Motor Carrier Management

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					Motor
Carrier
Evaluation
Program
Plan and Procedures
September 30, 2009




U.S. Department of Energy
DOE-MCEP-2009 (Rev 0)
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DOE-MCEP-2009 (Rev 0)                   iii
Motor Carrier Evaluation Program Plan and Procedures


Table of Contents

1.          Introduction ................................................................................................................................... 1
2.          Program Mission and Purpose ..................................................................................................... 1
3.          Program Authorization Basis ....................................................................................................... 2
4.          Cancellation.................................................................................................................................... 2
5.          Program Applicability................................................................................................................... 3
6.          Program Scope............................................................................................................................... 3
7.          Program Requirements and Practices......................................................................................... 3
8.          Program Management .................................................................................................................. 5
     8.1.     Roles and Responsibilities........................................................................................................... 5
     8.2.     Code of Conduct.......................................................................................................................... 7
     8.3.     Qualifications and Training ......................................................................................................... 7
     8.4.     External and Internal Information Sources.................................................................................. 8
     8.5.     Quality Assurance ....................................................................................................................... 9
9.          MCEP Process ............................................................................................................................... 9
     9.1.    Process to Initiate Initial Carrier Evaluation ............................................................................. 11
       9.1.1.      Evaluations at the Field Element or Site Office Level.........................................................................11
       9.1.2.      Evaluations at the DOE Complex Level ..............................................................................................12
     9.2.       Initial Carrier Screening ............................................................................................................ 13
     9.3.       Onsite Evaluation ...................................................................................................................... 17
       9.3.1.      Pre-Onsite Review ...............................................................................................................................17
       9.3.2.      Onsite Evaluation.................................................................................................................................18
       9.3.3.      Mandatory Evaluation Tables and Criteria ..........................................................................................18
       9.3.4.      Determining Carrier Eligibility............................................................................................................19
       9.3.5.      Evaluation Closeout.............................................................................................................................19
     9.4.       Carrier Monitoring..................................................................................................................... 20
       9.4.1. Monitoring Process ..............................................................................................................................20
       9.4.2. Carrier Ranking ...................................................................................................................................21
       9.4.3. Yearly Monitoring ...............................................................................................................................22
       9.4.4. Monitoring Outcomes and Actions......................................................................................................22
          9.4.4.1.     MCEP Qualified Active Status..............................................................................................22
          9.4.4.2.     Caution Status........................................................................................................................23
          9.4.4.3.     Re-evaluation Required .........................................................................................................23
          9.4.4.4.     Non-use Status.......................................................................................................................24
          9.4.4.5.     Suspension.............................................................................................................................24
          9.4.4.6.     Debarment .............................................................................................................................26
10.         Program Evaluation .................................................................................................................... 27
11.         Reporting...................................................................................................................................... 27
12.         References .................................................................................................................................... 27
13.         Definitions .................................................................................................................................... 28
14.         Acronyms...................................................................................................................................... 29
Appendix 1 – DOE Mandatory Initial Screening Criteria .................................................................... 30
Appendix 2 – Initial Carrier Contact Letter (Example)........................................................................ 31



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Motor Carrier Evaluation Program Plan and Procedures


Appendix 3 – Carrier Identification Report........................................................................................... 32
Appendix 4 – Carrier Evaluation Questionnaire ................................................................................... 34
Appendix 5 – List of Requested Documents ........................................................................................... 48
Appendix 6 – Sample Onsite Carrier Confirmation Letter .................................................................. 49
Appendix 7 – Evaluation Sample Size Guide ......................................................................................... 50
Appendix 8 – Vehicle Maintenance File Checklist................................................................................. 54
Appendix 9 – Vehicle Inspection (Physical) Checklist........................................................................... 55
Appendix 10 – Driver Qualification File Checklist................................................................................ 56
Appendix 11 – Driver’s Record of Duty Status Checklist ..................................................................... 57
Appendix 12 – HAZMAT Employee Training Checklist ...................................................................... 58
Appendix 13A – Alcohol and Controlled Substance Abuse .................................................................. 59
Appendix 13B – Maintenance .................................................................................................................. 60
Appendix 13C – Driver Qualification Files ............................................................................................ 61
Appendix 13D – Driver Hours of Service Records ................................................................................ 62
Appendix 13E – Employee Training ....................................................................................................... 63
Appendix 13F – Security and Emergency Response.............................................................................. 64
Appendix 13G – Special Training for Cargo Tanks .............................................................................. 65
Appendix 14 – DOE-Specific Mandatory Onsite Evaluation Criteria ................................................. 66
Appendix 15 – Sample Carrier Finding Response Letter ..................................................................... 67
Appendix 16 – Sample Carrier Closeout Letter..................................................................................... 68
Appendix 17 – DOE Mandatory Monitoring Criteria........................................................................... 69
Appendix 18 – Sample Letter of Caution................................................................................................ 70
Appendix 19 – Sample Letter of Re-Evaluation..................................................................................... 71
Appendix 20 – Sample Letter of Re-Evaluation Findings – Draft Report........................................... 72
Appendix 21 – Qualified Carrier List and Monitoring Spreadsheet ................................................... 73
Appendix 22 – Evaluation Team Member Qualification Form ............................................................ 74
Appendix 23 – Quality Assurance ........................................................................................................... 76
Appendix 24 – Quality Assurance Records ............................................................................................ 79
Appendix 25 – Sample DOE Carrier Profile Update............................................................................. 80
Appendix 26 – Sample End User Survey ................................................................................................ 81




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Motor Carrier Evaluation Program Plan and Procedures



1.        Introduction

The document describes the management plan and practices for the Department of Energy’s
(DOE) Motor Carrier Evaluation Program (MCEP). It documents requirements, roles and
responsibilities, and processes for program administration and implementation by the Office of
Packaging and Transportation, Office of Environmental Management. This document also
demonstrates MCEP compliance with, DOE O 460.2A, Departmental Materials Transportation
and Packaging Management, DOE M 460.2-1A, Radioactive Material Transportation Practices,
and DOE O 414.1C, Quality Assurance.

Since 1989, MCEP has played a vital role in maintaining DOE’s excellent safety record in
transporting hazardous waste and radioactive materials. The selection of responsible, effective,
and efficient motor carriers is a critical part of ensuring transportation safety and security for
certain types of DOE radioactive materials and hazardous wastes.


2.        Program Mission and Purpose

MCEP’s mission is to determine the quality and capability of motor carriers, drivers, and
vehicles offered for transporting DOE-owned radioactive materials and hazardous waste.
DOE established MCEP to assist DOE Site Offices and their contractor transportation
organizations in evaluating, enhancing, and standardizing carrier evaluations across the DOE
Complex. MCEP evaluations are performed on behalf of, and with the participation of all sites
and Departmental program line organizations.

This program provides standardized evaluation methodology, processes, and procedures.
It establishes evaluation criteria for commercial motor carriers either having contracts and
agreements or plan to transport certain radioactive materials and hazardous waste. The following
specific benefits are derived through effectively implementing MCEP:
     •    Risk Management: Reduced potential liability for the Department associated with the
          transportation of certain types of radioactive materials and hazardous wastes, through
          formal qualification evaluations and continuous monitoring of MCEP qualified motor
          carriers.
     •    Safety: Enhanced safe transportation of DOE-owned radioactive materials and wastes
          achieved through verification of compliance with applicable Department of
          Transportation (DOT) regulations and DOE Orders and policies
     •    Security: Assured transport security of DOE-owned radioactive materials and wastes is
          achieved through verification of compliance with applicable security requirements of
          DOT regulations, Nuclear Regulatory Commission (NRC) regulations, and DOE Orders
          and Policies.




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Motor Carrier Evaluation Program Plan and Procedures


     •    Cost Reduction/Avoidance: Consistent savings to the Department and taxpayer through
          standardized evaluations and eliminating the need to conduct evaluations of motor
          carriers by each Site Office throughout the DOE Complex, as well as minimizing the
          impact on evaluated motor carriers.
     •    Efficiency: Increased efficiency achieved through the use of standardized MCEP
          functions, managed processes for communication among stakeholders, and compliance
          with the regulations affixed to any contract for transport services.
     •    Evaluation Quality: Improved evaluation quality and consistency by forming
          evaluation teams from a pool of technical experts throughout the DOE Complex and
          using standardized MCEP processes and documents.


3.        Program Authorization Basis

Pursuant to subparagraph 5.a. (6) of DOE O 460.2A, Departmental Materials Transportation
and Packaging Management, the Assistant Secretary for Environmental Management (EM) is
responsible for establishing and managing a transportation logistics program that includes motor
carrier evaluations. Further, Section 7.2 of DOE M 460.2-1A, Radioactive Material
Transportation Practices Manual, requires that motor carriers used to transport certain types of
radioactive materials and hazardous wastes, must be evaluated in accordance with the DOE
"Motor Carrier Evaluation Program Plan and Procedures." The EM Office of Packaging and
Transportation administers the DOE-wide Motor Carrier Evaluation Program.


4.        Cancellation

The following documents are cancelled by this management plan:

     •    Motor Carrier Evaluation Program (MCEP) Methodology Plan; Revision 9.0;
          September, 2008
     •    Motor Carrier Evaluation Program (MCEP) Standard Operating Procedure 001 –
          Requirements for MCEP DOE-HQ Lead to Perform Initial Carrier Screening; Revision
          8.1; September, 2006; HQ-MCEP.001
     •    Motor Carrier Evaluation Program (MCEP) Standard Operating Procedure 002 –
          Requirements for Conducting the Onsite Motor Carrier Evaluation Process; Revision
          9.0; September, 2008; HQ-MCEP.002
     •    Motor Carrier Evaluation Program (MCEP) Standard Operating Procedure 003 –
          Requirements for Carrier Monitoring Activities; Revision 9.0; September, 2008; HQ-
          MCEP.003
     •    Motor Carrier Evaluation Program (MCEP) Standard Operating Procedure 004 –
          Requirements for DOE-HQ, DOE Traffic Manager, and/or the Carrier Review Board for
          Placement of Carriers in Temporary Non-use, Suspension, and/or Debarment; Revision
          9.0; September, 2008; HQ-MCEP.004




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Motor Carrier Evaluation Program Plan and Procedures



5.        Program Applicability

Pursuant to DOE O 460.2A, Departmental Materials Transportation and Packaging Management,
and DOE M 460.2-1A, Radioactive Material Transportation Practices Manual, MCEP applies to
all DOE elements responsible for performing or managing the transportation and packaging of
offsite shipments of radioactive materials and hazardous wastes and contractors who transport
and/or offer radioactive materials or hazardous wastes.

And pursuant to DOE O 460.2A and DOE M 460.2-1A, the Administrator of the National
Nuclear Security Administration (NNSA) will assure that NNSA employees and contractors
meet their respective responsibilities under this Manual. Nothing in this Manual will be
construed to interfere with the NNSA Administrator’s authority under section 3212(d) of Public
Law (P.L.) 106-65 to establish Administration specific policies, unless disapproved by the
Secretary of Energy.

6.        Program Scope

The Office of Environmental Management (EM) has Department-wide responsibility for
establishing policy and operating regulations to ensure safe, secure, efficient, and timely
packaging and transportation of materials, both hazardous (including radioactive) and non-
hazardous. Shipment safety and security is paramount, and is achieved by meeting all applicable
Federal, state, local, and tribal regulations.

The DOE M 460.2-1A requires that DOE Site Offices and Contractors use only qualified
commercial motor carriers to transport the following types of radioactive materials and wastes:
     •    packages containing Highway-Route-Controlled Quantity (HRCQ) of radioactive
          materials
     •    truckload (TL) quantities of radioactive materials
     •    any quantity of hazardous waste

In addition to the requirements of the DOE Manual 460.2-1A, the Office of Packaging and
Transportation has included in the scope of MCEP, shipments of Radioactive Material in
Quantities of Concern (RAMQC) as determined by NRC.

MCEP requirements do not apply to carriers transporting non-hazardous materials. Carriers do
not need MCEP listing to bid on a DOE contract, but must, however, be MCEP qualified before
transporting DOE hazardous materials as stated above.


7.        Program Requirements and Practices

MCEP requires all motor carriers who transport radioactive material within the program scope be
evaluated for safety, financial status, security, and compliance with applicable DOT
requirements listed in the Code of Federal Regulations (CFR), Title 49. However, considering


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Motor Carrier Evaluation Program Plan and Procedures


risks associated with transport incidents that could adversely affect public or workers’ health and
safety, the program has established the following requirements as they relate to the minimum
standards established in applicable DOT regulations:
     •    Carrier Initial Safety Screening Criteria: If the carrier is not on the DOE qualified
          motor carrier list, then the motor carrier must have a satisfactory DOT Motor Carrier
          Safety Rating and its relative safety status in any of the following three Safety Evaluation
          Areas (SEAs) must not exceed 65 as reported in the SafeStat system managed by the
          Federal Motor Carrier Safety Administration (FMCSA).
               o Driver SEA
               o Vehicle SEA
               o Safety Management SEA

          The three evaluation areas serve to measure the carrier’s past performance and assess
          specific strengths and weaknesses related to safety and compliance. DOT defines a SEA
          value of 75 or below satisfactory, and above 75 as deficient. However, MCEP has
          established the SEA value of 65 or below as satisfactory - the perceived risks associated
          with the transportation of DOE radioactive material and hazardous waste warrant a more
          conservative approach.

     •    Qualified Motor Carrier Eligibility and Maintenance of Eligibility: After
          satisfactorily completing initial screening and onsite evaluation, the motor carrier will be
          eligible to transport DOE material. MCEP quarterly monitors each qualified carrier’s
          relative status based on SEA values reported in the SafeStat system. SafeStat uses up to
          30 months of motor carrier data received through state and Federal inspection program in
          determining SEA values. MCEP places a motor carrier on the watch list if any SEA
          values exceed 65. Placement on the watch list results in a Letter of Caution and/or
          reevaluation of the motor carrier. After receiving the Letter of Caution (refer to
          Appendix 18), the carrier may implement corrective actions and, subject to re-evaluation,
          DOE will notify the carrier of its eligibility to continue (or not continue) service. The
          motor carrier may continue to provide services to DOE sites and contractors by
          implementing corrective actions to improve its safety rating. If during the last three year
          reporting periods the motor carrier has not provided hazardous material (as defined in
          Section 6) transportation service for any DOE site, the motor carrier will be placed on
          inactive status. The inactive carrier will be removed from the qualified list after seven
          years. The inactive motor carrier must have another MCEP evaluation to have eligibility
          status reinstated.
     •    Carrier Equipment: The motor carrier must provide transport vehicles meeting all
          applicable 49 CFR requirements. Transport vehicles must be capable of undergoing
          Commercial Vehicle Safety Association (CVSA) Level I inspection without defect.
          Recap tires are allowed provided the original tire casing is recapped only once. Transport
          vehicles used for spent nuclear fuel and HRCQ shipments must be capable of undergoing
          a CVSA Level VI inspection without defect, and the use of recap tires is not allowed.




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Motor Carrier Evaluation Program Plan and Procedures


     •    Carrier Financial Stability: Each motor carrier must have asset-to-liability ratio of 1.00
          or higher and an Operating Ratio of 1.00 or lower. Each motor carrier is required to have
          the minimum amount of liability insurance coverage for the volume and types of material
          transported as specified in 49 CFR.
     •    DOE Indemnification: DOE indemnification covers all contractual activities including
          transportation of nuclear material conducted for DOE and its contractors with the
          potential to cause a “nuclear incident’ as defined in the Atomic Energy Act. In addition,
          if there is an accident during such transportation but no nuclear incident, DOE
          indemnification would cover any precautionary evacuation ordered by an authorized state
          or local official.
     •    Carrier Annual Reporting: Each carrier must submit an annual report each March
          using the Carrier Profile Update (Appendix 25) to document the volume of business done
          with DOE, and provide any updated information about significant changes, such as
          capabilities, organization, financial status, and insurance coverage.
     •    Information Security: All MCEP Evaluation Reports, Corrective Actions Plans,
          financial and certain operational information provided by the carrier will be considered
          sensitive information and will be available on a need-to-know basis.


