DOE O 461.1C Chg 1 (MinChg), Packaging and Transportation for Offsite Shipment of Materials of National Security Interest

AVAILABLE ONLINE AT: INITIATED BY: www.directives.doe.gov National Nuclear Security Administration U.S. Department of Energy ORDER Washington, D.C. Approved: 7-20-2016 Chg 1 (MinChg): 10-4-2019 SUBJECT: PACKAGING AND TRANSPORTATION FOR OFFSITE SHIPMENT OF MATERIALS OF NATIONAL SECURITY INTEREST 1. PURPOSE. The Department of Energy (DOE) has broad authority under the Atomic Energy Act (AEA) of 1954, as amended, to regulate activities involving radioactive materials that are undertaken by DOE or on its behalf, including the transportation of radioactive materials. DOE exercises this authority to regulate certain DOE shipments, such as shipments involving national security. The purpose of this Order is to make clear that the packaging and transportation of all offsite shipments of Materials of National Security Interest (MNSI) for DOE must be conducted in accordance with Department of Transportation (DOT) and Nuclear Regulatory Commission (NRC) regulations that would be applicable to comparable commercial shipments, except where an alternative course of action is identified in this Order. The National Nuclear Security Administration (NNSA) has been assigned the responsibility to manage and oversee offsite shipments of MNSI including the operations of the Office of Secure Transportation (OST) Transportation Safeguards System (TSS). The requirements and responsibilities prescribed in this Order are intended to ensure that NNSA resources are managed in a safe and efficient manner. 2. CANCELLATIONS. DOE Order 461.1B, Packaging and Transportation for Offsite Shipment of MNSI. Cancellation of a directive does not, by itself, modify or otherwise affect any contractual or regulatory obligation to comply with the directive. Contractor Requirements Documents (CRDs) that have been incorporated into a contract remain in effect throughout the term of the contract unless and until the contract or regulatory commitment is modified to either eliminate requirements that are no longer applicable or substitute a new set of requirements. 3. APPLICABILITY. a. Departmental Applicability. Except for the equivalencies and exemptions in paragraph 3.c., this Order applies to any of those Departmental elements that have responsibility to perform activities associated with offsite shipments of MNSI. The Administrator of the NNSA will assure that NNSA employees comply with their responsibilities under this directive. Nothing in this directive may 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. DOE O 461.1C http://www.directives.doe.gov/ 2 DOE O 461.1C 7-20-2016 b. DOE Contractors. Except for the equivalencies and exemptions in paragraph 3.c., the CRD (Attachment 1) identifies the requirements of this Order that apply to contracts that include the CRD. The CRD must be included in contracts of all DOE/NNSA contractors having responsibility for the packaging and transportation activities addressed in this Order, and for performing support functions such as the development, design, testing, analysis, procurement and/or fabrication, maintenance, safety basis document development and maintenance for the packaging used in the transportation of MNSI. Field Organization Managers are responsible for ensuring their contracting officer(s) know when this Order applies to specific contracts, and for ensuring the CRD is incorporated into those contracts. Once made known to them, contracting officers are responsible for incorporating the CRD into applicable contracts.

b. Equivalencies and Exemptions. Requests for equivalencies and exemptions to the requirements of this Order are processed in accordance with DOE Order 251.1, Departmental Directives Program, current version. The Cognizant Secretarial Officer (CSO) will approve exemptions and equivalencies to this Order. Central Technical Authority (CTA) concurrence is required for both exemptions and equivalencies to this Order. Exemptions to this Order may be granted, provided the proposed exemptions are not prohibited by law and do not present an undue risk to security, public health and safety, workers, or the environment. (1) Equivalency. In accordance with the responsibilities and authorities assigned by Executive Order 12344, codified at 50 USC sections 2406 and 2511 and to ensure consistency through the joint Navy/DOE Naval Nuclear Propulsion Program, the Deputy Administrator for Naval Reactors (Director) will implement and oversee requirements and practices pertaining to this Directive for activities under the Director’s cognizance, as deemed appropriate. (2) Exemption. Consistent with Secretarial Delegation Order Number 00-033.00B to the Administrator and Chief Executive Office of Bonneville Power Administration (BPA), this Order does not apply to BPA. (3) Exemption. Operations conducted under DOE Order (O) 460.1, Packaging and Transportation Safety, current version. (4) Exemption. Operations conducted under DOE O 461.2, Onsite Packaging and Transfer of Materials of National Security Interest, current version. (5) Exemption. Operations conducted under DOE STD-1212, Explosives Safety Manual. DOE O 461.1C 3 7-20-2016 4. REQUIREMENTS. a. General