DOE Guidance for Preparing DOT Special Permit Applications

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 the "Applicant to DOE", unless otherwise specified.  For DOE application submittals to DOT, the DOE Packaging Certification Program (PCP) Manager is the "Applicant to DOT" on behalf of the DOE Headquarters Certifying Official (HCO) and will be the Special Permit Holder (a.k.a., Grantee) for the Department.

Special Permits (formerly referred to as DOT Exemptions) issued by DOT to the Hazardous Materials Regulations (HMR) are required if the shipper is unable to comply with any part of the applicable HMR.  Such administrative relief to the requirements will only be granted on the basis of equivalent levels of safety or levels of safety consistent with the public interest and the policy of the Federal law.

Requirements
DOE Order 460.1D, Hazardous Materials Packaging and Transportation Safety  (opens pdf) requires contractor Applicants to DOE to file their request and application through their Head of Operations Office or Field Office/Site Office Manager to the DOE HCO for a new special permits or modification or renewal to an existing special permit.

1. Any offsite hazardous materials packaging or transportation that is regulated by DOT and is not prepared in accordance with the HMR must be prepared in accordance with an applicable DOT Special Permit.
2. DOE elements must submit contractor applications for a new DOT Special Permit or modification or renewal of an existing special permit to the DOE HCO for review, processing, and submission to DOT.  Applications must be prepared in accordance with 49 CFR 107.105 and 107.109, as appropriate.
3. New applications or modifications to an existing special permit must be submitted to the DOE HCO at least 150 days before the need date for the special permit.  Renewal applications must be submitted to the DOE HCO at least 90 days before the expiration date of the special permit.
4. DOE contractors may apply to directly to DOT for party status in order to use a DOT Special Permit  (see DOE Order 460.1D, CRD, Item 8).  The party status application must be prepared in accordance with 49 CFR 107.107.  The contractor must provide a copy of the party status application submitted to DOT to the responsible Head of Operations Office or Field Office/Site Office Manager and the DOE HCO.
5. The initial special permit terminates according to its terms or, if not otherwise specified, 24 months from the date of issuance.  A subsequent renewal of a special permit terminates according to its terms or, if not otherwise specified, 48 months after the date of issuance. A grant of party status to a special permit, unless otherwise stated, terminates on the date that the special permit expires [Ref. 49 CFR 107.113(h)].

Steps to prepare a DOT Special Permit application
All DOE contractors should follow these basic steps to prepare a DOT Special Permit application or an application for modification or renewal of an existing special permit.  DOT resources for Special Permit Applications, with checklists and examples are available at https://www.phmsa.dot.gov/hazmat/special-permits/special-permits-applications  (link to DOT webpage).

1. Determine that there is no means other than a DOT Special Permit to accomplish a necessary transport.
2. Prepare the application following the instructions provided at 49 CFR 107.105 for a new or modified special permit application, or 49 CFR 107.109 for a renewal application.
3. Submit the application to your DOE element for transmittal to DOE HCO.  Applications for new or modifications to an existing Special Permit should be transmitted from your DOE Element to the DOE HCO at least 150 days before intended use.  Renewal application should be transmitted to the DOE HCO at least 90 days before expiration date.

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