Guidance for Requests to DOE to Renew DOE, DOT, and NRC Certificates 

This guidance applies only to DOE elements or persons working under contract to DOE elements

DOE elements means programs, operations offices, field/site offices, and other organizational units of the Department of Energy, excluding those of the National Nuclear Security Administration.  The list of DOE elements is here.  (link to DOE Directives website).

This guidance webpage will refer to DOE elements or persons working under to contract (i.e., contractors) to DOE elements as "Applicant to DOE", unless otherwise specified.  For DOE submittals to DOT and NRC, the DOE Packaging Certification Program (PCP) Manager is the "Applicant to DOT or NRC" on behalf of the DOE Headquarters Certifying Official (HCO).  The term "Certificate Holder" is synonymous with Applicant in context of this guidance.

Introduction
Certificates issued by DOE, DOT, or NRC for Type B or fissile radioactive materials (RAM) packages, or by DOT for packagings containing greater than 0.1 kg of non-fissile or fissile-excepted uranium hexafluoride, or by DOT for Special Form RAM, typically expire within 5 years of the initial issuance date.

The RAMPAC website includes DOE, DOT, and NRC certificates and certificate information in a Table with the Package Identification Number, Package Model Number, and certificate Expiration date (m/d/y).  The Expiration date cell is shaded red when a certificate is within 12 months of its expiration date.

DOE or NRC certificates can be renewed if the Certificate Holder has filed an application in proper form for renewal.  DOT does not "renew" certificates, but revises their certificates to "extend the expiration date", if the Certificate Holder has filed an application in proper form for revision.  

DOE and NRC certificates have a "timely renewal" process, that is, if prior to the expiration date the Certificate Holder files a proper request to renew it in a "timely manner", then that certificate does not expire until final action is taken by DOE or NRC (e.g., renewal or termination of the certificate). That certificate status is "Under Timely Renewal."  DOE and NRC certificates "Under Timely Renewal" are indicated by that text added in the Package Model Number column on their respective RAMPAC certificate pages.  DOT does not have a "timely renewal" process. 

This guidance webpage provides a reference to the applicable regulatory requirements and how these requirements are implemented in DOE Order 460.1D, Hazardous Materials Packaging and Transportation Safety  (opens pdf).

General Information Applicants to DOE should include in the request to the HCO
The memorandum or letter from the DOE Element (Operations Office or Site/Field Office Manager) to the HCO requesting to the HCO should include justification why the certificate is still needed by DOE.  At a minimum, the request should address:

1. The necessity for renewing the certificate; (i.e., why it's still needed by DOE),
2. That the package or Special Form design has been evaluated by the certificate holder to confirm the design still complies with applicable requirements and standards, and 
3. Include a brief summary of the history of past usage (i.e., comment on usage with respect to the safe operation or use and compliance with the certificate)

Renewal of DOE Certificates
DOE Order 460.1D requires Applicants to DOE (i.e., Certificate Holders) to submit a request to the HCO for renewal of the DOE Certificate of Compliance (CoC), if still needed, at least 90 days prior to the expiration date.  The Contractor Requirements Document (Attachment 1 of the Order) includes the same requirement. The guidance below for renewal of DOE certificates is based on 10 CFR 71.38, Renewal of a certificate of compliance (link to NRC regulation), as amended to implement the Order requirements. 

(a) Except as provided in paragraph (b) of this section, each CoC expires at the end of the day, in the month and year stated in the CoC or Package Approval Record (issued by the HCO).

(b) In any case in which an Applicant to DOE, not less than 90 days before the expiration of an existing CoC issued pursuant to the part, has filed an application in proper form for renewal, the existing CoC for which the renewal application was filed shall not be deemed to have expired until final action on the application for renewal has been taken by the HCO. (i.e., Under Timely Renewal)

(c) In applying for renewal of an existing CoC, an Applicant to DOE may be required to submit a consolidated application (Safety Analysis Report for Packaging or SARP) that is comprised of as few documents as possible. The consolidated SARP should incorporate all changes to its certificate, including changes that are incorporated by reference (e.g., SARP supplements, addenda, etc.) in the existing certificate.

DOE Order 460.1D requires Applicants to DOE (i.e., Certificate Holders) to submit a request to the HCO to petition DOT to extend the expiration date of a DOT certificate, if still needed, at least 120 days prior to the expiration date.  The Contractor Requirements Document (Attachment 1 of the Order) includes the same requirement.  The DOE PCP will review the application for completeness and submit it as the Applicant to DOT, for the Department.  The guidance below to petition DOT to extend the expiration date of their certificate is based on 49 CFR 173.471, §§173.472, 173.473, 173.476, and 173.477  (links to DOT regulations), as amended to implement the Order requirements.  

Each request to DOT is considered in the order in which it is received. To allow sufficient time for consideration, requests must be received by DOT at least 90 days before the requested effective date, and therefore must be submitted to the HCO 120 days prior to the expiration date of the certificate.

Renewal of NRC Certificates
DOE Order 460.1D requires Applicants to DOE (i.e., Certificate Holders) to submit a request to the HCO for renewal of an NRC Certificate of Compliance (CoC), if still needed, at least 120 days prior to the expiration date.  The Contractor Requirements Document (Attachment 1 of the Order) includes the same requirement. The DOE PCP will review the application for completeness and submit it as the Applicant to NRC, for the Department.  The guidance below for renewal of NRC certificates is based on 10 CFR 71.38, Renewal of a certificate of compliance (link to NRC regulation), as amended to implement the Order requirements. 

(a) Except as provided in paragraph (b) of this section, each CoC expires at the end of the day, in the month and year stated in the approval.

(b) In any case in which a DOE Applicant to NRC, not less than 30 days before the expiration of an existing CoC issued pursuant to the part, has filed an application in proper form for renewal, the existing CoC for which the renewal application was filed shall not be deemed to have expired until final action on the application for renewal has been taken by NRC. (i.e., Under Timely Renewal)

(c) In applying for renewal of an existing CoC, a DOE Applicant to NRC may be required to submit a consolidated application (Safety Analysis Report or SAR) that is comprised of as few documents as possible. The consolidated SAR should incorporate all changes to its certificate, including changes that are incorporated by reference (e.g., SAR supplements, addenda, etc.) in the existing certificate.

Guidance Summary
Applicants to DOE must submit a request from the DOE Element (Operations Office or Site/Field Office Manager) to the HCO to -

• to renew a DOE CoC at least 90 days prior to the CoC expiration date,
• to revise a DOT CAC or CoCA to extend the expiration date at least 120 days prior to the CAC/CoCA expiration date, and
• to renew a NRC CoC at least 120 days prior to the CoC expiration date. 

The DOE Packaging Certification Program Manager will submit applications to DOT or NRC on behalf of the HCO.  Applicants to DOE may attach their formal renewal request (in pdf) in an email to the DOE PCP Manager.  

Questions or comments? Contact the DOE Packaging Certification Program Manager, Dr. Shuler, (301) 903-5513, james.shuler@em.doe.gov

Updated March 24, 2022