8.        Program Management

The EM Office of Packaging and Transportation manages the DOE-wide Motor Carrier
Evaluation Program.

8.1.      Roles and Responsibilities

MCEP is managed and administered by the MCEP Program Manager, Office of Packaging and
Transportation. The Program Manager is assisted by Federal and contractor subject matter
experts or industry specialists. The Program Manager also relies on active support from the
program offices and DOE Site Transportation Managers and transportation points-of-contacts.
The Program Manager appoints Evaluation Teams and designates team leadership and technical
structure. Specific roles and responsibilities include:

          Office Director: The Director, Office of Packaging and Transportation, has overall
          MCEP responsibility and appoints the Program Manager. The Director also appoints
          Carrier Review Boards to evaluate performance, and recommend punitive actions for
          carrier suspension or debarment.

          Program Manager: Manages and directs MCEP activities; makes policy;
          develops procedures; directs funding allocation; controls dissemination of
          information from the evaluation process; schedules onsite evaluations; forms
          Evaluation Teams, ensures Evaluation Team members are qualified and trained in
          MCEP processes; and is the Executive Director for Carrier Review Boards.
          The Program Manager has responsibility for maintaining a Qualified Carrier List.



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Motor Carrier Evaluation Program Plan and Procedures


          Program Administrator: Provides day-to-day administrative support.
          The Program Administrator is the focal point for monitoring and tracking DOE
          carrier safety performance, and collecting reports and data for onsite evaluations.

          Site Transportation Manager/Transportation POC: Manages and directs site or
          major contractor transportation services. The Site Transportation Manager may be
          a Federal employee or a contractor transportation specialist. However, the site
          contractor is responsible for procuring transportation services for DOE material
          under the contract from DOE. The Federal transportation manager or transportation
          POC has a responsibility for oversight of contractor transportation activities.

          Evaluation Team Leader: Federal employee appointed by the Program Manager
          for each carrier evaluation. The Evaluation Team Leader conducts initial carrier
          screening; initiates contact with carriers; ensures accuracy of documentation
          received from carriers and distribution of information submitted to DOE; and
          evaluates information on carrier performance metrics received in any of the three
          stages of the MCEP process.

          Evaluation Team Member: Federal or contractor subject matter experts assigned
          to a specific carrier evaluation. Individuals are appointed by the Program Manager
          and may participate in any of the initial screening, onsite evaluation, or monitoring
          stages. Appendix 22 is the qualification form showing information required for
          team members.

          Evaluation Team Member-In-Training: Responsible for completing assigned activities
          determined necessary by the Program Manager to qualify as an Evaluation Team
          Member.

          Local Evaluation Team: Formed to evaluate a carrier providing transportation services
          to specific site under a DOE Site Office. This team is responsible for initial screening
          and scheduling onsite evaluation of contractor carriers, and forwarding carrier evaluation
          reports to the Program Manager.

          Carrier Review Board: Appointed by the Director, Office of Packaging and
          Transportation to evaluate performance, and recommend punitive actions for carrier
          suspension or debarment. The Carrier Review Board will be chaired by a DOE Site
          Transportation Manager and consist of at least four DOE or contractor transportation
          specialists having special qualifications in motor carrier safety. The Board will provide
          written reports and recommendations to the Program Manager to suspend or debar
          carriers. The Director may appoint a standing Board, or an Ad-Hoc Board to investigate
          special carrier conditions.




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Motor Carrier Evaluation Program Plan and Procedures



8.2.      Code of Conduct

The Office of Packaging and Transportation is committed to maintaining the highest standards
of professional conduct for MCEP evaluators as representatives of DOE by establishing the
following Code of Conduct:
     1. Integrity: MCEP evaluators shall perform their work with honesty, diligence and
        responsibility, and shall not engage in any unethical behavior or actions that could
        discredit DOE.
     2. Objectivity: MCEP evaluators shall not participate in any activity or relationship that
        may impair or be perceived to impair their unbiased assessment; shall not accept anything
        that may impair or be perceived to impair their professional judgment; and shall disclose
        all material facts known to them that, if not disclosed, could distort the MCEP evaluation
        report.
     3. Confidentiality: MCEP evaluators shall be prudent in the use of information provided
        for, or obtained during the course of, MCEP evaluations; and shall not use information
        for personal gain or in any manner contrary to established MCEP policies and practices,
        or detrimental to an evaluated motor carrier.
     4. Competency: MCEP evaluators shall only engage in those activities for which they are
        currently qualified, and shall take those actions necessary to maintain their MCEP
        qualification.


8.3.      Qualifications and Training

The Program Manager maintains a roster of personnel qualified to participate as MCEP
Evaluators. Prospective evaluators must submit documentation (Appendix 23) allowing the
MCEP Program Manager to assess the prospect’s qualifications. Evaluation Team Members are
qualified and selected based on their training and experience commensurate with the scope and
complexity of the operation of the motor carrier being evaluated. The Program Manager is
responsible for selecting MCEP participants and assuring they are trained and qualified.
Training is provided to ensure team members understand and meet the requirements outlined in
this Program Plan and Procedures. It is imperative the evaluation team member adhere to the
MCEP Code-of-Conduct and, at a minimum, must successfully complete the following training
as applicable:
     •    DOE MCEP Evaluator's Training
     •    Commercial Motor Vehicle Periodic Inspection & Maintenance, 3-Day Course offered by
          DOT Transportation Safety Institute (#MC00129)
     •    Motor Carrier Safety Compliance, 5-day Course offered by DOT Transportation Safety
          Institute (#MC00127)
     •    DOT Motor Carrier Safety Compliance Hours of Service Refresher, 1-Day Course
          offered by DOT Transportation Safety Institute (#MC00128)



DOE-MCEP-2009 (Rev 0)                                  7
Motor Carrier Evaluation Program Plan and Procedures


Evaluation Team members should have training, or have competence in the techniques of
examining, questioning, evaluating, and reporting evaluation data. Additional skills for
managing evaluations may also be required, such as planning, organizing, communicating, and
directing. The Program Manager may exempt participants from the training described in this
section based on demonstration of successful completion of equivalent qualification
requirements.

Evaluators are expected to be open-minded and mature; possess sound judgment, analytical skills
and tenacity; have the ability to perceive situations in realistic ways; understand complex
operations from a broad perspective; and, understand the role of individual units within the
overall organization.


8.4.      External and Internal Information Sources

A number of external and internal sources may be used to obtain information about individual
carriers as part of the MCEP evaluation process. Information is gathered on a continuing basis.
Some information is obtained during the initial carrier screening stage, and some is collected
during the carrier monitoring stage. The items identified below are typical of sources used
throughout the MCEP evaluation process.

       SafeStat Program: The DOT SafeStat results have been integrated into MCEP to
       provide a current safety assessment based on a carrier's on-road safety performance,
       and if available, DOT audit and enforcement information. These results assist the
       Evaluation Team in creating an objective picture of the carrier's safety and
       performance capabilities. The most recent SafeStat results will be used in the initial
       carrier screening, onsite evaluation, and carrier monitoring stages.

       SafetyNet Report: The SafetyNet Report is a comprehensive summary of a motor
       carrier’s safety performance over a period of two to four years. It is a profile of
       consolidated information from state and Federal sources covering vehicle inspections
       (including drivers), accident summaries, a history of compliance, and Federal safety
       ratings compiled by FMCSA’s Motor Carrier Management Information System.

       SAFER: FMCSA’s Safety and Fitness Electronic Record (SAFER) system provides
       electronic carrier safety data to assist industry, government, and the public.
       Information available via SAFER includes a concise electronic record of a carrier’s
       identification, size, commodity information, and safety record, including the carrier’s
       safety rating (if any), and roadside out-of-service inspection information.

       MCEP Carrier Identification Report (CIR): This DOE-designed form provides
       evaluators with current safety and operating information supplied by the carrier to
       assist in the evaluation process. This form is completed during the initial carrier
       screening stage and again on an annual basis as part of the carrier monitoring stage.




DOE-MCEP-2009 (Rev 0)                                  8
Motor Carrier Evaluation Program Plan and Procedures


           Dun & Bradstreet (D&B) Business Information Report: This report provides
           information about an individual company’s operations, financial stability, and overall
           credit rating, as well as general information such as the company’s starting year,
           number of employees, sales, net worth, and payment history.

           EdgarScan: EdgarScan is an interface to the United States Securities and Exchange
           Commission (SEC) Electronic Data Gathering, Analysis, and Retrieval (EDGAR)
           Filings. EdgarScan pulls filings from the SEC's servers and parses them
           automatically to present key financial tables and normalized financials in a common
           format that is comparable across companies. Users can directly access specific
           sections of the filing, including financial statements, footnotes, extracted financial
           data, and computed ratings. EdgarScan is a trademark and service mark of
           PriceWaterhouseCoopers and was developed at their Global Technology Center.

           Carrier Profile: The Carrier Profile Update (Appendix 25) is performed annually to
           record significant changes in the MCEP Carrier Profile database consisting of
           organizational, financial, and operational data.

           End User Survey: The End User Survey (Appendix 26) is designed to measure the
           site-specific performance of a carrier. This document typically includes information
           about on-time performance, equipment availability, sales representatives, driver
           knowledge, claims response; electronic data interchange capabilities, and overall
           performance. DOE site or contractor personnel with the greatest knowledge of the
           carrier complete this document annually. The Carrier Profile Update and End User
           Surveys are accessed on the web through Zoomerang at
           http://zoomerang.com./login/index.zgi


8.5.        Quality Assurance

MCEP implements a Quality Assurance Program (Appendix 23) developed in accordance with
applicable requirements established in DOE O 414.1C Quality Assurance, using a graded
approach to implementing its ten criteria. Quality Assurance records are identified in
Appendix 24.


9.          MCEP Process

MCEP is a three-stage evaluation process, including an objective monitoring system. Key
features of this process are:
       •    In-depth initial evaluation
       •    Continuous monitoring of MCEP-qualified carriers to ensure they maintain required
            standards
       •    Information systems to identify poor performance and negative trends



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Motor Carrier Evaluation Program Plan and Procedures


     •    Frequent communication with qualified carriers
     •    Based on DOT regulations and MCEP requirements and practice

The three-stage MCEP process is depicted in Figure 1. The first and second stages apply to new
carriers, while the third involves the monitoring of all carriers previously qualified under MCEP:

         Stage 1 – Initial Carrier Screening: The carrier is qualified against a set of DOE
         requirements with a determination to advance the carrier for an onsite evaluation.
         The screening process is described in Section 9.2.

         Stage 2 – Onsite Evaluation: A carrier meeting the initial screening criteria
         advances to Stage 2, an in-depth onsite evaluation. Additional onsite evaluations may
         also be performed on previously qualified carriers as a result of issues identified
         during the carrier monitoring process. The onsite evaluation process is described in
         Section 9.3.

         Stage 3 – Carrier Monitoring: A carrier meeting DOE criteria through the initial
         carrier screening and onsite evaluation processes is qualified for use by the DOE-
         Complex. Carriers are then continuously monitored via quarterly assessments to
         ensure they continue to meet the minimum DOE requirements. Carrier monitoring
         activities are described in Section 9.4.

         Certain instances such as the awarding a contract, the sale of a business, a foreign company
         purchasing a carrier that transports classified materials, a change in transporting DOE
         hazardous materials capabilities or service issues may require onsite re-evaluation and
         verification. Re-evaluations may be directed by the Program Manager or the local DOE
         Site Transportation Manager.

MCEP functions at two levels - DOE Complex and local. On the DOE Complex level, the
Program Manager directs subject matter experts (DOE and Contractor) in performing initial
carrier screening and onsite carrier evaluation activities. Single site carriers are screened,
qualified, and monitored by DOE Site Office and site contractor transportation professionals, as
directed by the Program Manager. The local DOE Site Transportation Manager assembles the
needed subject matter experts and conducts evaluations.




DOE-MCEP-2009 (Rev 0)                                  10
 Motor Carrier Evaluation Program Plan and Procedures




                                                                                                ONSITE EVALUATION

                                                                                                                        Carrier placed in
                                 INITIAL SCREENING                                                                      temporary non-
                                                                                       Onsite Evaluation
                                                                                                                         use status until
                                                                                       Review carrier policies             corrections
                               Safety                   Additional                     and procedures                        made.
         Candidate            Screening                Qualifications
                                              Yes                             Yes      Verify capabilities
          Carrier                                                                                                              No
                            Meets Criteria             Meets Criteria
                                                                                       Interview carrier staff
                              Yes/No?                    Yes/No?
                                                                                       Review submitted                   Meets DOE
                                                                                       documentation                      Mandatory
                                                                                                                         Requirements
                                               No                                                                          Yes/No?


                                     Letter sent to requestor
                                      and candidate carrier                                                                   Yes
                                    explaining why and what                                                                                    MCEP
                                         they need to do                                                                                      Qualified
                                                                                                                                               Carrier
                                                                                                                              Yes



                                                             MONITORING
                                                                        Yes                                                Meets DOE
                                                                                         Letter of Caution         No      Mandatory
                                                                                                                          Requirements
Additional 30 days   No      Issue resolved         Corrective Action                                                       Yes/No?
                                                                                         Letter of Re-evaluation

                                       Referral to the CRB                               Temporary Non-use
                                                                                                                   No        Annual and
Up to 12 months           Suspension                                                                                       monthly updates
                                                    Decision referred to
                                                                                    Carrier Review Board                   of the qualified
                                                    official debarment/
                                                                                                                               carriers
                                                    suspension official.
Up to 3 years             Debarment



                               Figure 1 - Motor Carrier Evaluation Program Process


 9.1.        Process to Initiate Initial Carrier Evaluation

 This section describes the guidelines for starting the process of getting a carrier evaluated within
 MCEP. These guidelines include the process for selecting potential carriers at both the field
 element and Site Office, and the DOE Complex levels. It is common for businesses of all types to
 solicit new DOE work through inquiries to DOE Headquarters. It is Office of Packaging and
 Transportation policy to refer all such solicitations and inquiries to local offices.

 9.1.1. Evaluations at the Field Element or Site Office Level
 Securing a carrier for local or specialized services at Field Elements or Site Offices (local)
 typically begins with a unique local need. It could also begin with a request from a carrier not on
 the qualified list soliciting new business. A needs evaluation is sent to the local Site Office or
 Field Element DOE Transportation representative by either a contractor transportation
 representative or a contractor procurement representative. The needs evaluation should include


 DOE-MCEP-2009 (Rev 0)                                                        11
Motor Carrier Evaluation Program Plan and Procedures


anticipated number of shipments, shipping campaign schedule, and how shipping activities will
exceed the support capabilities of carriers currently listed on the MCEP qualified list, and the
new carrier’s potential for service improvements and cost savings. The following steps will be
taken:

     •    A request is sent from a contractor procurement representative based on a solicitation or
          Request-for-Proposal to obtain transportation services from a carrier not currently on the
          MCEP qualified list.
     •    The needs evaluation will be presented in a formal letter from either a contractor
          transportation or procurement representative to the DOE Site Office transportation
          representative for evaluation, containing information supporting the request.
     •    If the DOE Site Office transportation representative determines the evaluation request is
          not properly prepared, there are a sufficient number of qualified carriers available, or
          funding is not available to support a carrier evaluation, the Site Office will provide in
          writing to the contractor a letter describing why initial carrier screening cannot proceed.
     •    The contractor will notify the carrier in writing a carrier evaluation has been denied and
          the reasons for denial.
     •    If the DOE Site Office Transportation representative agrees with the needs evaluation, a
          letter will be sent to the contractor and the DOE Headquarters MCEP Program Manager
          initiating an initial Carrier Screening.
     •    Upon initiating an initial carrier screening, guidelines contained within the MCEP Plan
          and Procedures will be followed.