Requirements for Shipments. (1) Each element subject to this Order must perform packaging and transportation of offsite shipments of MNSI in accordance with DOT Hazardous Materials Regulations (HMR), 49 CFR Parts 171-180, and with NRC regulations in 10 CFR Part 71, except where an alternative is specified in this Order. (2) Shipments prepared and performed according to the DOT HMR should be evaluated for shipment via an approved commercial carrier unless security requirements dictate use of the TSS. (3) Shipments which cannot be prepared or performed according to the DOT HMR must be transported via the TSS. (4) Handling and transportation of nuclear explosives are conducted under DOE Order 452.2, Nuclear Explosive Safety, current version; however, nuclear explosives also must be addressed in the OST DSA as described in Appendix A of this Order. b. Alternative Requirements for Shipments. (1) Offsite Transportation Certificate. An OTC is required for shipments of fissile or Type B quantities of MNSI where the package meets 10 CFR Part 71 requirements. (a) Each element requesting an OTC must submit an application to the NNSA Certifying Official (NNSA CO), at least nine months prior to the need date. The application must include a Safety Analysis Report for Packaging (SARP) and an OST approved tie-down procedure. (b) NNSA CO must review the application and document the review in a Safety Evaluation Report (SER). (c) The NNSA CO may issue an OTC for a period of up to five years. (d) An OTC may be renewed following the process described in this section. (e) Prior to first use, each element requesting to make a shipment under an OTC must submit a written request to the NNSA CO requesting to become an Authorized User. The request must be supported by: 1 Site specific operating procedures, and 4 DOE O 461.1C 7-20-2016

2 A site-specific quality assurance program that meets the requirements of 10 CFR Part 71, Subpart H. (f) Authorized Users must maintain and use current copies of the SARP and OTC. (2) Offsite Transportation Authorization (OTA). An OTA is required for shipments of non-fissile, less than Type B quantities of MNSI, where the packages will not meet the requirements of the DOT HMR. (a) Each element requesting an OTA must submit an application to the NNSA CO. The application must be submitted at least two months prior to the OTA need date. The application must be supported with: 1 Hazard Analysis Report (HAR) documenting the risk the shipment poses to the health and safety of the worker, public, and environment, and 2 OST approved tie-down procedures. (b) The NNSA CO must review the application and document the review in a SER. (c) The NNSA CO may issue an OTA for a period of up to five years. (d) An OTA may be renewed following the process described in this section. (3) Offsite Transportation Direction (OTD). An OTD is required for fissile or Type B quantities of MNSI, where the package will not meet the requirements of 10 CFR Part 71. (a) Elements requesting an OTD must submit a request to their respective Deputy Administrator through their program office. The request must demonstrate that the proposed shipments are for the purpose of national security and the reasons why the package cannot meet 10 CFR Part 71. (b) Elements whose request to proceed has been approved by the Deputy Administrator must submit their OTD application to the NNSA CO at least nine months prior to the shipping date. The OTD application must be supported by: 1 Deputy Administrator approved request to proceed with the OTD application. DOE O 461.1C 5 7-20-2016 2 Transportation System Risk Assessment (TSRA) documenting the risk the shipment poses to the health and safety of the worker, public, and environment. 3 OST approved tie-down procedures. (c) The NNSA CO must review the application and document the review in a SER. (d) The NNSA CO must notify the CSO of OTD approvals. (e) The NNSA CO may issue an OTD for a period of up to five years. (f) An OTD may be renewed following the process described in this section. (g) Prior to first use, each element requesting to make a shipment under an OTD must submit a written request to the NNSA CO requesting to become an Authorized User. The request must be supported by site specific operating procedures. (h) Authorized Users must maintain and use current copies of the TSRA and OTD. (4) National Security Exemption (NSE). An NSE is required for air transportation of plutonium in a package that does not meet 10 CFR 71.74. (a) Each element requesting an NSE must submit their request as specified in 10 CFR 871.1, for review by the Deputy Administrator for Defense Programs, CTA, and NNSA CO. The request must be supported by a TSRA, submitted to NNSA CO at least nine months prior to the shipment date, which assesses the risk the shipment poses to the health and safety of the worker, public, or environment. (b) The NNSA CO must review the TSRA and document the review and concurrence or non-concurrence in a SER. (c) The SER must be submitted to CTA and subsequently, the Deputy Administrator for Defense Programs. (d) The CTA must review and concur, or non-concur on the final NSE prior to the review of the Deputy Administrator for Defense Programs for approval or disapproval.

