DOE PCP Guidance for Onsite Transfers and Offsite Shipments of Hazardous Materials

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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). 

Brief Background: Prior to 1995, DOE Orders for packaging and transportation safety focused primarily on establishing DOE requirements for the packaging of fissile and other radioactive materials (Type B quantities) (Ref DOE Order 5480.1A, CN3, 1981 ) and policies and procedures for the management of materials transportation activities, including traffic management, for other than intrabuilding and intrasite transfers (Ref DOE Order 1540.1, 1982).  Order 5480.1A was canceled by Order 5380.3 and expanded to establish requirements for the packaging and transportation of hazardous materials, hazardous substances, and hazardous wastes (Ref. DOE Order 5480.3, 1986).  In addition, Order 1540.2 was issued to establish administrative procedures for the certification and use of radioactive and other hazardous materials packaging by DOE(Ref Order 1540.2, 1986).  There was no definitions or significant distinction in these Orders between the safety requirements for onsite transfers and offsite shipments.  

Beginning with the issuance of DOE Order 460.1 in 1995, which canceled Orders 5480.3 and 1540.2, the objective of new the Order was redefined to establish safety requirements for the proper packaging and transportation of DOE offsite shipments and onsite transfers of hazardous materials and for modal transport (Ref DOE Order 460.1, 1995).  The packaging and transportation safety (P&TS) requirements for onsite transfers and offsite shipments are delineated in Sections 4.a and 4.b of the Order.  In addition, the new Order defined “offsite” as any area within or outside a DOE site to which the public has free and uncontrolled access and “onsite” as any area within the boundaries of a DOE site or facility to which access is controlled.  These definitions and delineations were necessary to provide and authorize DOE site/field office managers and their management and operations contractor the flexibility and a reasonable alternative to full compliance with the DOT Hazardous Materials Regulations (HMR) for onsite transfers of hazardous material (HM).  Note – the HMR references 10 CFR Part 71 for Type B and fissile packaging and transportation safety requirements.  Based on DOE Orders 460.1 through 460.1D, the authorized alternative to HMR compliance for onsite transfers of HM is a Transportation Safety Document (TSD) approved by the applicable DOE site/field office manager.  The TSD must demonstrates an equivalent level of safety to that required by DOT (HMR) and NRC (10 CFR Part 71) for comparable offsite shipments.  TSD requirements are in Section 4.b.(3) of Order 460.1D.

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Issues:

1. The definition and application in the order for onsite transfers of HM is not fully consistent with 49 CFR 171.1 without clarification.
2. The definition and application in the order for offsite shipments is consistent and with the context of "in commerce" in 49 CFR 171.1 with a few exemptions (restrictions).
3. DOT has no regulatory authority for onsite transfers of HM - their interpretation letters regarding the applicability of the HMR must be understood by DOE and its contractors in the context of the DOE Order requirements.
4. Any other approved alternatives?

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Clarifications:  

1. Clarification for Onsite Transfers - Orders 460.1 through 460.1D Sections 4(b)(2) and (3) require onsite transfers to comply with the HMR or TSD. This requirement in the Order is more restrictive than the HMR because DOT does not regulate onsite transfers of HM since these transfers are not “in commerce.” The Order requires onsite transfers to be conducted in accordance with the HMR as if these transfers were “in commerce”; consequently, the Order implicitly requires compliance with 49 CFR 171.1(a) through (c) for onsite transfers and negates the exception in 49 CFR 171.1(d)(4). Therefore, it is the responsibility of the respective DOE site/field office manager to regulate onsite transfers by requiring compliance with the HMR as if the transfers were “in commerce” or a TSD per the Order. P&TS HMR and TSD onsite transfer compliance issues are subject and reportable to DOE under Order 460.1D but are not subject to DOT’s authority per 49 CFR 171.1.
2. Exceptions for Offsite Shipments - Orders 460.1 through 460.1D require offsite shipments to comply with the HMR. This requirement is consistent with the HMR because DOT has authority to regulate offsite shipments of HM since these shipments are “in commerce.” However, the Order is more restrictive than the HMR because it explicitly does not allow the exceptions in 49 CFR 171.1(d)(4), 49 CFR 171.1(d)(5), and 49 CFR 173.7(b). Furthermore, pre-transportation and transportation functions per 49 CFR 171.1(a) through (c) related to “offsite shipments” of HM are reportable to DOE under Order 460.1D and are subject to DOT authority per 49 CFR 171.1(e).
3. Necessary Context - DOT interpretations of HMR applicability regarding “not in commerce” shipments, that is, onsite transfers, have limited benefit to DOE and its contactors, since these interpretations are void of the context, requirements, and additional restrictions of the Order regarding onsite transfers of HM. The Order is the regulatory standard for onsite transfers of HM and incorporates applicable sections of the HMR by reference. Onsite transfers are not subject to DOT authority.
4. Compliance options/alternatives – For offsite shipments of HM, excluding shipments for the purpose of national security, there three options/alternatives to full compliance with the HMR. The first option is an approved DOT Special Permit or party status to an approved special permit. This option is addressed in Section 4.f and CRD 8 of the Order. The second option is an approved NRC special package authorization per 10 CFR 71.41(d). This option only applies to offsite shipments of Type B or fissile material and is addressed in Section 4.a.(2)(c) of the Order. The third option is an approved DOE exemption to Order 460.1D. This option is addressed in Section 3.c of the Order.

In summary, DOE onsite transfers of HM must comply with the HMR, as if they were shipments in commerce, or comply with the TSD. In either case, the DOE site/field office manager is the regulatory authority for onsite transfers of HM. DOE offsite shipments of HM must comply with HMR or an approved compliance option/alternative. DOT is the regulatory authority for DOE offsite shipments of HM including the pre-transportation and transportation functions.

 

If you have any questions, please contact DOE Packaging Certification Program Manager, Christopher Cable at (240) 315 4901 or christopher.cable@em.doe.gov.  

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Created March 26, 2025 

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