9.1.2. Evaluations at the DOE Complex Level
New carrier or shipping needs may affect a unique program-specific shipping campaign, e.g.,
Waste Isolation Pilot Plant. New capability could also result from a DOE Complex
transportation need. In the first instance, a needs evaluation is sent to the MCEP Program
Manager by either a DOE Site Office transportation representative or a contractor transportation
representative, or procurement representative through the DOE Site Office transportation
representative. In DOE Complex needs for new carrier capability, a request would typically
come from DOE Headquarters organizations. The needs evaluation request should include
anticipated number of shipments, shipping campaign schedule, determining activities will exceed
the support capabilities of the carriers currently listed on the MCEP qualified list, and carrier to
be evaluated provides an opportunity for cost savings based on their pricing. The following steps
will be taken:

     •    The needs evaluation will be established formally to the MCEP Program Manager from
          either a DOE Site Office transportation representative or a contractor transportation
          representative or procurement representative through the DOE Site Office transportation
          representative. It may also come through a formal Headquarters request from a program
          office.
     •    If the MCEP Program Manager determines the evaluation request is not properly
          prepared, there are a sufficient number of qualified carriers available, or funding is not


DOE-MCEP-2009 (Rev 0)                                  12
Motor Carrier Evaluation Program Plan and Procedures


           available to support a carrier evaluation, the MCEP Program Manager will provide in
           writing why the Stage 1 initial carrier screening cannot proceed.
     •     The requesting organization will notify the carrier in writing as to why the request for a
           carrier evaluation has been denied.
     •     If the MCEP Program Manager agrees with the requested needs, an evaluation letter will
           be sent to the requester stating that a Stage 1 Initial Carrier Screening will begin.
     •     Upon initiation of the Stage 1 Initial Carrier screening, guidelines that are contained
           within the MCEP Plan and Procedures will be followed.


9.2.       Initial Carrier Screening

The initial screening process (Figure 2) begins with a Program Manager assessment of site
carrier needs or requests, either for Department-wide or local site service. The Program Manager
then directs the following:

     •     Forming an Evaluation Team of subject matter experts1
     •     Obtaining SafeStat2 and SafetyNet3 reports
       •   Obtaining a SAFER4 Report (optional)
     •     Completing the DOE Mandatory Screening Criteria checklist (Appendix 1)




1
  The Program Manager formally appoints DOE and contractor subject matter experts for each Evaluation Team,
based on specific carrier circumstances, such as national or local request and personnel availability.
2
  See http://www.fmcsa.dot.gov/facts-research/facts-figures/darabases/safestat.htm
3
  The SafetyNet report may be obtained from Computing TechnologieS, Inc.: OMC Data Dissemination Program;
3028 Javiar Road; Fairfax, VA 22301
4
  See http:/safer.fmcsa.dot.gov


DOE-MCEP-2009 (Rev 0)                                  13
Motor Carrier Evaluation Program Plan and Procedures


                                                         1. MCEP CIR                       Commercial sources of
                                                         2. Carrier Questionnaire          Information
                        FMCSA Reports
                                                         3. Requested Documents
                        and Information
                                                                                           1. EDGAR
                                                              Carrier-provided             2. Dun & Bradstreet
                        1. SafeStat
                        2. SAFER                               documentation
                        3. Safety Net




                         Safety Screening                 Additional              Additional
DOE/Contractor                                                                   Qualifications             Preliminary
                                                         Information
submits name of           Meets Criteria                                                           Yes      Evaluation
                                              Yes       requested and
candidate carrier           Yes/No?                                              Meets Criteria               Report
                                                          obtained.
                                                                                   Yes/No?




                                                       No


                                        Letter sent to DOE/Contractor
                                        and carrier explaining why they
                                        have not met the criteria and
                                        what they need to do.



                                    Figure 2 – Initial Carrier Screening

SafeStat: The Evaluation Team will review the most recent DOT FMCSA SafeStat report. This
report combines current and historical safety performance data to document the relative safety
fitness of interstate commercial motor carriers. SafeStat was established to allow FMCSA to
quantify and monitor the safety status of motor carriers and guides the deployment of resources
to focus on carriers posing the greatest safety risk.

SafeStat evaluates the relative safety status of individual motor carriers compared to the rest of
the motor carrier population in four SEAs: Accident, Driver, Vehicle, and Safety Management.
The system uses up to 30 months of motor carrier safety data and normalizes it to develop the
four SEAs. The four SEA values are then combined into an overall safety status assessment,
known as a SafeStat score. DOT defines SEA values of 75 to 100 as deficient - below 75 is
satisfactory. MCEP evaluation criteria require a SafeStat Score of 65 or below is required, and
no individual SEA rating may be above 65.

Carrier policies and procedures also will be compared against SafeStat statistics to ensure they
are being practiced. A carrier may have a comprehensive maintenance policy, for example, but
its vehicle out-of-service (OOS) statistics may be well above the national average. This would
indicate need for an in-depth examination of actual maintenance practices and the company’s
enforcement of related policies to ensure regulatory compliance.

If the SafeStat report indicates the carrier is not meeting MCEP initial screening criteria, the
carrier must demonstrate that SEA value is incorrect as a result of misreporting of data.


DOE-MCEP-2009 (Rev 0)                                       14
Motor Carrier Evaluation Program Plan and Procedures


The carrier, in these cases, must work directly with DOT to resolve the issues in question.
SafeStat can also be accessed from the Internet at http://ai.volpe.dot.gov/mcspa.asp

SafetyNet: The FMCSA SafetyNet Report is compiled by FMCSA’s Motor Carrier
Management Information System (MCMIS).5 The SafetyNet Report also includes a ratio
comparing accidents with vehicle miles traveled and in-depth information collected from
roadside inspections, including numbers and types of violations and OOS ratios.6

SAFER: The Evaluation Team may also obtain a copy of FMCSA’s SAFER, which may be
substituted if a SafetyNet Report is not purchased. SAFER offers company safety data to
industry and the public over the internet. Access is provided free of charge to SAFER’s
Company Snapshot7, a concise electronic record of a company’s identification, size, commodity
information, the safety rating (if any), a roadside out-of-service inspection summary, and crash
information. The company snapshot is available via an ad-hoc query (one carrier at a time).
It should be noted, however, the level of detail in a SafetyNet Report is far greater than in
SAFER. Carriers must not have an unsatisfactory or conditional DOT Safety Rating in the 12
months preceding a MCEP onsite evaluation.

SafeStat and SAFER information will be key indicators in both the initial screening of new
carriers and the continuous monitoring of previously qualified carriers. In addition to SafeStat
and SAFER, MCEP relies on information submitted annually by the carrier identifying changes
such as company ownership, numbers of vehicles and drivers, types of materials transported, and
hazardous materials transportation incidents affecting the carrier’s ability to perform to DOE
requirements.

Additional Information: The Evaluation Team may also obtain information from external
sources such as the Dun & Bradstreet and the PriceWaterhouseCoopers websites. These
websites provide financial information about publicly traded companies via EdgarScan, an
interface with the SEC database. The End User Survey must be used for re-evaluations.

Screening Criteria: The Evaluation team, as a final step, will complete the DOE Mandatory
Initial Screening Criteria (Appendix 1). The Program Manager will then, based on information
gathered by the Evaluation Team, request more carrier information, reject the request for MCEP
participation, or begin preparing for an onsite evaluation. Carriers not qualifying during the
initial screening stage will be notified of the specific reasons.

A carrier failing two initial screening evaluations in three years will not be re-qualified for a
period of two years after the date of the last screening attempt or at discretion of the Program
Manager. If a decision is made to proceed with the MCEP process, the Program Manager will
direct the following:

5
  See
http://infosys.fmcsa.dot.gov.PublicDocuments/PublicDoc.aspx?DOC_TITLE=MCMIS&NAMEGROUP=MCMIS
6
  A minimum of 30 days is required to receive the SafetyNet Report. A copy of the MCMIS Carrier Profile Order
Form can be downloaded from the Internet at http://www.fmcsa.dot.gov/pdfs/profiles.pdf.
7
    See http://safer.fmcsa.dot.gov/CompanySnapshot.aspx


DOE-MCEP-2009 (Rev 0)                                     15
Motor Carrier Evaluation Program Plan and Procedures




     •    Sending letter to carrier requesting MCEP participation (Appendix 2)
     •    Requesting carrier complete the Carrier Identification Report (Appendix 3)
     •    Requesting carrier complete Carrier Evaluation Questionnaire (Appendix 4)
     •    Requesting carrier provide additional documents (Appendix 5)

Carrier Identification Report: This report collects basic carrier corporate information, types of
services, financial status, types of equipment, and other basic data.

Carrier Evaluation Questionnaire: This questionnaire is used during the onsite evaluation to
validate specific policies, procedures, programs, and information about the carrier's performance.
These questions help identify issues for further evaluation. Incomplete answers typically lead to
specific areas of interest or lines of inquiry for the onsite evaluation.

Additional Documents: The list of documents (Appendix 5) is not limiting. Information on
other carrier functions or corporate activities may be requested by the Evaluation Team.8




8
  Carriers are informed that refusal to participate in an MCEP evaluation or failure to comply with MCEP-related
requests will result in discontinuing the initial screening process. Such carriers will not be able to transport DOE-
owned radioactive materials or hazardous waste.



DOE-MCEP-2009 (Rev 0)                                     16
Motor Carrier Evaluation Program Plan and Procedures



9.3.      Onsite Evaluation

 The Program Manager, on a recommendation from the Evaluation Team, will approve
conducting an onsite evaluation (Figure 3) for a carrier meeting the initial carrier screening
criteria. The primary objective of the onsite evaluation process is to validate the carrier-
submitted information obtained during the initial carrier screening stage. The onsite
evaluation also validates whether the carrier has safety management programs in places to
prevent violations of applicable regulations. Onsite re-evaluations may also be appropriate
based on issues identified during the carrier monitoring process.

                                                                                             MCEP
         Preliminary
                                                                                            Qualified
         Evaluation
                                                                                             Carrier
           Report

            Initial
          Screening                                                                            Yes
                               Onsite Evaluation
         Information
                               1. Review carrier policies and procedures             MCEP Program Manager
                                                                                     determines if the carrier
                               2. Verify capabilities                                 meets DOE Mandatory
                                                                                         Requirements?
                               3. Interview carrier staff                                   Yes/No?

          Additional           4. Review submitted documentation
            carrier-
                                                                                               No
           supplied
                                                                           Submits
        documentation

                                                                                      Carrier placed in non-
                                                                                       approval status until
                                                                                      corrective actions are
                                                                                     submitted and reviewed.

                                     Figure 3 - Onsite Evaluation Stage


9.3.1. Pre-Onsite Review
The Program Manager directs the Evaluation Team to prepare a Preliminary Evaluation Report
for each carrier proceeding to the onsite evaluation stage. The purpose of this report is to
summarize information obtained during the initial carrier screening process. This report contains
copies of current SafeStat and SafetyNet reports, SAFER report, Carrier Information Report, and
other carrier-provided documents. The report also includes a short narrative identifying
questions or areas of concern for onsite evaluators.

A mutually acceptable onsite evaluation date will be set, and the carrier is allowed time to
prepare items identified during the pre-onsite review process. Once an onsite evaluation date is
set, a confirmation letter is sent (Appendix 6). Copies of reference documents for the onsite
evaluation are provided, including a copy of the SafetyNet Report.


DOE-MCEP-2009 (Rev 0)                                       17
Motor Carrier Evaluation Program Plan and Procedures




A confirmation call to the carrier will be made prior to the evaluation date to establish arrival
times, confirm directions, and identify the person meeting the team. Upon arrival, the Evaluation
Team Leader will introduce team members and present a standard entrance briefing describing
MCEP and the onsite evaluation process.


9.3.2. Onsite Evaluation
Carrier’s safety and performance critical to transporting DOE radioactive materials and
hazardous waste are assessed as either mandatory or non-mandatory items:
         Mandatory items: Items requiring the carrier to meet specific acceptance criteria in
         applicable Federal, state, and local regulatory requirements and DOE Orders when
         transporting DOE radioactive materials and hazardous waste.
         Non-mandatory items: Items not requiring the carrier to meet specific acceptance
         criteria, but demonstrating a proactive approach to meeting or exceeding industry
         standards in selected safety and operational areas.


9.3.3. Mandatory Evaluation Tables and Criteria
Evaluations are conducted by sampling carrier records using checklists and tables keyed to
specific portions of the U.S. Code of Federal Regulations. The process includes a
sampling of Driver Qualification Files, Vehicle Maintenance Files, and Driver’s Record of
Duty Status using the appropriate tables identified in Appendix 7. Tables and instructions
in Appendix 7 identify the number of randomly-selected records or files to be reviewed
based on number of vehicles, drivers, and records of duty status. Checklists are completed
for each record reviewed:
     •    Appendix 8 - Vehicle Maintenance File Checklist
     •    Appendix 9 - Vehicle Inspection Checklist
     •    Appendix 10 - Driver Qualification File Checklist
     •    Appendix 11 - Driver’s Record of Duty Status Checklist
     •    Appendix 12 - HAZMAT Employee Training Checklist

Mandatory evaluation criteria in Appendix 13A through Appendix 13G are used to validate
specific policies, procedures, programs, and information. These criteria identify DOT
requirements and other important transportation issues. DOE-specific mandatory requirements
are in listed Appendix 14.

Questions found in Appendix 13A through Appendix 13G tables must be answered either "yes,"
"no," or "not applicable" (N/A). Using N/A is appropriate where the activity in question is not
required for a specific carrier. N/A should not be used if "no" is the more appropriate answer.
In situations where the response is neither fully "yes," nor fully "no," the carrier or evaluators
should select "no" as the answer. Objective evidence is collected to support "yes" or "no"
answers. Objective evidence is defined in International Organizations for Standards (ISO)


DOE-MCEP-2009 (Rev 0)                                  18
Motor Carrier Evaluation Program Plan and Procedures


document ISO 8402:1994, Quality Management/Assurance Vocabulary, as "information that can
be proved true, based on facts, obtained through observation, measurement, test, or other means."
Answers provided via conversation with an evaluator must be corroborated either by another
person or by the evaluator’s own observation of the process.

A carrier failing to meet all mandatory requirements will not be qualified until the problem or
uncertainty is resolved. The carrier will be given 60 days to resolve the issue(s). Carriers having
such unresolved issues will not be allowed to transport applicable DOE radioactive materials and
hazardous wastes until the issues are resolved. All conflict-resolution information will be sent to
the Evaluation Team Leader.

Evaluators are encouraged to ask questions to gain a broader carrier perspective, and notes must
be taken. The Evaluation Team must be satisfied with the quantity and quality of information
received from the carrier prior to departure. All materials provided by the carrier must be treated
as proprietary and must not be shared with other carriers or persons.

Where external documentation is obtained reflecting negatively on a carrier’s ability to remain
on the list of qualified carriers, copies of such documentation will be provided to the carrier for
information and response.


9.3.4. Determining Carrier Eligibility
Information obtained during the onsite evaluation, along with SafeStat and SafetyNet results,
will be used to determine a carrier’s eligibility for MCEP listing. Carriers not meeting MCEP
eligibility requirements will be notified in writing by the Program Manager (Appendix 15).
Carriers have 60 days to respond.

The Program Manager will formally notify carriers about successful evaluations, and authorize
transportation of DOE radioactive materials and hazardous waste (Appendix 16).


9.3.5. Evaluation Closeout
The Evaluation Team will organize and submit all quality related documents listed in Appendix
24, and carrier-supplied information to the Program Manager for archiving. The Program
Administrator will update and distribute the Qualified Carrier List and Monitoring Spreadsheet
(Appendix 21) to site personnel on a need-to-know basis.




