form and submit the form via e-mail, fax, courier or postal service as soon as practical to the Regional Office.

The appeal shall contain the following information:

Date submitted;

Operator name and identification number;

Contact person’s name, address, phone number & signature;
Inspection date;

Vehicle #, year, make, model & vin #;

MVI name and identification number;

List of “Out-of-Service” defects being disputed;

Statement of why the operator believes the vehicle was incorrectly placed “Out-of-Service” citing specific NYSDOT regulation;

Where helpful in understanding the specific condition being discussed,

photographs should be included if possible; and,

If this is a second appeal to the main office, a copy of the form

submitted to the regional office shall be attached.

The Regional Office shall have up to 14 days from receipt of the appeal form to reply to the appeal request and shall clearly state the reason(s) for either upholding or denying the appeal.

A. If the Regional Office upholds the appeal request, the reason(s) shall be briefly stated, the form shall be dated and signed by the SMVI or RTE completing the form and a copy shall be provided to the MVI and Operator. The SMVI or RTE shall ensure that a corrected bus inspection report is promptly uploaded to the BUSNET system -- the Department’s bus inspection management information system. Under this scenario, the operator’s profile will then reflect the corrected “Out-of-Service” rate.

B. If the Regional Office denies the appeal request, the reason(s) shall be briefly stated, the form shall be dated and signed by the SMVI or RTE completing the form and a copy shall be provided to the MVI and Operator. The vehicle owner or operator may appeal this finding to DOT’s Motor Carrier Safety Bureau Main Office pursuant to Step 2.

Step 2 - Main Office Appeal:

Within 7 days of being notified that the Regional Traffic Engineer or SMVI has denied the Out-of-Service appeal request, the operator may elect to further appeal this decision to the State Safety Supervisor, located at NYSDOT’s Main Office in Albany, via phone or fax and filing a formal appeal form. When filing the “Out-of-Service Defect Appeal” form, the operator shall provide the same information outlined in Step 1 above. In addition, the operator shall send a copy of the initial appeal filed with the Regional Office.

The Motor Carrier Safety Bureau State Safety Supervisor shall reply to the appeal

request 14 days and shall clearly state the reason(s) for either upholding or denying the appeal. If the Step 2 appeal request is upheld, the Motor Carrier Safety Bureau shall ensure that a corrected bus inspection report is promptly uploaded to the BUSNET system. Under this scenario, the operator’s profile will then reflect the corrected “Out-of-Service” rate. In either case, the reason(s) shall be briefly stated, the form shall be dated and signed by the State Safety Supervisor completing the form and a copy shall be given to the Regional RTE, SMVI, MVI and the Operator.

It is the purpose of this appeal process to help the program continue it’s efforts of ensuring participants that NYSDOT’s “Bus and Passenger Vehicle Safety Regulations” are consistently applied and to identify those areas where our regulations may require further clarification to ensure a consistent understanding on the part of the industry that is subject to NYSDOT’s vehicle safety inspections.

Bus Operator Profiles:

Official Bus Operator Profiles are run annually for the period of the most recent State Fiscal Year (April through March). A log of pending appeals will be maintained to ensure that these are resolved prior to publication of any official annual operator profile statistics.

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