DOE Guidance for Reporting Violations to NRC in Accordance with 10 CFR 71.95
(effective date ​5/16/2017 )

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).

There is some confusion in the Department over who is responsible for reporting violations, as described in and reported in accordance with §71.95  (link to NRC regulation) and DOE Order 460.1D (opens pdf), when package operations are contracted by DOE elements and persons under contract (i.e., DOE Contractors) to the certificate holder of a leased package.  This confusion arises from the term "licensee" in §71.95, since DOE elements and persons under contract to DOE elements are typically not NRC "licensees."  Furthermore, some in the Department assumed that the certificate holder of an NRC package is a "licensee."  The purpose of this guidance is to clarify this confusion, based on recent discussions between the DOE Packaging Certification Program (PCP) and Nuclear Regulatory Commission (NRC).

Any questions about an NRC certificate of compliance, or the 10 CFR Part 71 regulations or compliance questions should be directed to the PCP Manager for resolution with NRC. 

For the following guidance, DOE element, specifically applies to the program, operations office, field/site office, and other organizational unit, or DOE Contractor, responsible for the custody or ownership of the radioactive materials offered for shipment. 

1.  For the ​DOE's use of a package certified by NRC, the HCO or DOE PCP Manager will register the DOE with NRC in accordance with §71.17(c)(3).  In this instance, DOE becomes, for 10 CFR Part 71 reporting and compliance purposes, an "acting" licensee for use of that package.
2. DOE Order 460.1D requires each DOE element (or DOE Contractor) to register with the Headquarters Certifying Official (HCO) prior to first use of that package.
3. After the DOE element (or DOE Contractor) is registered with the HCO, they too become an "acting" licensee for use of that package. 
4. The DOE element (or DOE contractor) is responsible for compliance with 10 CFR 71 Subpart G—Operating Controls and Procedures  (link to NRC Regulations), as the licensee, even when these operations are contracted/subcontracted to others (e.g., certificate holder for the package).
5. The DOE element (or DOE contractor) is responsible for reporting violations defined in §71.95, after requesting the certificate holder's input.
6. The requirements for DOE elements (or DOE Contractors) making §71.95 reports to NRC are listed in DOE Order 460.1D, Section 5.c.(10) and Attachment 1, Contractor Requirements Document, Step 4, respectively. 

For questions or comments contact DOE PCP Manager, Dr. Shuler, (301) 903-5513, james.shuler@em.doe.gov