DOE-MCEP-2009 (Rev 0)                                  19
Motor Carrier Evaluation Program Plan and Procedures



9.4.         Carrier Monitoring

MCEP-qualified carriers are monitored (Figure 4) to ensure they continue to meet performance-
based requirements documented in this Program Plan and Procedures. The same types of
information used during the initial carrier screening stage are collected during the carrier
monitoring stage. Mandatory monitoring criteria are in Appendix 17. Specific carrier
monitoring may also be directed by the Program Manager at any time to address special
situations affecting DOE transportation service. Site Transportation Managers or specifically
designated individuals are responsible for carrier monitoring. Carriers with satisfactory
performance remain on the qualified list.
                                                                   Yes
  Information obtained
  monthly                                           Letter of
                                                  Caution issued
  SafeStat
  SAFER
                                                    Letter of                                                            Additional 30-
                                                                              Corrective               Issue
                                                  Re-evaluation                                                  No      day Temporary
                                                                               Action                 Resolved
                                                                                                                         Non-use
  User information           Meets DOE
  requested annually         mandatory                 Temporary
                            requirements    No          Non-use
  End User Survey
                              Yes/No?
                                                                            Referral to the CRB


  Carrier information                                                    All actions of the CRB                               Up to 12
  requested annually            Yes                                      will be referred to the            Suspension        months
                                                                         Official DOE Debarment
  MCEP CIR                                        Carrier Review         and Suspension Officer.
                                                      Board              The final decision will be
                                                                                                            Debarment         Up to 3
                                                                         made by the certified                                 years
                                                                         official.
                               MCEP
                              Qualified
                               Carrier


                                           Figure 4 - Monitoring Stage


9.4.1. Monitoring Process
Carrier performance information is gathered from FMCSA’s most recent DOT SafeStat and
SAFER results, especially the carrier’s safety (SEA) rating. Any carrier having a negative trend
(SEA value of 65 or higher) will be investigated and the reasons for deteriorating scores
determined. Carriers must explain reasons for higher scores, and corrective actions taken or
pending implementation. Failure to improve their scores may result in removal from the MCEP
list. Corrective actions must be verified by the Program Manager or a designated subject matter
expert.

Safety ratings are also checked via FMCSA’s SAFER to ensure carriers maintain DOT
satisfactory rating. Monitored carriers supply updates on accidents and vehicle miles traveled
within the previous year their carrier accident rate can be updated.



DOE-MCEP-2009 (Rev 0)                                        20
Motor Carrier Evaluation Program Plan and Procedures


The General Services Administration has promulgated regulations in 41 CFR Part 102-117
requiring agencies of the Federal government to develop policies and implement procedures
dealing with the Temporary Non-use, Suspension and Debarment of transportation service
providers. In the sentence above, DOE already has procedures dealing with the suspension and
debarment of contractors. These procedures are similar throughout all government agencies.
The procedure developed for MCEP works in conjunction with procedures already established
by the department. It should be noted that DOE-HQ or DOE Site Offices transportation
management may place transportation service providers in temporary non-use but only the
designated official for the department may suspend or debar any contractor from work.

Program Administrator will run the updated SafeStat and SAFER reports quarterly on all listed
carriers.
     •    If a carrier meet Items 1-2 of DOE Mandatory Monitoring Criteria (Appendix 17), no
          further action is required. Carrier maintains listed status.
     •    Carriers with a SEA value between 65 and 74.99 receive a Letter of Caution and are
          placed on the Carrier Watch List section of the Qualified Carrier List/Monitoring
          Spreadsheet (Appendix 21). Carriers need to demonstrate improvement and may be
          required to submit a letter stating what corrective actions are planned to correct the issue.
          On a case by case basis, the Program Manager will establish a time period for carrier to
          show improvement. If improvement is not achieved within the established time period, a
          re-evaluation may be scheduled to determine carrier approval status.
     •    Carriers with a SEA value of 75 or higher receive a Letter of Re-evaluation (Appendix19)
          and are placed on the Carrier Watch List section of the Qualified Carrier List/Monitoring
          Spreadsheet (Appendix 21).
     •    If a carrier’s FMCSA safety rating changes to Conditional or Unsatisfactory, the carrier is
          placed on temporary non-use status until a “Satisfactory” rating is restored.


9.4.2. Carrier Ranking
Each carrier is ranked on performance and compliance using FMCSA’s SafeStat. MCEP ranking
is the sum of the following:
          Driver:                    (50 - SafeStat Driver SEA value) X1.5
          Vehicle:                   (50 - SafeStat Vehicle SEA value)
          Safety Management: (50- SafeStat Safety Management SEA value)

A score of “zero” is a neutral score, with the carrier having median values (i.e., 50th percentile)
for the accident, driver, vehicle, and safety management components. A positive score indicates
an above average carrier. A negative score is a below average carrier. The maximum possible
MCEP score is a positive 175.

SafeStat SEA values are based on the percentile ranking from 0 (representing the best
performance) to 100 (representing the worst safety performance). The SafeStat related
components are the SEA values subtracted from 50. This generates negative points for SEA


DOE-MCEP-2009 (Rev 0)                                  21
Motor Carrier Evaluation Program Plan and Procedures


values above the median (e.g. SEA value of 70 will generate -20 points). This will be
detrimental to a carrier’s overall ranking because a SEA value above 50 represents safety fitness
worse than most carriers. This gives credit for an SEA value below the median (e.g. SEA value
of 30 will generate +20 points) and indicates safety fitness better than most carriers. MCEP
ranking reflects a weighting scheme similar to the SafeStat algorithm. This algorithm weights
the Driver SEA by 1.5 compared to the Vehicle and Safety Management SEA.

The Carrier Watch List section of the Qualified Carrier List and Monitoring Spreadsheet
(Appendix 21) shows carriers with individual SEA values of 65 or higher (above MCEP criteria).
SEA values between 65 and 74.99 are highlighted in yellow. Values between 75 and 100 are
highlighted in red, which is not only above MCEP’s criteria, but is now above DOT’s criteria.


9.4.3. Yearly Monitoring
Formal yearly monitoring typically occurs in March. A new Carrier Identification Report (CIR)
(Appendix 3) is requested from each carrier, as well as updated information about changes such
as capabilities, financial status, and insurance coverage. This information is compared to the
same criteria used in the initial carrier screening and onsite evaluation to assess whether the
carrier may continue applicable DOE hazardous materials service.

Each site using a MCEP-qualified carrier must also monitor service and report performance
using a web-based Carrier Annual Report and End User Survey. This survey is available from
the Program Manager using the Zoomerang Survey system. Appropriate personnel must
complete an End User Survey yearly for each carrier used. The Program Administrator manages
this activity.


9.4.4. Monitoring Outcomes and Actions
This section provides a consistent approach for the Program Manager and Site Transportation
Managers to monitor carrier performance described in this Program Plan and Procedures. It also
describes the Carrier Review Board’s role in carrier non-use, suspension, or debarment. There
are five possible outcomes.


9.4.4.1.     MCEP Qualified Active Status
Monitored items meet the criteria for acceptability and the carrier maintains its “listed” status.
If the carrier continues to meet all the criteria, this information will be updated as appropriate on
the carrier’s MCEP record. The threshold for continued acceptability is (1) SEA values are
below 65, (2) timely submission of annual information updates and, (3) no conditional or
unsatisfactory safety ratings from FMCSA and continued business with DOE sites. If during the
last three year reporting periods the motor carrier has not provided hazardous material (as
defined in Section 6) transportation service for any DOE site, the motor carrier will be placed on
inactive status. The motor carrier must have another MCEP evaluation to have eligibility status
reinstated.




DOE-MCEP-2009 (Rev 0)                                  22
Motor Carrier Evaluation Program Plan and Procedures


9.4.4.2.   Caution Status
A Letter of Caution is issued when negative trends in a carrier’s SEA values reach the 65-74.99
point range, and it may become ineligible for applicable DOE services. Carriers are requested to
address the identified problems and improve overall performance to maintain MCEP eligibility.
The carrier is also asked for a corrective action plan to improve negative trends, or service may
be discontinued. Appendix 18 is a sample Letter of Caution, and may be issued by the Program
Manager or the Site Transportation Manager.


9.4.4.3.     Re-evaluation Required
A carrier having a SEA value of 75 or higher must have a re-evaluation to continue DOE service.
The degree of rigor in the re-evaluation depends on the seriousness of the issue. It may be
onsite, or issues may be resolved by a phone call. Re-evaluations are typically prompted by:
               •    A negative trend in the SafeStat report
               •    Failure to submit or complete requested information
               •    Questions of financial stability (e.g., operating ratios, bankruptcy, etc.)
               •    Change in ownership and/or DOT number
               •    Special circumstances (i.e.j high visibility campaign)
               •    Incidents/accidents involving DOE radioactive materials and hazardous waste

Monitoring re-evaluation reviews may result in one of the following actions:
               •    Immediate cooperative problem resolution
               •    Temporary non-use until a problem is resolved
               •    Appointing a Carrier Review Board
               •    Recommendation for suspension or debarment

A Letter of Re-Evaluation (Appendix 19) is issued by the Program Manager or the Site
Transportation Manager as appropriate, explaining the need for a re-evaluation. The procedures
for re-evaluation are similar to onsite reviews described in Section 9.3.2, but will focus only on
the problem areas. If a carrier’s Driver SEA value is above 75, for example, the re-evaluation
will focus on driver issues such as hours of service or driver disciplinary policies. The re-
evaluation is to verify data and implementation of corrective actions. Once the re-evaluation is
completed, a follow-up letter specifying any findings, concerns, or observations, will be sent to
the carrier. A sample Re-evaluation Findings Letter is in Appendix 20.




DOE-MCEP-2009 (Rev 0)                                  23
Motor Carrier Evaluation Program Plan and Procedures



9.4.4.4.    Non-use Status
A carrier failing to implement corrective actions from re-evaluation or not responding to a Letter
of Caution will be placed in temporary non-use status. Carriers receiving a conditional or
unsatisfactory FMCSA rating or not meeting DOE mandatory requirements are similarly placed
in temporary non-use status. Other reasons for temporary non-use include:
          •    Willful violations of the terms of rate tenders
          •    Persistent or willful failure to meet requested packing and pickup service
          •    Repeated failure to meet required delivery dates
          •    Repeated violation of DOT hazardous materials regulations
          •    Mishandling of freight, damaged or missing transportation seals, improper loading,
               blocking, packing or bracing of property (10% of the shipments tendered)
          •    Improper routing of property
          •    Subjecting the DOE’s shipments to unlawful seizure or detention by failing to pay
               debts
          •    Operating without legal authority
          •    Failure to settle claims according to Government regulations
          •    Violations of the Drug-Free Workplace Act of 1988
          •    Repeated failure to comply with regulations of DOT, Surface Transportation Board,
               State or local governments, or other Government agencies

The Program Manager or Site Transportation Manager (DOE or contractor) as appropriate, may
place carriers in temporary non-use status not exceeding 90 days. Requirements for notifying
carriers about temporary non-use are:
          •    Certified mail – return receipt requested
          •    Effective dates of the proposed temporary non-use (not to exceed 90 days)
          •    Scope of the proposed temporary non-use
          •    Facts relied on to support the specified cause(s) for the temporary non-use

Reinstatement is contingent on satisfactory implementation of corrective actions. The Program
Administrator will then update the MCEP Qualified Carrier List and Monitoring Spreadsheet
(Appendix 21).


9.4.4.5.   Suspension
Carriers may be formally suspended by the Program Manager for periods longer than 90 days
when flagrant violations persist. A Carrier Review Board is appointed to review violations and
recommend suspension, or possibly debarment.



DOE-MCEP-2009 (Rev 0)                                  24
Motor Carrier Evaluation Program Plan and Procedures


Suspension is disqualifying a transportation service provider from receiving orders for services
under a contract or rate tender pending an investigation or legal proceeding. The reasons for
suspension include committing fraud or a criminal offense in connection with obtaining,
attempting to obtain, or performing a contract for transportation in Violation of Federal or State
antitrust statutes, embezzlement, theft, forgery, bribery, falsification or destruction of records,
making false statements, or receiving stolen property. Indictment for any of these causes is
adequate evidence for suspension. Suspension may also result from evidence of any other
serious or compelling nature potentially affecting DOE or contractor transportation services.
The suspension period may be:
     •    temporary pending completion of investigations and any ensuing legal proceedings,
          unless terminated before this time by the Program Manager;
     •    up to 12 months waiting start of legal proceedings. If legal proceedings are not started
          within 12 months after the date of the suspension notice, the suspension is lifted unless
          an Assistant Attorney General requests its extension;
     •    an additional six months may be added unless legal proceedings begin sooner.
          The Program Manager must notify the Department of Justice (DOJ) of the proposed
          termination of suspension at least 30 days before the 12 month period expires.
          This notice gives DOJ an opportunity to request an extension.

The scope of suspension shall be the same as that for debarment (48 CFR 9.406-5), except
procedures of 9.407-3 are used in imposing suspension. Requirements for notifying carriers
about suspension are:
     •    Certified mail – return receipt requested
     •    Effective dates of suspension
     •    Scope of suspension
     •    Facts relied on to support the specified cause(s) for suspension, and the suspension
          is for a temporary period pending the completion of an investigation and such legal
          proceedings as may ensure of the cause(s) relied upon under 48 CFR Part 9.407-2
          for imposing suspension
A carrier may, within 30 days after receipt suspension notice, submit, in person, in writing, or
through a representative, information and arguments against suspension, including any additional
specific information raising a genuine dispute over the material facts. Additional proceedings to
examine disputed material facts will be conducted, except for indictment. DOJ may support
continued suspension if substantial interests of the Government in pending or contemplated legal
proceedings, based on the same facts as the suspension, would be prejudiced.

Criteria for Suspension and Debarment are found in Federal Acquisition Regulations Section 9.4.
Specific DOE criteria are found in the Department of Energy Acquisition Regulations (DEARs)
Section 909.4. The DEARs identify a DOE Suspension and Debarring official. The Program
Manager must work with this official on Suspension or Debarment matters.




DOE-MCEP-2009 (Rev 0)                                  25
Motor Carrier Evaluation Program Plan and Procedures


9.4.4.6.   Debarment
Debarment is legal action taken to exclude a contractor (carrier) from doing business with any
Federal agency. Review and analysis of circumstances leading to a recommendation for
debarment will be functions of a Carrier Review Board. Reasons for debarment include:
     •    conviction or civil judgment for the committing fraud or criminal offense in obtaining,
          attempting to obtain, or performing a public contract or subcontract;
     •    violations of Federal or State anti-trust statutes relating to submitting offers;
     •    embezzlement, theft, forgery, bribery, falsification or destruction of records, making false
          statements, tax evasion, or receiving stolen property;
     •    intentionally affixing a label with a “Made in America” inscription (or any inscription
          having the same meaning) to a product sold in or shipped to the United States, when the
          product was not made in the United States;
     •    a determination by the Attorney General of the United States, or designee, the carrier is
          not in compliance with Immigration and Nationality Act Employment provisions. The
          Attorney General’s determination is not reviewable in debarment proceedings;
     •    any other offense indicating a lack of business integrity or business honesty seriously and
          directly affecting the responsibility of a Government contractor or subcontractor, or
          committing an unfair trade practice at 48 CFR Part 9.403.

The reasons for non-use (Section 9.4.4.4.) may escalate to the level appropriate for debarment.
Debarment is for a period commensurate with the seriousness of the cause(s), generally not
exceeding 3 years, except:
     •    violating provisions of the Drug-Free Workplace Act of 1988 may result in debarment
          not exceeding 5 years;
     •    debarments under 48 CFR 9.406-2(b)(2) are normally one year.

Suspension preceding debarment is considered in determining the length of debarment.
The Program Manager, on recommendation of the Carrier Review Board, may extend debarment
for a longer time if the Board determines an extension is needed to protect Government interest.
Debarment may not be extended solely based on facts and circumstances of the initial
debarment. Debarments under 48 CFR 9.406-2(b)(2) may be extended by the Attorney General
for an additional year if the Attorney General or designee determines the carrier continues in
violation of the employment provisions of the Immigration and Nationality Act. If debarment
for an additional period is determined to be necessary, the procedures of 48 CFR 9.406-3 shall be
followed to extend the debarment.