(e) An NSE without concurrence from CTA and NNSA CO requires the NNSA Administrator’s approval. 6 DOE O 461.1C 7-20-2016 c. Quality Assurance. (1) Each element performing design, testing, fabrication, procurement, inspection, operations, or maintenance for certified Type B and fissile materials packaging must perform those activities under a quality assurance program that meets 10 CFR Part 71, Subpart H and is approved by the NNSA CO. (2) Each element that performs functions for all other radioactive and hazardous materials packaging must perform those operations under a quality assurance program that meets DOE O 414.1, Quality Assurance, current version, and is approved by the responsible Field Organization Manager. d. Transportation Safeguards System. (1) Except as provided in section 4.a.(2), shipments with an approved OTC, OTA, or OTD must be transported via the TSS. OST must prepare a DSA that addresses all operations which do not meet DOT or NRC regulatory requirements. The DSA must be prepared as described in Appendix A, which specifies the methodology that complies with 10 CFR Part 830 requirements. (2) All vehicles used to transport MNSI offsite must be operated as specified in the Federal Motor Carrier Safety Regulations (FMCSRs) (49 CFR Parts 350–399) or as approved by the Assistant Deputy Administrator for Secure Transportation. e. Scheduling Transportation Safeguards System Shipments. (1) Long Term Planning: Shipping forecasts must be developed by each Program Secretarial Officer (PSO). The shipping forecast must be submitted to the Assistant Deputy Administrator for Secure Transportation. (2) Scheduling conflicts will be resolved by the Secure Transportation and Packaging Steering Committee (STPSC). In the event of unresolved scheduling conflicts, the STPSC must elevate the issue to the Secure Transportation Asset Advisory Board (STAAB) for resolution. (3) Transportation Shipping Request: Each site must confirm their shipment needs with a Transportation Shipping Request (TSR), no less than 60 days prior to Material Availability Date, with additional updates submitted 30 days and 7 days prior to shipment. DOE O 461.1C 7 7-20-2016 (4) Prior to TSS shipment, sites must ensure shipping authorizations (OTA, OTC, OTD, or shipping papers) are available, receipt site is authorized to take custody, and the TSR is final. (5) Requests for significant variances to the TSS schedule (TSR Requirements) must be submitted per the Shipping Forecast Request Procedure. f. Training. All personnel who support or perform packaging and transportation operations must be appropriately trained and qualified, and must maintain auditable training records in accordance with approved NNSA or site specific records schedule. 5. RESPONSIBILITIES. a. Administrator, NNSA. (1) Ensures implementation and execution of requirements and responsibilities in accordance with this Order. (2) Approves or disapproves NSEs that have not been concurred by CTA and the NNSA CO. b. Cognizant Secretarial Officer (CSO). Approves or disapproves exemptions and equivalencies to this Order. c. Central Technical Authority (CTA). (1) Concurs or non-concurs with the request for exemptions or equivalencies from the requirements of this Order. (2) Reviews and concurs or non-concurs on requests for NSEs in accordance with 10 CFR 871.1 for air transportation of plutonium. d. Program Secretarial Officers.

(1) Provide information to the Assistant Deputy Administrator for Secure Transportation and STPSC concerning new shipping campaigns as early as possible. (2) Provide shipment forecasts and updates for use of the TSS. (3) Assign representatives to the STPSC and the STAAB. e. NNSA Deputy Administrators. 8 DOE O 461.1C 7-20-2016 (1) Provide information to the Assistant Deputy Administrator for Secure Transportation and STPSC concerning new shipping campaigns as early as possible. (2) Provide shipment forecasts and updates for the use of the TSS. (3) Assign a representative to the STPSC and the STAAB. (4) Approve or disapprove requests to proceed with OTD applications submitted by the program offices. (5) Submit copy of approved request to proceed with the OTD application to the NNSA CO. f. Deputy Administrator for Defense Programs. (1) Designates specific materials or items, not defined in this Order, as MNSI. (2) Approves or disapproves requests for NSEs in accordance with 10 CFR 871.1 for air transportation of plutonium. (3) Defines the content and format of an NSE. g. Principal Assistant Deputy Administrator for Military Application. Serves as the chairperson of the STAAB. h. Field Organization Managers. (1) Ensure the CRD is incorporated in all contracts of elements that have responsibility for activities associated with offsite shipments of MNSI. (2) Provide periodic support to external organizations conducting oversight at field organizations, and contractor sites/facilities. (3) Conduct oversight of packaging and transportation safety programs under their cognizance in accordance with DOE O 226.1, Implementation of Department of Energy Oversight Policy, current version. (4) Review and submit operating procedures related to packaging MNSI to the NNSA CO for final review and approval. (5) Review quality assurance programs related