Notice of proposed debarment is given to the carrier and any specifically named affiliates,
by certified mail, return receipt requested, including:
     1. reasons for the proposed debarment;
     2. cause(s) under 48 CFR Part 9.406-2 for proposing debarment;
     3. DOE procedures governing debarment decision-making;


DOE-MCEP-2009 (Rev 0)                                  26
Motor Carrier Evaluation Program Plan and Procedures


      4. the potential effect of notice and actual debarment.

The carrier, within 30 days after receipt of the notice, may submit, in person, in writing, or
through a representative, information and arguments in opposition to the proposed debarment,
including any additional specific information raising a genuine dispute over the material facts.


10.       Program Evaluation

MCEP’s main objective is to evaluate and monitor the safety performance of commercial carrier
transportation activities throughout the DOE Complex, particularly for radioactive materials and
hazardous waste. The Program Manager will self-assess this Program Plan and Procedures each
fiscal year against applicable criteria and requirements (Federal regulations, DOE Orders, etc.)
to maintain regulatory and DOE policy compliance. This review may include participation of
DOE managers and staff and contractor specialists, at the direction of the Program Manager.


11.       Reporting

The Project Manager reports monthly status of the program to the Director, Office of Packaging
and Transportation.


12.       References

Code of Federal Regulations, Title 49, Parts 40 and 353-399 as applicable, Federal Motor
Carrier Safety Regulations, as amended

Code of Federal Regulations, Title 49, Parts 100-180 as applicable, Hazardous Materials
Regulations, as amended

Code of Federal Regulations, Title 41, Parts 109-40.103-2, Disqualification and Suspension of
Carriers, as amended

Code of Federal Regulations, Title 41, Parts 109-40, Transportation and Traffic Management,
as amended

Code of Federal Regulations, Title 10, Part 71, Packaging and Transportation of Radioactive
Material, as amended

The Atomic Energy Act of 1954, as amended.

Code of Federal Regulations, Title 40, Part 263, Standard Applicable to Transporters of
Hazardous waste, as amended

Code of Federal Regulations, Title 41, Parts 102-117, Transportation Management, as amended


DOE-MCEP-2009 (Rev 0)                                  27
Motor Carrier Evaluation Program Plan and Procedures




DOE O 460.2A, Departmental Materials Transportation and Packaging Management,
U.S. Department of Energy, Washington, DC, December 22, 2004

DOE G 460.2-1, Implementation Guide for Use with DOE O 460.2, November 15, 1996

DOE M 460.2-1A, Radioactive Material Transportation Practices Manual for use with
DOE O 460.2A, June 4, 2008

DOE O 414.1C, Quality Assurance, June 17, 2005


13.    Definitions
Active Carrier – A qualified carrier having transported DOE hazardous materials (as defined in
Section 6) during the past three year reporting periods and has not been suspended or placed in
temporary non-use.

Concerns – Items not regulatory driven, but indicate in-place management systems may not
ensure safe transport of hazardous materials. They also require a corrective action plan.

Debarment – Debarment is legal action taken to exclude a contractor (carrier) from doing
business with any Federal agency.

Findings – Those items requiring a corrective action plan due to their regulatory compliance
issue or DOE requirement.

Inactive Carrier – A carrier not having transported DOE hazardous materials (as defined in
Section 6) within the last three year reporting period and has not been removed from the
qualified list.

Radioactive Material in Quantities of Concern (RAMQC) – Threshold quantities of 16
radionuclides defined by NRC in EA-08-288 requiring additional security measures to possess
and transfer - see Federal Register: December 4, 2008 (Volume 73, Number 234).

Recommendations – Those items demonstrating best management practices. They are not
required in corrective action plans, and do not have an associated regulatory driver.

Temporary Non-use – A carrier who is on DOE’s qualified list but is temporarily barred from
transporting DOE hazardous materials. A carrier may be placed in temporary non-use status for
several reasons, such as failing to implement corrective actions from re-evaluation or not
responding to a Letter of Caution, receiving a conditional or unsatisfactory FMCSA rating or not
meeting DOE mandatory requirements. (See Section 9.4.4.4. for other grounds for temporary
non-use status.)




DOE-MCEP-2009 (Rev 0)                                  28
Motor Carrier Evaluation Program Plan and Procedures



14.       Acronyms

CFR                 Code of Federal Regulations
CIR                 Carrier Identification Report
CMV                 Commercial Motor Vehicle
CRB                 Carrier Review Board
CT                  Cargo Tank
CVSA                Commercial Vehicle Safety Association
DEAR                Department of Energy Acquisition Regulations
DOE                 U.S. Department of Energy
DOE-HQ              U.S. Department of Energy-Headquarters
DOJ                 U.S. Department of Justice
DOT                 U.S. Department of Transportation
DVIR                Drive Vehicle Inspection Report
EDGAR               Electronic Data Gathering, Analysis, and Retrieval
EPA                 U.S. Environmental Protection Agency
FMCSA               Federal Motor Carrier Safety Administration
FMCSR               Federal Motor Carrier Safety Regulations
HAZMAT              Hazardous Materials
HOS                 Hours of Service
HRCQ                Highway Route Controlled Quantity
ISO                 International Organizations for Standards
LTL                 Less than Truckload (Not used)
MCEP                Motor Carrier Evaluation Program
MCMIS               Motor Carrier Management Information System
NRC                 U.S. Nuclear Regulatory Commission
OOS                 Out-of-Service
PHMSA               Pipeline and Hazardous Materials Safety Administration
RAMQC               Radioactive Material in Quantities of Concern
SAFER               Safety and Fitness Electronic Record
SEA                 Safety Evaluation Area
SEC                 Securities Exchange Commission
SOP                 Standard Operating Procedure
TL                  Truckload




DOE-MCEP-2009 (Rev 0)                                  29
Motor Carrier Evaluation Program Plan and Procedures


Appendix 1 – DOE Mandatory Initial Screening Criteria

All responses to the questions should be “Yes” with the exception of question 8, which should be
answered “No.” If the answer to question 8 is “Yes” and the bankruptcy is filed under Chapter
11, carrier eligibility will be determined on a case-by-case basis.


                                                                           Meets requirements
                        DOE Mandatory Screening Criteria
                                                                           YES          NO
Initial Screening Process Step 1
1. Carrier must have a "Satisfactory” safety rating only (no New Carrier
   Entrant, Conditional, or Unsatisfactory rating.)
2. All SEA values must be below 65:
       a. Driver SEA.
       b. Vehicle SEA.
       c. Safety Management SEA.
Initial Screening Process Step 2
3. USDOT identification number.
4. PHMSA HAZMAT registration number
5. EPA Registration number (if applicable).
6. Correct amount of liability insurance coverage for the volume and
   types of commodities transported.
7. Copy of completed MCS-90 and Accord form.
8. Has the carrier filed a bankruptcy petition within the past 12 months
   (correct response should be NO).
9. Copy of Completed MCIR, Carrier Questionnaire and all items on List
   of Requested Documents, as applicable to the carrier.

10. Capable of passing CVSA Level I inspection
11. DOT Hazmat Safety Permit (If applicable)




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Motor Carrier Evaluation Program Plan and Procedures


Appendix 2 – Initial Carrier Contact Letter (Example)

(Name and Title of Carrier Point of Contact)
Name (carrier)
Address
City, State, Zip

Dear (Name of Carrier Point of Contact):

Thanks for the opportunity to evaluate (Carrier) on behalf of the U.S. Department of Energy
(DOE), Office of Transportation’s Motor Carrier Evaluation Program (MCEP).

The purpose of this program is to ensure only qualified carriers are used to transport DOE
radioactive materials and hazardous waste.

Please complete and return the MCEP Carrier Identification Report, Carrier Evaluation
Questionnaire, and the items identified on the enclosed List of Requested Documents. Please
send them to (Name and address of individual to receive carrier submitted information). Your
response within two weeks will be appreciated.

DOE will provide (Carrier) with specific information during the evaluation about expectations
for carriers selected to transport DOE radioactive materials and hazardous waste.

If you have questions, please call me at (phone number), or (name of individual) of my staff, at
(phone number).

Sincerely,

(Signature and Title)

Enclosures




DOE-MCEP-2009 (Rev 0)                                  31
Motor Carrier Evaluation Program Plan and Procedures


Appendix 3 – Carrier Identification Report




DOE-MCEP-2009 (Rev 0)                                  32
Motor Carrier Evaluation Program Plan and Procedures




DOE-MCEP-2009 (Rev 0)                                  33
Motor Carrier Evaluation Program Plan and Procedures


Appendix 4 – Carrier Evaluation Questionnaire

General Information


Carrier Name:

Address:



Telephone Number:                                                    Fax Number:

Web site Address:

Incident Response Telephone Number:

Parent Company (if applicable):

Address:



Telephone Number:                                              Fax Number:

DOT MC Number:

Canadian Provincial Permits: [ ] No                    [ ] Yes (provide copies)

Mexican Authority:                   [ ] No            [ ] Yes (provide copies)             [ ] Interline
(with whom)


General Questions


1. Are Policies and Procedures uniform throughout company facilities?                [ ] Yes
      [ ] No

2. What is the company's operating ratio for the past three years?

     Current Year                        Previous Year                            Next Previous Year


3. What is the carrier’s asset to liabilities ratio?




DOE-MCEP-2009 (Rev 0)                                    34
Motor Carrier Evaluation Program Plan and Procedures


Freight Claims and Pending Litigation


4. If applicable, what is the carrier's freight claims ratio?

     What is the number of claims per thousand shipments?

     What is the percentage relationship of claims to line haul revenue?

5. What percentages of the carrier's freight claims are paid within 30 days?

6. Does the carrier have an "automatic" pay amount for freight claims?      [ ] Yes          [ ] No

7. Is the carrier a party to any pending or enforcement activities by regulatory agencies?
   (i.e., DOT, EPA, OSHA, State or local governments, etc.)

     [ ] No         [ ] Yes, explain:




Carrier Safety


8. Explain where and how the carrier maintains records of accidents to meet the requirements of
   49 CFR 390.15?




9. Does the carrier maintain a review board to investigate accidents?

     [ ] No         [ ] Yes (title of board members):



10. Does the carrier maintain a review board to ascertain the preventability of accidents or
    incidents?

     [ ] No         [ ] Yes (title of board members):




DOE-MCEP-2009 (Rev 0)                                  35
Motor Carrier Evaluation Program Plan and Procedures


11. Does the carrier have a Safety Department/Organization?                       [ ] Yes
       [ ] No

12. Name and title of persons responsible for compliance in the following areas:

     EPA:

     FMCSR:

     HMR:

     Training:

     Risk Management:

     Fleet
     Maintenance:________________________________________________________________

     Drug and Alcohol
     Program:___________________________________________________________________

13. Are current copies (as applicable) of 10 CFR, 29 CFR, 40 CFR and 49 CFR available to
    employees of the carrier?
    [ ] No     [ ] Yes, format:



14. What is the frequency of regularly scheduled safety meetings?

     [   ] Weekly                    [   ] Monthly          [   ] Semi-annually   [   ] Other

15. Describe the system used to document a driver's participation in the regularly scheduled
    safety meetings?




DOE-MCEP-2009 (Rev 0)                                  36
Motor Carrier Evaluation Program Plan and Procedures


Emergency Response and Spill Prevention and Control


16. Does the carrier maintain a capability to respond to emergency situations while trailers,
    loaded with hazardous materials, are en route?

     [ ] In-house capability         [ ] Third-party capability (with whom):



17. How does the carrier verify appropriate emergency response information is accompanying all
    hazardous materials shipments (49 CFR 172.602)?




18. Has the carrier developed written procedures for spill prevention and control?

     [ ] Yes        [ ] No

19. Is the carrier equipped to handle spill remediation and damaged containers at its terminals or
    on its vehicles when transporting HAZMAT en route?

     [ ] No         [ ] Yes, how:




Carrier Equipment Profile


20. What criteria does the carrier use to determine equipment replacement?

     Tractors:

     Trailers:

     Recap tire control:

     Capability to pass CVSA Level 1 inspection of tractor and trailer: _____________________

     Owner/Operators:




DOE-MCEP-2009 (Rev 0)                                  37
Motor Carrier Evaluation Program Plan and Procedures


21. What types of communication devices are installed in the carrier's equipment?

     [ ] CB Radio                    [ ] Satellite          [ ] Telephone (mobile or cellular)
     [ ] Two-way Radio                      [ ] Pagers             [ ] Others

22. Does the carrier utilize onboard equipment to monitor driving habits and equipment use?

     [ ] No         [ ] Yes, explain:




Operations/Customer Service


23. How does the carrier inform the shipper or receiver when pickup or delivery times will not be
    met?




24. Explain the carrier's ability to trace or track shipments in transit.




25. Explain the dispatch function.




26. Does the dispatch function have the ability to lock out drivers or equipment that are not in
    compliance (HOS or OOS)?



27. Is the carrier involved in any intermodal programs?            [ ] No        [ ] Rail
         [ ] Vessel

28. What special services may be offered by the carrier?
    [ ] Drivers with security clearances
    [ ] Team drivers



DOE-MCEP-2009 (Rev 0)                                  38
Motor Carrier Evaluation Program Plan and Procedures


     [ ] Call-in services
     [ ] Other ________________________

29. What Electronic Data Interchange (EDI) capability does the carrier have?




30. Does the carrier participate in Electronic Funds Transfer (EFT)?

     [ ] No         [ ] Yes


Drivers


31. Does the carrier’s employee hiring policy include checking:
    [ ] Gaps in employment
    [ ] Frequent job shifts or changes
    [ ] All names (aliases) used by the applicant
    [ ] Applications completed in person, by the applicant, at the facility
    [ ] Type of military discharge
    [ ] U.S. Citizenship
    [ ] Appropriate papers on file for resident alien (green card) applicants
    [ ] Present or prior residence information
    [ ] Personal references
    [ ] Criminal history
    [ ] Other




32. What is the carrier’s driver turnover ratio for the past three years?

     Current Year                        Previous Year                      Next Previous Year

33. What is the carrier's hiring process and minimum qualifications for driver applicants (49 CFR
    391.11)?




DOE-MCEP-2009 (Rev 0)                                    39
Motor Carrier Evaluation Program Plan and Procedures


34. What type of background checks are conducted on potential drivers?

     [ ] Former Employer                  [ ] Criminal          [ ] Citizenship      [ ] Financial   [ ]
     Other


35. Does the carrier observe or survey drivers' performance while operating equipment?

     [ ] No         [ ] Yes, explain:




36. Does the carrier have and enforce a written policy regarding drivers placed "out-of-service"
    who operate the vehicle before coming into compliance (jumping)?

     [ ] Yes        [ ] No, why:


Training


37. How does the carrier ensure that drivers are instructed in, and are knowledgeable of the
    Federal Motor Carrier Safety Regulations (FMCSR)?


38. How does the carrier provide recurrent training in FMCSR regulations?




39. What is the format of instruction used?

     [ ] Classroom                   [ ] Video         [   ] Audio tape                 [ ] Newsletters

     [ ] Read and Sign               [ ] Computer-based training                  [ ] Other _______________

40. Has the carrier developed a program to instruct its drivers on the proper use of personal
    protective equipment (PPE)?

     [ ] Yes        [ ] No




DOE-MCEP-2009 (Rev 0)                                      40
Motor Carrier Evaluation Program Plan and Procedures


41. Are drivers trained in emergency response actions?

     [ ] Yes        [ ] No

42. Are all HAZMAT employees subject to the carrier’s Security Plan requirements (49 CFR
    172.800) trained to the Security Plan?

     [   ] Yes      [   ] No


Maintenance of Equipment


43. How does the carrier verify that drivers conduct pre-trip and post-trip vehicle inspections?




44. How are the carrier's maintenance capabilities carried out?

     [ ] In-house                    [ ] Third-party

45. Are drivers authorized to make repairs on equipment?

     [ ] No         [ ] Yes, (what types):




Physical Security


46. Has the carrier developed and implemented a Security Plan to address at-risk commodities or
    transportation routes?

     [   ] Yes      [   ] No

47. Has the carrier developed and implemented a Security Plan per DOT 49 CFR 172.800 as
    applicable to the commodities being shipped?

     [   ] Yes      [   ] No




DOE-MCEP-2009 (Rev 0)                                  41
Motor Carrier Evaluation Program Plan and Procedures


48. Does the carrier have a formal Security Department/Organization?

     [   ] Yes      [   ] No

49. Can the carrier demonstrate the risk model used in the development of the Security Plan?

     [   ] Yes      [   ] No

50. Does the carrier’s Security Plan cover the following items:

     [ ] Personal security
     [ ] Hazardous materials and package control
     [ ] En Route security
     [ ] Plant or facility security
     [ ] Technical innovations
     [ ] Management prerogatives
     [ ] Communications

51. Does the carrier include security in all decision-making processes?

     [   ] Yes      [   ] No

52. Does the carrier conduct security spot checks of personnel and vehicles?

     [   ] Yes      [   ] No

53. Does the carrier have appropriate access controls for the type of materials being
    stored/shipped?

     [   ] Yes      [   ] No

54. Is there adequate lighting/security in hazardous materials storage areas?

     [   ] Yes      [   ] No

55. Does the carrier have a policy for ensuring vendor/shipper legitimacy?

     [ ] Yes        [ ] No

56. Does the carrier maintain and implement security training for employees that includes:

     [   ] Company security objectives
     [   ] Specific security procedures
     [   ] Employee responsibilities
     [   ] Organizational security structure




DOE-MCEP-2009 (Rev 0)                                  42
Motor Carrier Evaluation Program Plan and Procedures


57. How does the carrier distribute security messages to employees?

     [   ] Newsletters               [   ] Bulletin boards          [ ] Safety Meetings

     [ ] Other

58. Is there a specific frequency to the distribution of the security messages?

     [   ] Weekly                    [   ] Monthly           [   ] Semi-annually   [   ] Other

59. Does the carrier have a lock policy/procedure?

     [   ] Yes      [   ] No

60. Does the carrier have an access control policy/procedure?

     [   ] Yes      [   ] No

61. Does the carrier have a policy to minimize stops when the shipment is en route?

     [   ] Yes      [   ] No

62. Does the carrier have a capability for providing escorts or guards for specific shipments of
    hazardous materials?

     [   ] Yes      [   ] No

63. Has the carrier installed or considering installing advanced tracking technology for tractors
    and trailers?

     [   ] Installed (i.e. satellite tracking, hot buttons, coded engine starting procedures, etc)
     [   ] Tractors
     [   ] Trailers
     [   ] Considering installation

64. What communication systems have been installed to enhance the flow of information
    between driver, carrier, shipper, and receiver?




DOE-MCEP-2009 (Rev 0)                                  43
Motor Carrier Evaluation Program Plan and Procedures


65. Identify the precautions the carrier has taken to prevent vandalism or theft within its facilities
    and while shipment of hazardous materials are en route?

     Facilities:           [   ] Gates, manual or electric     [   ] Perimeter fencing
                           [   ] Lighting                      [   ] 24-hour operation
                           [   ] Security guards               [   ] Animals (i.e., dogs, etc.)
                           [   ] Cameras                       [   ] Other _____________________

     En route:             [ ] King pin locks                  [ ] Valve locks
                           [ ] Team drivers                           [ ] Other _______________


Hazardous Materials


66. How many years experience does the carrier/staff have transporting the following
    commodities?
                                  Carrier                  Staff

     Hazardous materials?

     Radioactive materials?

     Hazardous waste?

67. What percentage of the carrier's business is composed of hazardous materials shipments?

                           %

68. Beside hazardous materials training, does the carrier have any additional requirements for
    those drivers transporting hazardous materials in contract to general commodity drivers?



69. Does the carrier provide equipment and training to handle damaged containers and/or spill
    cleanup?

     [ ] No         [ ] Yes, describe:

70. Does the carrier trip-lease hazardous material shipments to other carriers?

     [ ] No         [ ] Yes, who:




DOE-MCEP-2009 (Rev 0)                                  44
Motor Carrier Evaluation Program Plan and Procedures


71. Does the carrier have any driver who must comply with the training requirement for
    Highway Route Control Quantity (HRCQ) shipments (49 CFR 397.101)?

     [ ] No         [ ] Yes, explain:



72. If transporting HRCQ materials, can the carrier provide a copy of the written route plan
    required by 397.101(d)?

     [ ] Yes        [ ] No, why:



Waste Carriers


73. Describe the record keeping process for uniform hazardous waste manifests?




74. Does the carrier act as a broker for hazardous waste shipments?

     [ ] No         [ ] Yes, explain:




75. Does the carrier interline hazardous waste shipments?

     [ ] No         [ ] Yes, explain:



76. Does the carrier accept shipments of hazardous waste from brokers?

     [ ] No         [ ] Yes, explain:




DOE-MCEP-2009 (Rev 0)                                  45
Motor Carrier Evaluation Program Plan and Procedures


Carriers Transporting Hazardous Materials in Bulk


77. Does the carrier clean its own cargo tank equipment onsite?

     [ ] No         [ ] Yes

78. Are procedures established for the following cleaning methods, if used:

          Steam Cleaning?                     [ ] Yes         [ ] No

          Hot Water Cleaning?                 [ ] Yes         [ ] No

          Solvent Cleaning?                   [ ] Yes         [ ] No

79. Does the carrier have its cargo tanks cleaned by an independent third party?

     [ ] Yes        [ ] No

80. Does the carrier have a process to qualify independent cargo tank cleaning facilities?

     [ ] Yes        [ ] No

81. Is there a written policy to ensure loading and unloading responsibilities of a driver and
    shipper/receiver are documented?

     [ ] Yes        [ ] No

82. Does the carrier use third party DOT registered facilities for cargo tank tests, inspections, and
    repairs?

     [ ] Yes        [ ] No

83. Has the carrier received a copy of the third parties registration number identification from DOT?

     [ ] Yes        [ ] No

84. How does the carrier perform inspections and re-testing of the bulk packages under its control?




DOE-MCEP-2009 (Rev 0)                                   46
Motor Carrier Evaluation Program Plan and Procedures




85. What are the qualifications/certifications of the persons or organizations performing
    inspection, repairs, and re-testing functions?




86. List all exemptions for bulk packaging the carrier currently holds or is a party to. If more
    space is needed, please provide a separate list.

          Exemption                                          Expiration Date




Radioactive Material in Quantities of Concern (RAMQC)


87. Does the carrier currently transport Radioactive Material in Quantities of Concern
    (RAMQC)?

     [ ] Yes       [ ] No




DOE-MCEP-2009 (Rev 0)                                  47
Motor Carrier Evaluation Program Plan and Procedures


Appendix 5 – List of Requested Documents


                        LIST OF REQUESTED DOCUMENTS
A.       Completed Copy of Carrier Evaluation Questionnaire and Motor Carrier Identification Report
         (MCIR)

B.       Copy of Operating Authorities

C.       Copy of Alcohol Misuse/Controlled Substance Use Policies/Procedures

D.       BTS Form M (OMB#2139-0004), Securities and Exchange Commission Form 10K Report, or
         Most Current Income Statement and Balance Sheet

E.       Organization Chart

F.       Carrier Quality Assurance Program

G.       Brief History of the Company

H.       DOT HAZMAT Safety Permit (If applicable)

I.       Hazardous Materials (HAZMAT) Employees Training Program

J.       List of all identified HAZMAT employees by category or by training requirements

K.       Emergency Response Procedures/Plan

L.       Copy of Driver’s Safety Awards Program & Disciplinary Policy

M.       Copy of the Maintenance Program

N.       Policy on maintaining and auditing Drivers’ Record of Duty Status

O.       Complete copy of most recent DOT Compliance Review

P.       Copy of Employee Hiring Policies

Q.       Copy of Confined Space Entry Policy and Procedures (if applicable)

R.       Copy of American Society of Mechanical Engineers (ASME) Board "R" Stamp (if applicable)

S.       Copy of your letter to Pipeline and Hazardous Materials Safety Administration (PHMSA)
         requesting a Cargo Tank (CT) number (if applicable)

T.       Copy of Letter from PHMSA with CT number (if applicable)




DOE-MCEP-2009 (Rev 0)                                  48
Motor Carrier Evaluation Program Plan and Procedures


Appendix 6 – Sample Onsite Carrier Confirmation Letter


(Name of Carrier Point of Contact)
Name (Carrier)
Address
City, State, Zip

Dear (Name of Carrier Point of Contact):

Thanks for the opportunity to evaluate (Carrier) by the U.S. Department of Energy (DOE),
Office of Transportation’s Motor Carrier Evaluation Program (MCEP). This program evaluates
carriers to ensure only MCEP-evaluated carriers are used to transport materials for DOE and its
contractors, particularly hazardous materials, including radioactive materials and hazardous
waste.

The confirmed dates for this evaluation are (dates). The Evaluation Team will include (Names
and Titles of those participating in the onsite evaluation, including any observers). During our
visit we will need to inspect your driver files, equipment maintenance records, and driver logs,
along with supporting documentation including:

Port of Entry receipts Delivery receipts           Fuel receipts   Toll receipts
Bills of lading         Weight tickets             Trip reports    Accident reports
Security guard reports State vehicle inspection reports            Time-clock records
Driver Vehicle Inspection Reports                  State speeding/moving citations

General topics for discussion will include insurance and claims, safety, emergency response,
carrier equipment, customer service, driver selection and training, equipment maintenance,
security, and hazardous material policies and procedures.

A current copy of your SafetyNet Report from the Federal Motor Carrier Safety Administration
is enclosed for your review. Please review your SafetyNet Report for accuracy as the
information and statistics in this report will be explored during your evaluation.

This onsite evaluation will also provide (Carrier) with key DOE expectations for carriers
selected to transport DOE radioactive materials and hazardous waste. If you have questions,
please call (phone number), or (name of individual) of my staff, at (phone number).

Sincerely,

(Signature and Title)

Enclosures




DOE-MCEP-2009 (Rev 0)                                  49
Motor Carrier Evaluation Program Plan and Procedures


Appendix 7 – Evaluation Sample Size Guide

The following tables and instructions identify the number of files to be reviewed during an onsite
evaluation to determine a carrier’s compliance with regulations in its hiring practices, driver
management, Drivers’ Hours of Service (HOS) records, and maintenance policies and
procedures.

Note to evaluators:
     •    If the Federal Motor Carrier Safety Administration (FMCSA) has performed a
          Compliance Review of the carrier within the past 9 months and if the carrier's SEA
          values are 25 or less, no duplicate reviews of Compliance Review items are necessary.
          For example, if the FMCSA Compliance Review included hours of service records, and
          the Driver SEA value is 18, no review of the carrier's HOS files will be required. If the
          FMCSA Compliance Review included maintenance files and the Vehicle SEA is 24, no
          review of the carrier's maintenance files will be required.
     •    Any systematic problem emerging during reviewing sampled records may be cause for
          the Evaluation Team Leader to stop the evaluation.

1. Vehicle Inspection and Maintenance

The purpose of this review is to establish the effectiveness of carrier maintenance practices,
driver equipment inspections, and carrier follow-up, as well as the overall condition of the
carrier’s fleet. A carrier’s maintenance system involves three elements: vehicle maintenance,
vehicle inspection reports, and maintenance records. Evaluators should select, when possible,
drivers’ daily written inspection reports and maintenance records coinciding with the vehicles
available for inspection.

Vehicle and maintenance files should be selected in the following order:
     •    Vehicles involved in accidents (evaluators should ask to see accident register (49 CFR,
          Part 390.15)
     •    Vehicles cited for equipment violations during roadside inspections
     •    Inspection and maintenance records for at least one of each type of vehicle operated, if
          possible

A random selection should be made from the balance of maintenance files to make up the total
number to be examined, based on the number of vehicles subject to Federal Motor Carrier Safety
Regulations (FMCSRs).




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Motor Carrier Evaluation Program Plan and Procedures


Using an online Sample Size Calculator (www.surveysystem.com) with a 15% +/- error rate and
a 95% certainty, Sample Sizes are as follows:


    Number of Vehicles Subject to FMCSRs                    Minimum Number of Vehicle Maintenance
                                                                      Files to Review
                           1 - 10                                            10
                           11 - 50                                           23
                          51 – 150                                           33
                         151 - 500                                           39
                         501 - 750                                           40
                        751 - 1000                                           41
                        1000 - 9500                                          42

         Note: Vehicle violations or defects discovered during the evaluation should be
         immediately reported to the carrier. In addition to the Vehicle Maintenance
         Checklist, the Training and Qualification Checklist for all maintenance personnel
         should be completed.

2. Driver Qualification Files

A review of the Driver Qualification Files is conducted to determine whether a carrier’s hiring
practices meet requirements of 49 CFR, Part 391, and verify regulatory compliance.

Selection of Driver Qualification Files is based on the following criteria:
     •    Drivers involved in accidents (evaluators should ask to see accident register 49 CFR,
          Part 390.15)
     •    Drivers cited for driver qualification violations during roadside inspections

A random selection is made from the balance of the Driver Qualification Files to make up the
total number to be examined, based on the number of drivers subject to FMCSRs.

    Number of Drivers Subject to the FMCSRs                  Minimum Number of Driver Qualification
                                                                     Files to be Reviewed
                           1 - 10                                              10
                          11 - 50                                              23
                         51 - 150                                              33
                         151 - 500                                             39
                         501 - 750                                             40
                        751 - 1000                                             41
                        1001 - 9500                                            42




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3. Drivers’ Hours of Service

Drivers’ HOS records (logbooks or timecards) are reviewed to ensure drivers are complying with
the requirements of 49 CFR, Part 395, and the carrier is strictly complying with regulations for
regularly and knowledgeably auditing time documents.

Selection of files for examination is based on the following criteria:
     •    Drivers involved in accidents (evaluators should ask to see accident register 49 CFR,
          Part 390.15)
     •    Drivers cited for HOS violations during roadside inspections
     •    Carrier operations having revealed noncompliance, potentially linked to driver behavior

Randomly selected time documents are then selected from the table below to make up the total
number examined. The column titled “Minimum Number of Files to Review” indicates the
minimum number of daily time documents to be examined. Typically, evaluators should only
use a small number of additional time documents to verify logbook entries.

  Number of             Time Period of Records of Duty     Minimum Number of Different   Minimum Number of Files to
Drivers Subject                     Status                      Drivers Selected                 Review
  to FMCSR
     1 - 10             1 – 2 months from prior 6 months               10                           300
     11 - 50            1 – 2 months from prior 6 months               23                           690
    51 - 150            1 – 2 months from prior 6 months               33                           990
   151 – 500            1 – 2 months from prior 6 months               39                          1170
   501 – 750            1 – 2 months from prior 6 months               40                          1200
   751 - 1000           1 – 2 months from prior 6 months               41                          1230
  1001 - 9500           1 – 2 months from prior 6 months               42                          1260


Entries on the Drivers’ Records of Duty Status are compared to verified entries on other
company documents to detect inconsistencies. Documents including mileage or time and date
entries can be used to verify Record of Duty Status entries. These may include:
Delivery receipts                                 Maintenance records                    Trip reports
Toll receipts                                     Bills of lading                        Security guard reports
Fuel receipts                                     Weight tickets                         Port of entry receipts
Accident reports                                  Time-clock records
State vehicle inspection reports                  State speeding/moving citations

4. Checklists

A master checklist for each of these three categories can be found in Appendix 8 through
Appendix 12 of this Plan and Procedures. These checklists should be copied prior to the onsite



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Motor Carrier Evaluation Program Plan and Procedures


visit, based on the number of carrier drivers and vehicles reported. The evaluator will complete
an individual checklist for each of the Driver Qualification Files, Logbooks, and Vehicle
Maintenance Files examined.