to packages of fissile and Type B quantities of MNSI for conformance with 10 CFR Part 71, Subpart H and submit to the NNSA CO for final review and approval. (6) Review and approve quality assurance programs that comply with DOE O 414.1, Quality Assurance, current version, for those programs that DOE O 461.1C 9 7-20-2016 address transportation and packaging of MNSI, other than certified fissile and Type B MNSI packages. (7) Assign a representative to serve on the STPSC. (8) Ensure that the site has DOE personnel assigned and trained to oversee compliance with the requirements of this Order, and that oversight is performed and documented. i. Assistant Deputy Administrator for Secure Transportation. (1) Ensures that OST prepares DSAs according to Appendix A of this Order. (2) Ensures that OST analyzes tie-down instructions for cargo configurations transported within the TSS. (3) Manages and operates the TSS. (4) Authorizes alternatives from the Federal Motor Carrier Safety Regulations (49 CFR Parts 350-399). (5) Defines the frequency and content of shipping requirement forecasts. (6) Establishes TSR requirement and format. (7) Approves requests for variances to TSS scheduling requirements. (8) Assigns a representative to serve on the STPSC and the STAAB. j. NNSA CO. (1) Approves, disapproves, or revokes OTAs, OTCs, and OTDs. (2) Concurs or non-concurs with NSE applications and provides recommendations to the CTA. (3) Reviews, and concurs or non-concurs on the final NSE prior to the review of the Deputy Administrator for Defense Programs for approval or disapproval.

(4) Reviews and approves quality assurance programs for certified packages of fissile and Type B quantities of MNSI that meet the requirements of 10 CFR Part 71 Subpart H. (5) Assigns a representative to serve on the STPSC. (6) Ensures all NNSA CO’s technical staff members are trained and qualified. 10 DOE O 461.1C 7-20-2016 (7) Conducts periodic oversight of DOE contractor packaging and transportation activities per DOE O 226.1. (8) Provides guidance to field organizations and contractors that prepare MNSI safety basis documents (e.g., SARPs, TSRAs, and HARs). (9) Reviews and approves operating procedures related to packaging MNSI. (10) Appoints federal chairperson and members of the Transportation Safety Review Panels (TSRPs) and convenes TSRPs. (11) Documents results of package reviews in a SER. (12) Approves, disapproves, or revokes Authorized Users of NNSA certified packages. (13) Maintains a list of approved Authorized Users. (14) Maintains copies of all currently approved safety basis documents, including SERs, OTAs, OTCs, and OTDs. (15) Ensures OST approved tie-down procedures are in place prior to OTA, OTC, or OTD issuance. (16) Notifies the CSO of OTD approvals. (17) Provides support to DOE organizations conducting oversight of packaging operations performed under this Order per DOE O 226.1, Implementation of Department of Energy Oversight Policy, current version. k. Deputy Administrator for Naval Reactors. (1) Implements and oversees all policies and practices pertaining to this Order for activities under the cognizance of the Naval Reactors Program. (2) Assigns a representative to serve on the STPSC and the STAAB. 6. INVOKED TECHNICAL STANDARDS. The following DOE technical standard is invoked as required methods in this Order in accordance with the applicability and conditions described within this Order. Any technical standard or industry standard that is mentioned in or referenced by this Order, but is not included in the list below, is not invoked by this Order. Note: DOE O 251.1D, Appendix J provides a definition for “invoked technical standard.” a. DOE Standard (STD)-3009-2014, Preparation of Nonreactor Nuclear Facility Documented Safety Analysis. This DOE technical standard is required to be used for developing Documented Safety Analysis, except for deviations specifically identified in the Appendix to this Order. DOE O 461.1C 11 7-20-2016 b. DOE-NA-STD-3016-2018, Hazard Analysis Reports for Nuclear Explosive Operations. This DOE technical standard is required to be used for weapons response information. 7. DEFINITIONS. a. Authorized User: An organization authorized by the NNSA CO to use a fissile or Type B radioactive material package. b. Documented Safety Analysis (DSA). The Safety Basis document developed to achieve compliance with the safety basis requirements of 10 CFR Part 830, Nuclear Safety Management. c. Hazards Analysis Report (HAR). The safety basis document supporting approval of an OTA. The HAR identifies the type and quantity of hazardous material, packaging, mode of transportation, tie-down procedures, and the risk the shipment poses to the health and safety of the public, worker, or environment. The NNSA CO establishes the content and format of a HAR. d. Materials of National Security Interest (MNSI). Hazardous materials used in the development, testing, production, and maintenance of nuclear weapons and other materials that have been designated as critical to the national security of the United States. The Deputy Administrator for Defense Programs may designate other specific items as Materials of National Security Interest as necessary for the national security of the United States.