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Motor Carrier Evaluation Program Plan and Procedures


Appendix 8 – Vehicle Maintenance File Checklist


1.    Carrier Name:                                                               Evaluation Date:

2.    Tractor Number:                          Trailer Number:                             Other:

Codes:
C      I            M      *         (Codes: C = Compliance I = Incomplete       M = Missing * = See comments)

[ ]       [ ]       [ ]    [ ]       Record Retention for Vehicle(s) [(49 CFR, Part 396.2(c)]:




[ ]       [ ]       [ ]    [ ]       Follows Systematic Periodic Maintenance (PM) plan (49 CFR, Part 396.3):




[ ]       [ ]       [ ]    [ ]       Periodic (Annual) Inspection (49 CFR, Part 396.17):




[ ]       [ ]       [ ]    [ ]       Maintains Driver Vehicle Inspection Reports (DVIR) (49 CFR, Part 396.11):




General Comments:




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Motor Carrier Evaluation Program Plan and Procedures


Appendix 9 – Vehicle Inspection (Physical) Checklist


1.    Carrier Name:                                                              Evaluation Date:

2.    Tractor Number:                          Trailer Number:                            Other:

Codes:
C      I            M      *         (Codes: C = Compliance I = Incomplete       M = Missing * = See comments)


[ ]       [ ]       [ ]    [ ]       Vehicle(s) maintain required markings (49 CFR, Part 390.21):




[ ]       [ ]       [ ]    [ ]       Maintains Required Emergency Equipment on Vehicle (49 CFR, Part 392.8):




[ ]       [ ]       [ ]    [ ]       Vehicle Shows Validation of Current DOT Periodic (Annual) Inspection
                                     [49 CFR, Part 396.17(c)]:




[ ]      [ ]        [ ]    [ ]       Copy of PHMSA Hazmat Certificate of Registration on Vehicle 49 CFR
107.620:



[ ]       [ ]       [ ]    [ ]       Are “Out of Service” or “Yard Use Only” vehicles marked appropriately
                                     to prevent their use on the road:________________________________




General Comments:




DOE-MCEP-2009 (Rev 0)                                    55
Motor Carrier Evaluation Program Plan and Procedures


Appendix 10 – Driver Qualification File Checklist


1.    Carrier Name:                                                        Evaluation Date:

2.    Driver Name:

Codes:
C      I            M       *         (Codes: C = Compliance I = Incomplete       M = Missing * = See comments)

[ ]       [ ]       [ ]     [ ]       Application for Employment (49 CFR, Part 391.21):



[ ]       [ ]       [ ]     [ ]       Driving Record Inquiry (MVR) (49 CFR, Part 391.25):



[ ]       [ ]       [ ]     [ ]       Previous Employment Inquiry (49 CFR, Part 391.23):



[ ]       [ ]       [ ]     [ ]       Road Test Certification (49 CFR, Part 391.31 or 391.33):

          [ ] Tractor/Trailer         [ ] Straight Truck        [ ] Dry Van
          [ ] Tank                    [ ] Flatbed               [ ] Other:

[ ]       [ ]       [ ]     [ ]       Medical Examination Certification (49 CFR, Part 391.41):



[ ]       [ ]       [ ]     [ ]       Annual Certification of Violations (49 CFR, Part 391.27):



[ ]       [ ]       [ ]     [ ]       Annual Review of Driving Record (49 CFR, Part 391.25):



[ ]       [ ]       [ ]     [ ]       Vehicle Operator's License (49 CFR, Part 383.23):

State:                          Expiration:                      Class: [ ] A     [ ]B     [ ]C   [ ] Other:

Endorsements:       [ ] None [ ] H       [ ] X [ ] N [ ] T [ ] P [ ] Other:

Restrictions:       [ ] Air Brake [ ] Other:

General Comments:




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Motor Carrier Evaluation Program Plan and Procedures


Appendix 11 – Driver’s Record of Duty Status Checklist


1.    Carrier Name:                                                       Evaluation Date:

2.    Driver Name:

Codes:
C      I            M      *         (Codes: C = Compliance I = Incomplete         M = Missing * = See comments)

[ ]       [ ]       [ ]    [ ]       Record of Duty Status (49 CFR, Part 395.1 or 395.8):

[ ] Log Book               [ ] On-board Computer                [ ] Scannable Log                   [ ] Timecard

Form Contains Required Information:
[ ] Date                         [ ] Main office address                          [ ] Name of co-driver
[ ] Total miles driven today     [ ] Driver's signature                           [ ] Total hours
[ ] Tractor/trailer number(s)    [ ] 24-hour period start time                    [ ] Shipping document No. or
[ ] Name of carrier              [ ] Remarks                                          commodity & Shipper

[ ]       [ ]       [ ]    [ ]       Auditing log for form and manner errors:



[ ]       [ ]       [ ]    [ ]       Monitoring receipt of logs within 13 days:

[ ]       [ ]       [ ]    [ ]       Logs reviewed for Driver’s Record of Duty Status errors:

Errors 11-hour rule:       [ ] No      [ ] Yes Log Date:
Errors 14-hour rule:       [ ] No      [ ] Yes Log Date:
Errors 70-hour rule:       [ ] No      [ ] Yes Log Date:

[ ]       [ ]       [ ]    [ ]       Driver disciplined for falsifying data (Log Date):



[ ]       [ ]       [ ]    [ ]       Logs maintained at principle place of business for 6 months:



[ ]       [ ]       [ ]    [ ]       Supporting documents retained for at least 6 months:



General Comments:




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Appendix 12 – HAZMAT Employee Training Checklist

1.    Carrier Name:                                                               Evaluation Date:

2.    Employee Name:

Codes:
C      I            M      *         (Codes: C = Compliance I = Incomplete       M = Missing * = See comments)

Identified as HAZMAT Employee (or Driver per 49 CFR, Part 171.8)? [ ] Yes                [ ] No

[ ]       [ ]       [ ]    [ ]       Verify files document training received (49 CFR, Part 172.704):



Identified to transport Highway Route Controlled Quantities (HRCQ) of radioactive materials?
[ ] Yes            [ ] No

[ ]       [ ]       [ ]    [ ]       Verify files/document training received (49 CFR, Part 397.101):



Identified to transport hazardous materials in Cargo Tanks or Portable Tanks (49 CFR, Part 177.816)?
[ ] Yes            [ ] No

[ ]       [ ]       [ ]    [ ]       Verify files/document training received (49 CFR, Part 177.816):



[ ]       [ ]       [ ]    [ ]       Verify recurrent training requirements have been met for 49 CFR, Parts 390
                                     - 397 per 49 CFR, Part 177.816_______________________________________



[ ]       [ ]       [ ]    [ ]       Verify that relevant training requirements have been met for 49 CFR, Part
                                     172.700: _________________________________________________________




General Comments:




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Appendix 13A – Alcohol and Controlled Substance Abuse

              DOT MANDATORY REQUIREMENTS                               YES        NO        N/A
Verify carrier has implemented an alcohol misuse and controlled
substances use testing program meeting requirements of 49 CFR,
Parts 40 and 382.115(a).
Verify drivers holding Commercial Driver's Licenses (CDL) are
in the program - 49 CFR, Part 382.103.
Verify carrier has and enforces a policy to remove drivers found
with alcohol concentrations greater that 0.02 but less than 0.04,
from performing safety sensitive functions - 49 CFR, Part
382.505.
Verify, from the annual summary, carrier meets minimum
requirement of 50% for random testing for controlled substances
use - 49 CFR, Part 382.305.
Verify, from the annual summary, carrier meets minimum
requirement of 10% for alcohol misuse testing - 49 CFR, Part
382.305.
Verify carrier prepares and maintains a summary of the results of
its alcohol and controlled substances testing for the previous year
per 49 CFR, Part 382.403.
Verify carrier only uses laboratories certified by DOT for its
alcohol misuse and controlled substance abuse testing.
Verify carrier meets requirements for maintaining records - 49
CFR, Part 382.401.
Verify carrier ensures post-accident testing for alcohol misuse or
controlled substances use has been performed - 49 CFR, Part
382.303.
Verify Managers and Supervisors designated to supervise
drivers have received training for alcohol misuse and controlled
substances - 49 CFR, Part 382.603
Standard: Carrier is knowledgeable of the requirements of 49          Reference: 49 CFR, Parts 40,
CFR, Parts 40 and 382, and has established a program designed         392.103, 382.115, 382.305,
to prevent accidents and injuries resulting from the misuse of        and 382,505.
alcohol or use of controlled substances by drivers of commercial
motor vehicles.




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Appendix 13B – Maintenance

              DOT MANDATORY REQUIREMENTS                               YES   NO        N/A
Verify carrier has a policy for scheduled maintenance for all
vehicles in its control - 49 CFR, Part 396.3(a).
Verify carrier maintains records for all vehicles in its control for
30 consecutive days or more - 49 CFR, Part 396.3(b). (Per the
sample size)
Verify carrier maintains driver vehicle inspection reports for a
period of three months - 49 CFR, Part 396.11(c)(2). (Per the
sample size)
Verify carrier performs periodic (annual) inspections and
maintains accurate records - 49 CFR, Part 396.17-21. (Use
sample size)
Verify carrier maintains Maintenance Inspector Qualifications -
49 CFR, Part 396.19.
Verify carrier maintains Qualifications of Brake Inspectors - 49
CFR, Part 396.25.
Using Vehicle Inspection Checklist to inspect vehicles (if
applicable) at the facility to verify the following:
a. Proof of periodic (annual) inspection is carried on each CMV
- 49 CFR, Part 396.17 (or current CVSA equivalency)
b. Carrier's CMVs are marked to meet DOT requirements - 49
CFR, Part 390.21
c. Verify carriers transporting HAZMAT maintain a copy of the
HAZMAT certificate of registration at their principal place of
business, and on the vehicle - 49 CFR, Part 107.620(b)
d. Verify the carrier transporting HAZMAT subject to 48 CFR
385.403 has a copy of the Safety Permit in the vehicle(s)
Standard: The carrier is knowledgeable of requirements           Reference: 49 CFR, Parts
ensuring its vehicles meet the applicable requirements of 49 CFR 107.620, 390.21, and 396,
107, 390, and 396 and Appendix G.                                and Appendix G.




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Appendix 13C – Driver Qualification Files

              DOT MANDATORY REQUIREMENTS                                  YES        NO        N/A
Verify a completed and signed application for employment is in
each files - 49 CFR, Part 391.21.
Verify a written record of contact with past employers exists - 49
CFR, Part 391.21.
Verify a response from a state agency pursuant to 49 CFR, Part
391.23 (initial investigation for new hires).
Verify a response of each state agency to the annual driver
record inquiry with annual review and signature - 49 CFR, Part
391.25.
Verify existence of a driver’s list or certificate relating to vehicle
laws and ordinances per 49 CFR, Part 391.27.
Verify issuance of a certificate of road test to drivers - 49 CFR,
Part 391.31, or a copy of a license accepted as equivalent - 49
CFR, Part 391.33.
Verify Medical Examiner's Certificate - 49 CFR, Part 391.43.
Verify waivers are granted by the Regional Director of Motor
Carriers as applicable - 49 CFR, Part 391.49
Verify files of previous drivers are maintained for 3 years after
their departure - 49 CFR, Part 391.51.
Standard: The carrier establishes a Driver Qualification File for        Reference: 49 CFR, Parts
each individual hired to drive a commercial motor vehicle, and           391.21, 391.23, 391.25,
maintain and review each file to meet DOT requirements in 49             391.27, 391.31, 391.33,
CFR, Part 391.                                                           391.43, 391.49 and 391.51.




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Appendix 13D – Driver Hours of Service Records

              DOT MANDATORY REQUIREMENTS                              YES        NO        N/A
Verify drivers submit time documents to meet requirements of
49 CFR, Parts 395.8 and 395.1(e).
Verify carrier maintains Driver's Hours of Service records for a
period of six (6) months per 49 CFR, Parts 395.8 or 395.1(e)(5).
Verify, using the worksheet, drivers use the 100 air-mile radius
driver exemption 395.1(e) complying with the following:
a. Operate within the 100 air-mile radius.
b. Return to the reporting location and be released from work
within 12 consecutive hours.
c. Have at least 10 consecutive hours off duty separating each 12
hours on duty.
d. Do not drive more that 11 hours following 10 consecutive
hours off duty.
Verify, using the worksheet, the carrier:
a. Does not allow drivers to drive more than 11 hours following
10 consecutive hours off duty - 49 CFR, Part 395.3.
b. Does not allow drivers to drive for any period after the end of
the 14th hour after coming on duty following 10 consecutive
hours off duty - 49 CFR, Part 395.3.
c. Does not allow drivers to drive after being on duty 60 hours in
7 consecutive days (or 70 hours in 8 days) - 49 CFR, Part 395.3.
Standard: Carrier is knowledgeable of the Drivers Hours of           Reference: 49 CFR, Parts
Service regulations requiring the submission, maintenance, and       395.1, 395.3, and 395.8.
auditing of time documents for drivers of CMV per 49 CFR, Part
395.




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Appendix 13E – Employee Training

              DOT MANDATORY REQUIREMENTS                               YES        NO        N/A
Verify employees identified as HAZMAT employees (49 CFR,
Part 171.8) are trained to the requirements of Part 172, Subpart
H Training, as a minimum.
Verify employees identified as HAZMAT employees have
satisfied the initial and recurrent training requirement in 49 CFR,
Part 172.704(c).
Verify employees identified as HAZMAT employees have
satisfied the Security Awareness training requirement in 49 CFR,
Part 172.704(a)(4).
Verify employees identified as HAZMAT employees of a person
required to have a Security Plan Per 49 CFR, Part 172, Subpart I,
have satisfied the In-depth Security Training requirement in 49
CFR, Part 172.704(a)(5).
Verify drivers identified as HAZMAT employees are
additionally trained to the applicable requirements of 49 CFR,
Part 177.816.
Verify drivers transporting Highway Route Controlled Quantities
(HRCQ) of Class 7 materials receive additional training
identified in 49 CFR, Part 397.101(e).
Standard: Carrier is knowledgeable of the regulations, and trains     References: 49 CFR, Parts
its drivers and HAZMAT employees to meet the applicable DOT           171.8, 172.700, 177.816 and
training requirements.                                                397 as applicable.




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Appendix 13F – Security and Emergency Response.

              DOT MANDATORY REQUIREMENTS                           YES        NO        N/A
Verify carrier has implemented a DOT Security Plan as
applicable - 49 CFR 172.804.
Verify carrier’s Emergency Response Procedures address and
comply with the reporting requirements - 49 CFR 171.15 and
171.16.
Standard: The carrier provides information or can demonstrate     References: 49 CFR, Parts
capabilities to comply with the requirements for a DOT Security   171.16 and 172.804,as
Plan and Emergency Response.                                      applicable.




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Appendix 13G – Special Training for Cargo Tanks

              DOT MANDATORY REQUIREMENTS                               YES        NO        N/A
Verify carrier provides additional training to meet the specialized
requirements for cargo tanks and/or portable tanks - 49 CFR,
Part 177.816(b).
Verify examinations, tests, and retests are performed to ensure
tanker and fitting integrity - 49 CFR, Part 180.407(a).
Verify carrier has a detailed process for inspecting cargo tanks
that provides for the requirements of items on a frequency basis
per 49 CFR, Part 180.407(c).
Verify carrier maintains a file for each cargo tank including the
manufacturers data report certificate, and related papers required
in 49 CFR, Part 180.417(a)(1).
Verify those identified as a HAZMAT employee, Registered
Inspector, or Design Certifying Engineer (49 CRF 171.8) have
documented training - Part 172, Subpart H Training.
Verify those identified as a HAZMAT employee, Registered
Inspector, or Design Certifying Engineer (49 CFR 171.8) have
appropriate qualifications to perform inspection/testing duties.
Verify carrier maintains certification any Cargo tank inspector
has been identified and registered with DOT as a Registered
Inspector of Cargo Tanks or as a Design Certifying Engineer of
Cargo Tanks per 49 CFR, Part 107.500
Verify carrier has all necessary permits and paperwork to
perform inspections, repair and testing of cargo tanks.
Standard: The carrier provides information or can demonstrate         Reference: 49 CFR, Parts
capabilities to comply with the requirements for tank truck           177.816, 180.407, and
operation.                                                            180.417.