e. National Security Exemption (NSE): An authorization governed by 10 CFR 871.1 and this Order, for air transportation of plutonium in package that does not comply with 10 CFR 71.74. NNSA Defense Programs defines the content and format of an NSE. f. Nuclear Explosive. An assembly containing fissile and/or nuclear fusion materials and main charge high-explosive parts or propellants (e.g., a nuclear warhead or nuclear explosive test device) capable of producing a nuclear yield. g. Offsite. Any area within or outside the boundaries of a DOE site or facility to which the general public has free and uncontrolled access. h. Offsite Transportation Authorization (OTA). An NNSA authorization for approving the offsite shipment of packages that do not comply with the DOT HMR. OTAs are for packages containing non-fissile, less than Type B quantities of radioactive and other hazardous material that are MNSI. The OTA defines the authorized package and specifies handling and transportation requirements. i. Offsite Transportation Certificate (OTC). An NNSA certificate for approving offsite shipments of MNSI in fissile or Type B packages that meet 10 CFR Part 12 DOE O 461.1C 7-20-2016 71. The OTC defines the authorized package and specifies handling and transportation requirements. j. Offsite Transportation Direction (OTD). An NNSA authorization for approving the offsite shipment of MNSI in fissile or Type B packages that do not meet 10 CFR Part 71. The OTD defines the authorized package and specifies handling and transportation requirements. k. Package. Packaging plus its hazardous material contents as presented for transport. l. Packaging. A receptacle and any other components important to the safe performance of the package. It may consist of one or more receptacles, absorbent materials, spacing structures, thermal insulation, radiation shielding, service equipment for filling, emptying, venting and pressure relief, and devices for cooling or absorbing mechanical shocks. The conveyance, tie-down system, and auxiliary equipment may sometimes be designated as part of the packaging. m. Operating Procedures: Written procedures that implement the package operation requirements from Chapter 7 of the SARP or TSRA. n. Safety Analysis Report for Packaging (SARP). A document that follows NRC Regulatory Guide 7.9, as amended by NNSA CO guidance, that demonstrates the package complies with 10 CFR Part 71. o. Safety Basis. This Order refers to several different types of documents generically as safety basis documents (e.g., SARPs, TSRAs, and HARs), many of which need to be developed to obtain authorization of shipments of nuclear materials based on requirements established by the Department of Transportation, the Nuclear Regulatory Commission, and the Department of Energy. Independent of these other safety basis documents, the OST Documented Safety Analysis (DSA) is intended to be developed to achieve compliance with the Safety Basis requirements of Title 10 Code of Federal Regulations Part 830 (10 CFR Part 830), Nuclear Safety Management. p. Safety Evaluation Report (SER). The report prepared by DOE to document the sufficiency of the analysis in the safety basis documents (i.e. SARP, TSRA, and HAR). q. Secure Transportation Asset Advisory Board (STAAB). A senior management group chaired by the Principal Assistant Deputy Administrator for Military Applications, with membership from each participating Program Secretarial Officer and NNSA Deputy Administrator, which provides a forum to integrate the transportation organizational needs of all participants.

r. Secure Transportation and Packaging Steering Committee (STPSC). A group chaired by the NNSA Packaging Program Manager, with membership from all DOE O 461.1C 13 7-20-2016 sites and program offices that participate in transportation of MNSI. The STPSC provides a forum to integrate the needs of all participants and elevate any needs that cannot be met to the STAAB for resolution. s. Transportation Safeguards System (TSS). A DOE system, federally managed and operated by the Office of Secure Transportation. It is used for the safe and secure movement of cargo requiring safeguards. t. Transportation Safety Review Panel (TSRP). A panel chaired by a federal employee and composed of subject matter experts that perform independent technical reviews of the safety basis documents for fissile or Type B radioactive material packages. u. Transportation Shipping Request (TSR). A shipping request, provided by the shipper to the Office of Secure Transportation. The Office of Secure Transportation establishes the content and format of a TSR. v. Transportation System Risk Assessment (TSRA). The safety basis document supporting approval of an OTD and NSE. The TSRA identifies why a compliant shipment cannot be made, the content, packaging, mode of transportation, tie-down procedures, and the risk the shipment poses to the health and safety of the worker, public, or environment. The NNSA CO establishes the content and format of a TSRA. 8. REFERENCES. a. Title XXXII of P.L. 106-65, National Nuclear Security Administration Act, as amended, which established a separately organized agency within the Department of Energy. b. DOE Order 226.1, Implementation of Department of Energy Oversight Policy, current version. c. DOE Order 251.1, Departmental Directives Program, current version. d. DOE Order 414.1, Quality Assurance, current version. e. DOE Order 460.1, Packaging and Transportation Safety, current version. f. DOE Order 461.2, Onsite Packaging and Transfer of Materials of National Security Interest, current version. g. DOE Order 452.2, Nuclear Explosive Safety, current version. h. NRC Regulatory Guide 7.9, Standard Format and Content of Part 71 Applications for Approval of Packages for Radioactive Material. i. Title 10 CFR Part 71, Packaging and Transportation of Radioactive Material. 14 DOE O 461.1C 7-20-2016 j. Title 10 CFR Part 830, Nuclear Safety Management. k. Title 10 CFR 871.1, Air Transportation of Plutonium. l. Title 49 CFR Parts 100–185, Pipeline and Hazardous Materials Safety Administration, Department of Transportation. m. Title 49 CFR Parts 350–399, Federal Motor Carrier Safety Regulations. n. DOE–STD-1027-92, Hazard Categorization and Accident Analysis Techniques for Compliance with DOE Order 5480.23, Nuclear Safety Analysis Reports. o. DOE–STD-1186-2004, Specific Administrative Controls. p. DOE-STD-3009-2014, Preparation Guide for U.S. Department of Energy Nonreactor Nuclear Facility Documented Safety Analyses, Change Notice No. 3. q. DOE NA Standard 3016-2018, Hazard Analysis Reports for Nuclear Explosive Operations. 9. CONTACT. Questions concerning this Order should be addressed to the NNSA Office of Packaging and Transportation 505-845-5360. BY ORDER OF THE SECRETARY OF ENERGY: DAN BROUILLETTE Deputy Secretary DOE O 461.1C Attachment 1 7-20-2016 Page 1 CONTRACTOR REQUIREMENTS DOCUMENT DOE ORDER 461.1C, PACKAGING AND OFFSITE TRANSPORTATION OF MATERIALS OF NATIONAL SECURITY INTEREST

This Contractor Requirements Document (CRD) establishes requirements for those contractors whose contracts implicitly or explicitly involve packaging or transportation of offsite shipments of Materials of National Security Interest (MNSI). To the extent a contractor is regulated by the Nuclear Regulatory Commission (NRC), a state under an agreement with the NRC (Agreement State), or the Department of Transportation (DOT), nothing in this CRD relieves the contractor of having to comply with any applicable regulatory requirements. Regardless of the performer of the work, contractors are responsible for compliance with the requirements of this CRD. Contractors are responsible for flowing down the requirements of this CRD to subcontracts at any tier to the extent necessary to ensure the contractor’s compliance with the requirements. In doing so, the contractor must not unnecessarily or imprudently flow down requirements to subcontracts. That is, the contractor must: (1) ensure that it and its subcontractors comply with the requirements of this CRD, and (2) incur only costs that would be incurred by a prudent person in the conduct of a competitive business. All contractors with this CRD incorporated in their contracts must comply with the following requirements to support offsite shipment of Materials of National Security Interest (MNSI): 1. General Requirements for Shipments. a. Contractors must perform packaging and transportation of offsite shipments of MNSI in accordance with DOT Hazardous Materials Regulations (HMR), 49 CFR Parts 171-180, and with NRC regulations in 10 CFR Part 71, except where an alternative is specified in this CRD. b. Shipments prepared and performed according to the DOT HMR should be evaluated for shipment via an approved commercial carrier unless security requirements dictate use of the Transportation Safeguards System (TSS). c. Shipments which cannot be prepared according to the DOT HMR must be transported via the TSS. d. Handling and transportation of nuclear explosives is conducted under DOE Order 452.2, Nuclear Explosive Safety, current version. 