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Appendix 14 – DOE-Specific Mandatory Onsite Evaluation Criteria

Use the information gathered from the previous tables, initial screening, and the Onsite
Evaluation to complete this DOE-Specific Mandatory Onsite Evaluation Criteria. All
answers should be “YES” or “N/A”. A “NO” answer will disqualify a carrier from
MCEP approval.

                                                                               Meets
DOE-Specific Mandatory Onsite Evaluation Criteria                           requirements
                                                                           YES   NO   N/A
Onsite Evaluation
1.   Carrier has an asset-to-liability ratio of 1.00 or higher.

2.   Carrier has an operating ratio of 1.00 or lower.

3.   Carrier is not party to any pending enforcement actions by
     regulatory agencies or state or local governments potentially
     affecting their ability to perform.
4.   Carrier has an emergency response plan identifying roles and
     responsibilities for drivers and administrative staff.
5.   Carrier has, and enforces a written disciplinary policy for drivers
     placed out-of-service and continue operating the vehicle before
     coming into compliance (jumping).
6.   Carrier has a training program to ensure recurrent training of
     employees in the FMCSR.
7.   Carrier does not interline hazardous waste shipments with carriers
     not MCEP qualified.
8.   Carrier does not contract out/subcontract hazardous material
     shipments with carriers not MCEP qualified.
9.   Carrier has the capability to pass CVSA Level 1 inspection.

10. Carrier has a recap tire policy and control.




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Appendix 15 – Sample Carrier Finding Response Letter


(Name of Carrier Point of Contact)
Name (Carrier)
Address
City, State, Zip

Dear (Name of Carrier Point of Contact):

This letter is to thank you for your cooperation in the recent Motor Carrier Evaluation
Program (MCEP) evaluation on (Dates). This is a follow-up letter documenting the
closeout meeting held on (Date), and the results of the evaluation.

The purpose of this evaluation was to determine (Carrier’s) qualification to provide
transportation services for DOE-owned hazardous waste and radioactive materials. The
MCEP evaluation included review of your management systems, financial stability,
company policies and procedures; along with driver’s qualification files, hours of service,
training, maintenance, and controlled substances use and alcohol misuse testing.

The findings9, concern(s)10, recommendations11, or positive observations the MCEP
Team had about your operations are listed in the enclosure. The MCEP Evaluation Team
has not recommended (Carrier) as a transporter of DOE-owned hazardous waste or
radioactive materials. This recommendation can be reversed (carrier approval) if
(Carrier) corrects these findings and concerns, and provides a written response to my
office within 30 demonstrating corrective actions have been completed.

We will assess (Carrier’s) response and determine if re-evaluation is warranted before
adding you to the MCEP qualified carrier list. Again, thank you for your cooperation.

If you or your staff have any questions, please contact (Name of person signing letter), or
(name of contact person) of my staff at (phone number).

Sincerely,

(Signature and Title)

Enclosures




9
  Findings are those items requiring a corrective action plan due to their regulatory compliance issue or DOE
requirement.
10
   Concerns are items not regulatory driven, but indicate in-place management systems may not ensure safe transport of
hazardous materials. They also require a corrective action plan.
11
   Recommendations are those items demonstrating best management practices. They are not required in corrective
action plans, and do not have an associated regulatory driver.



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Appendix 16 – Sample Carrier Closeout Letter

(Name and Title of Carrier Point of Contact)
Name (Carrier)
Address
City, State, Zip

Dear (Name of Carrier Point of Contact):

This letter is to thank (Carrier) for participating in our (date) Motor Carrier Evaluation
Program (MCEP) evaluation. You are added as a MCEP qualified carrier for Department
of Energy radioactive materials and hazardous waste.

We sincerely appreciate your time and effort during the evaluation process. If you have
any questions or need further information, please contact me.

Sincerely,

(Signature and Title)




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Appendix 17 – DOE Mandatory Monitoring Criteria

Responses to all questions should be “Yes”, with the exception of question eight, which
should be answered “No.” If the answer to question 8 is “Yes” and the bankruptcy is filed
under Chapter 11, maintaining carrier approval status will be determined on a case-by-
case basis.

                                                                       Meets requirements
                  DOE Mandatory Monitoring Criteria
                                                                        YES            NO
Monthly Monitoring Process (SafeStat and SAFER)
1. Carrier must have a DOT satisfactory rating or be not yet rated
   by DOT. (New Entrant, Conditional or Unsatisfactory rated
   carriers will not be considered)
2. All SEA values must be below 65.
       a. Driver SEA.
       b. Vehicle SEA.
       c. Safety Management SEA.
Annual Monitoring Process (MCEP Carrier Identification Report)
3. USDOT identification number.
4. PHMSA HAZMAT registration number (if applicable).
5. EPA Registration number (if applicable).
6. Correct amount of liability insurance coverage for the volume
     and types of commodities transported.
7. Copy of completed MCS-90 and Accord form.
8. Has the carrier filed a bankruptcy petition within the past 12
     months (correct response should be NO).




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Appendix 18 – Sample Letter of Caution

(Name and Title of Carrier Point of Contact)
Name (carrier)
Address
City, State, Zip

Dear (Name of Carrier Point of Contact):

The U. S. Department of Energy’s Motor Carrier Evaluation Program (MCEP)
continuously monitors listed carriers transporting DOE-owned radioactive materials and
hazardous waste. We quarterly review updates of the Department of Transportation’s
SafeStat database, as well as other information to ensure MCEP-qualified carriers
continue meeting minimum DOE approval requirements.

Negative performance trends can lead to loss of carrier MCEP listing, and could result in
temporary non-use. We notify carriers of negative data received during the MCEP
monitoring process, and request explanations for concerns. We encourage carriers to
make the necessary improvements to maintain their MCEP listing.

This Letter of Caution is to inform you MCEP monitoring has revealed some negative
trends in your company’s performance:

Insert Trends:

Please provide a detailed written explanation of the circumstances of these trends, and
corrective action(s) being taken. Your response to me within 45 days is required.

(Carrier) currently remains on the qualified list for transporting DOE radioactive
materials and hazardous waste. Failure to respond to this MCEP Letter of Caution, or an
inadequate response, could result in being placed in temporary non-use status for those
materials and waste requiring MCEP evaluation Continuation of these negative trends,
however, could result in removal from the evaluation list until problems are corrected and
corrections are verified.

If you have any questions regarding, please contact me.

Sincerely,

(Signature and Title)

Enclosures




DOE-MCEP-2009 (Rev 0)                                  70
Motor Carrier Evaluation Program Plan and Procedures


Appendix 19 – Sample Letter of Re-Evaluation

(Name and Title of Carrier Point of Contact)
Name (carrier)
Address
City, State, Zip


Dear (Name of Carrier Point of Contact):

The U. S. Department of Energy’s Motor Carrier Evaluation Program (MCEP)
continuously monitors qualified carriers transporting DOE-owned radioactive materials
and hazardous waste. We semiannually review updates of the Department of
Transportation’s SafeStat database, as well as other information to ensure MCEP-
qualified carriers continue meeting minimum DOE requirements.

The following issues have resulted in the need for an onsite re-evaluation of your operations:

1.
2.
3. Etc.

Our MCEP evaluators will be visiting your facility on (dates) to verify corrective actions and
determine status as a MCEP-qualified carrier.

If you have questions, please contact me.

Sincerely,

(Signature and Title)




DOE-MCEP-2009 (Rev 0)                                  71
Motor Carrier Evaluation Program Plan and Procedures


Appendix 20 – Sample Letter of Re-Evaluation Findings – Draft Report

(Name of Carrier Point of Contact)
Name (Carrier); Address; City, State, Zip

Dear (Name of Carrier Point of Contact):

This letter is to thank (Carrier) for your cooperation in the recent Motor Carrier
Evaluation Program (MCEP) re-evaluation on (Dates). The MCEP re-evaluation included
reviewing management systems, financial stability, company policies and procedures;
along with driver’s qualification files, hours of service, training, maintenance, and
controlled substances use and alcohol misuse testing.

The findings, concern(s), recommendations, or positive observations the MCEP
Evaluation Team had about your operations are enclosed. The MCEP Evaluation Team
has not recommended (Carrier) as a transporter of DOE-owned hazardous waste
radioactive materials. You may be recommended if you correct the enclosed items of
concern, and provide a written response to me within 30 days describing your corrective
action.

We will consider your response and determine if another re-evaluation is warranted
before placing you on the list of carriers qualified to transport DOE-owned hazardous
waste and/or radioactive materials. Again, thank you for your cooperation.

If you and/or your staff have any questions, please contact me.

Sincerely,

(Signature and Title)

Enclosures




DOE-MCEP-2009 (Rev 0)                                  72
Motor Carrier Evaluation Program Plan and Procedures
Appendix 21 – Qualified Carrier List and Monitoring Spreadsheet




DOE-MCEP-2009 (Rev 0)                                     73
    Appendix 22 – Evaluation Team Member Qualification Form

                         U.S. Department of Energy
                   Office of Packaging and Transportation
                Motor Carrier Evaluation Program (MCEP)
             Evaluation Team Member Qualification Information

Last Name:                                       Date:

First Name:                                      Middle Name:

Site Organization and Title:

Specific areas of review for which your qualifications should be considered by the MCEP Manager
are listed below:

  ____     DOT/FMCSA Regulations and CVSA Requirements
 ____      Carrier Safety, Security, and Emergency Management Systems
 ____      Equipment Maintenance and Inspection
 ____      Drivers Qualifications and hours-of-service
  ____     Carrier Alcohol misuse and Controlled Substance Abuse Programs
 _____     Cargo Tanker
  ____     Training
  ____     Transportation Management

Site Affiliation:

Employment Affiliation:

     Street Address:
    (FedEx Address)

   Mailing Address:
     (i.e., P.O. Box)

                    City:

                   State:

                     Zip:

Phone/Fax/ E-mail :



    DOE-MCEP-2009 (Rev 0)                   74
            Evaluation Team Member Qualification Summary
Date:

Name:
General:




Education:




Knowledge:




Experience:




Evaluations:




Training:




Certifications:




DOE-MCEP-2009 (Rev 0)            75
Appendix 23 – Quality Assurance

                        MCEP Quality Assurance Program


23.1      Overview

This procedure section specifically addresses Quality Assurance Criteria established in
DOE O 414.1C as applicable to the administration and implementation of the MCEP.
     •    The scope of this section is limited to quality assurance for MCEP and shall not
          be interpreted as being applicable to evaluated motor carriers or activities beyond
          MCEP.
     •    For purposes of this section, the term “work” shall be defined as those activities
          conducted to implement MCEP as addressed in this Plan and Procedures.
     •    Each of the following sections addresses one of the Quality Assurance criterion
          established in DOE O 414.1C.4.b, and addresses the application of that criterion
          to MCEP.

23.2      Program

By establishing MCEP policies and practices, this Plan also establishes the MCEP
Quality Assurance Program in accordance with the requirements of DOE O
414.1C.4.b.(1) by:
          •    Establishing an organizational structure, functional responsibilities, levels of
               authority, and interfaces for those managing, performing, and assessing work;
               and
          •    Establishing management processes, including planning, scheduling, and
               providing resources for work.

23.3      Personnel Training and Qualification

Personnel training and qualification is addressed in Section 8.3 of this Plan and
Procedures which meets the requirements of DOE O 414.1C.4.b.(2) by providing for
training and qualification of personnel to be capable of performing assigned work.

23.4      Quality Improvement

This Plan and Procedures addresses quality improvement in accordance with
requirements established in DOE O 414.1C.4.b.(3) regarding the conduct of MCEP
Evaluations:
          •    Corrective Action Plan review.
          •    Evaluator performance.


DOE-MCEP-2009 (Rev 0)                           76
          •    Communication from and amongst program participants regarding MCEP
               issues including quality problems.

23.5      Documents and Records

Quality Assurance documents and records are identified in Appendix 24 of this Plan and
Procedures, and meeting the requirements of DOE O 414.1C.4.b.(4) by providing for
preparation, review, approval, issue, use and revision of MCEP quality documents to
prescribe processes and specify requirements.

23.6      Work Processes

MCEP work processes (i.e., those activities conducted to implement MCEP) are
addressed in this Plan and Procedures as required by DOE O 414.1C.4.b.(5):
          •    In accordance with DOE O 414.1C.4.b. (5)(a), MCEP shall be implemented
               using this procedure, as well as all other applicable MCEP procedures and
               documents.
          •    Given the limitations of MCEP procurement activities, requirements for the
               identification, control and maintenance of items established in DOE O
               414.1C.4.b. (5)(b) and (c) are not applicable.
          •    No equipment is used by MCEP for process monitoring or data collection;
               therefore, the requirements for the calibration and maintenance of such
               equipment established in 414.1C.4.b.(5)(d) are not applicable.

23.7      Design

No design activities shall be conducted under MCEP; therefore, the requirements of DOE
O 414.1C.4.b.(6) are not applicable.

23.8      Procurement

The items or services procured by MCEP shall be limited to commercial grade (e.g.,
office supplies, annual meeting supplies and services) that, applying the graded approach
defined in DOE O 414.1C.7.e., do not warrant implementation of requirements
established in DOE O 414.1C.4.b.(7).

23.9      Inspection and Acceptance Testing

Not applicable.




DOE-MCEP-2009 (Rev 0)                         77
23.10 Management Assessment

In addition to all other oversight functions, the MCEP Program Manager shall
periodically assess management processes to identify and correct problems that hinder
MCEP from achieving its objectives in accordance with requirement established in DOE
O 414.1C.4.b(9) through:
     •    MCEP leadership quarterly conference calls with MCEP team members to
          provide program status and identify and discuss opportunities for improvement as
          well as any problems that could hinder achieving objectives.
     •    Compiling and submitting an annual report to the Director, Office of Packaging
          and Transportation summarizing Program status and identifying issues or
          challenges.

23.11 Independent Assessment

MCEP shall periodically be assessed to measure quality and adequacy of work
performance and to promote improvement, in accordance with applicable requirements
established in DOE O 414.1C.4.b.(10).




DOE-MCEP-2009 (Rev 0)                        78
Appendix 24 – Quality Assurance Records

The following documents are considered Quality Assurance records:

SafeStat Report
SafetyNet Report
MCEP Carrier Identification Report
Carrier Evaluation Questionnaire
SAFER Report
Dun & Bradstreet Report (as applicable)
Securities and Exchange Commission Report(s) (as applicable)
Initial Carrier Contact Letter
Onsite Carrier Confirmation Letter
Vehicle Maintenance File Checklist
Vehicle Inspection (Physical) Checklist
Driver Qualification File Checklist
Driver’s Record of Duty Status Checklist
HAZMAT Employee Training Checklist
DOE Mandatory Onsite Evaluation Tables and Criteria
Carrier Closeout Letter
Carrier Finding Response Letter
End User Survey
Letters of Caution
Re-evaluation Letter
Re-evaluation Findings Letter
Letter of Temporary Non-use
Notice of Suspension
Notice of Debarment
Carrier Corrective Actions
CRB Reports and Recommendations
Summary minutes of the CRB Meetings




DOE-MCEP-2009 (Rev 0)                    79
Appendix 25 – Sample DOE Carrier Profile Update




DOE-MCEP-2009 (Rev 0)                80
Appendix 26 – Sample End User Survey




DOE-MCEP-2009 (Rev 0)                  81

				
DOCUMENT INFO
Description: Motor Carrier Management document sample