2. Alternative Requirements for Shipments. a. An OTC is required for shipments of fissile or Type B quantities of radioactive material where packages meet 10 CFR Part 71 requirements. Contractors requesting an OTC must submit an application to the NNSA Certifying Official (NNSA CO), at least nine months prior to the need date. The Attachment 1 DOE O 461.1C Page 2 7-20-2016 application must include a Safety Analysis Report for Packaging (SARP) and an OST approved tie-down procedure. OTCs may be renewed following the process described in this section. Prior to first use, contractors must submit a written request, through the Field Organization Manager, to the NNSA CO, requesting to become an authorized user. The request must be supported by: (1) Site specific operating procedures. (2) Site specific quality assurance program that meets 10 CFR Part 71, Subpart H. Authorized Users must maintain and use current copies of the SARP and OTC. b. An OTA is required for shipments of non-fissile, less than Type B quantities of MNSI, where the packages will not meet the requirements of the DOT HMR. Contractors requesting an OTA must submit an application to the NNSA CO. The application must be submitted at least two months prior to the OTA need date, and must be supported by: (1) Hazard Analysis Report (HAR) documenting the risk the shipment poses to the health and safety of the worker, public, or environment, and

(2) OST approved tie-down procedures for the package. c. An OTD is required for fissile or Type B quantities of MNSI, where the package will not meet the requirements of 10 CFR Part 71. Prior to developing the Transportation System Risk Assessment (TSRA), contractors must submit a request for approval to proceed to their respective NNSA program office. Contractors must submit their OTD application through their respective NNSA program office. The application must be submitted to the NNSA CO at least nine months prior to the shipping need date. The OTD application must be supported by: (1) Deputy Administrator approved request to proceed with the OTD application. (2) TSRA documenting the risk the shipment poses to the health and safety of the worker, public, or environment. (3) OST approved tie-down procedures for package. DOE O 461.1C Attachment 1 7-20-2016 Page 3 (and Page 4) Prior to first use, contractors must become an Authorized User. Contractors must submit a written request to the NNSA CO through the Field Organization Manager for review and approval. The request must be supported by site specific operating procedures. Authorized Users must maintain and use current copies of the TSRA and OTD. 3. Quality Assurance. a. Contractors performing design, testing, fabrication, procurement, inspection, operations, or maintenance for certified Type B and fissile materials packaging must perform those activities under a quality assurance program that meets 10 CFR Part 71, Subpart H. Contractors must submit their quality assurance program, through the Field Organization Manager, to the NNSA CO for approval. b. Contractors that perform functions for all other radioactive and hazardous materials packaging must perform those operations under a quality assurance program that meets DOE Order 414.1, Quality Assurance, current version, approved by the responsible Field Organization Manager. 4. Transportation Safeguards System Shipment. a. Contractors must submit their shipment needs in a Transportation Shipping Request (TSR) no less than 60 days prior to Material Availability Date, with additional updates submitted 30 days and 7 days prior to shipment. b. Prior to TSS shipment, contractors must ensure current shipping authorizations (OTA, OTC, OTD, or shipping papers) are available, the receipt site is authorized to take custody, and the TSR is final. c. Requests for significant variances to the TSS schedule (TSR requirements) must be submitted per the Shipping Forecast Request Procedure. d. Unless specifically directed by DOE, contractors preparing shipments of MNSI for the TSS need not follow the placarding requirements of 49 CFR Part 172 Subpart F. e. Contractors who request shipment of packages within the TSS that do not have OST approved tie-down procedures, must submit the tie-down procedures and any associated analysis to ensure cargo compatibility with the TSS secure transporter, to OST for approval. 5. Contractors must ensure that their organizations perform periodic self-assessments of activities covered by this CRD. 6. Training. All personnel who support or perform packaging and transportation operations must be appropriately trained and qualified; and maintain auditable training records in accordance with approved NNSA or site specific records schedule. DOE O 461.1C Appendix A 7-20-2016 A-1 APPENDIX A. PREPARATION METHODOLOGY FOR DOE/NNSA OFFICE OF SECURE TRANSPORTATION’S DOCUMENTED SAFETY ANALYSIS

1. PURPOSE. Appendix A of Title 10 Code of Federal Regulations Part 830 (10 CFR Part 830), Nuclear Safety Management, identifies DOE Order 461.1, Packaging and Transportation for Offsite Shipment of Materials of National Security Interest, current version, or successor documents, as an approved methodology for developing a documented safety analysis (DSA) for the offsite transportation “...of nuclear explosives, nuclear components, Naval nuclear fuel elements, Category I and Category II special nuclear materials, special assemblies, and other materials of national security.” This Appendix describes an acceptable methodology for the DOE/NNSA Office of Secure Transportation (OST) to use to develop and maintain a DSA that complies with the Safety Basis requirements of 10 CFR Part 830. 2. APPLICABILITY AND SCOPE. This methodology applies to OST, which is responsible for the management and operations of the DOE/NNSA Transportation Safeguards System (TSS). DOE Order 452.2, Nuclear Explosive Safety, current version, defines the offsite transportation of nuclear explosives as a mobile nuclear explosives operation, and specifies the nuclear explosives safety program’s requirements. In addition to developing a DSA compliant with this Order, OST must also comply with the requirements of DOE Order 452.2. 3. OBJECTIVE. This methodology was developed with consideration of both DOE nuclear facility safety requirements and the Department of Transportation (DOT) hazardous material transportation requirements. DOE/NNSA must not use limited nuclear safety resources to analyze operations that comply with applicable national consensus codes and/or U.S. regulations. The OST DSA must identify operations that are not compliant with DOT requirements, and assure that these operations have been adequately analyzed and necessary hazard controls have been identified. The DSA must demonstrate that the identified hazard controls are commensurate with the level of hazards associated with OST’s offsite transportation operations. 4. SAFETY ANALYSIS METHODOLOGY. The methodology below describes how OST must comply with the Safety Basis requirements of Subpart B of 10 CFR Part 830. This methodology includes expectations associated with: • Describing all offsite transportation operations, • Identifying DOT required controls for hazardous material shipments, • Identifying specific operations that cannot comply with DOT requirements, • Analyzing those operations that cannot comply with DOT requirements, and • Identifying hazard controls necessary for safe operations beyond those required by DOT. Appendix A DOE O 461.1C A-2 7-20-2016 a. Performing the Hazard Categorization. DOE Standard 1027-92, Hazard Categorization and Accident Analysis Techniques for Compliance with DOE Order 5480.23, Nuclear Safety Analysis Report, defines a methodology for hazard categorization and provides insight into using a “graded approach” for development of safety analysis documents. The Standard includes the following Hazard Category definitions: • Hazard Category 3 facilities have the potential for only significant localized consequences • Hazard Category 2 facilities have the potential for significant on-site consequences • Hazard Category 1 facilities have the potential for significant off-site consequences

The nature of OST operations are unique compared to typical nuclear operations and facilities throughout the DOE Complex. These operations commonly involve offsite transportation of quantities of radioactive material that exceed the Hazard Category 2 threshold quantities identified in Table A.1 of DOE Standard 1027-92. Therefore, to comply with the requirements of 10 CFR Part 830, OST operations involving offsite transportation of radioactive materials are expected to be categorized as Hazard Category 2. b. Preparing a Documented Safety Analysis. DOE Standard 3009-2014, Preparation Guide for US Department of Energy Nonreactor Nuclear Facility Documented Safety Analyses, is an approved methodology for demonstrating compliance with 10 CFR Part 830. DSAs developed by OST must comply with the requirements of DOE Standard 3009-2014, except for deviations that are specifically identified in this Appendix. c. Defining the Scope of Work. The DSA must define the scope of the OST mission as it relates to the offsite transportation of nuclear explosives, nuclear components, naval nuclear fuel elements, Category I and Category II special nuclear materials, special assemblies, and other materials of national security. All OST offsite transportation operations fall into one of three categories; Nuclear Explosives shipments, Risk-based non-DOT compliant shipments, or DOT compliant shipments. The DSA must identify the subset of these offsite transportation operations that cannot comply with DOT requirements. These operations must be described in detail in the DSA per the requirements of DOE Standard 3009-2014. d. Identifying and Analyzing the Hazards. Shipping organizations are responsible for identifying and analyzing the hazards associated with shipments that comply with DOT requirements. The Requirements section of this Order describes these processes. Because compliance with DOT requirements provides for adequate protection of workers and the public from the hazards associated with transportation of hazardous materials, analysis of hazards associated with DOE O 461.1C Appendix A 7-20-2016 A-3 operations that comply with DOT requirements do not need to be included in a DSA. The identification and analysis of hazards associated with shipments that do not comply with DOT requirements (i.e., shipments of nuclear explosives and other risk-based non-DOT compliant shipments) must be included in the DSA per the requirements of DOE Standard 3009-2014. As noted below, all non-DOT required structures, systems, and components (SSCs) identified in the hazard analysis that are necessary for providing adequate protection of workers are to be categorized as “safety SSCs.” e. Weapon Response Information. Given the unique hazards associated with operations involving nuclear explosives, weapons response information is used to demonstrate that the identified hazard controls are sufficient to ensure adequate protection of workers and the public for those hazard scenarios for which the hazard cannot be eliminated or adequately mitigated. In general, weapon response information is the probability of hazardous material dispersal, high explosive violent reaction (HEVR), inadvertent nuclear detonation (IND), or worker safety consequence given a specific hazard environment. As needed, OST must follow the processes defined in DOE NA Standard 3016-2018, Hazard Analysis Reports for Nuclear Explosive Operations, associated with requesting and using weapons response information.

f. Accident Analysis. For those transportation activities that do not comply with DOT requirements, the DSA must include analysis of the bounding accidents that could occur (i.e., design basis accidents or DBAs), per the requirements of DOE Standard 3009-2014. However, it is not necessary for the DSA to include analysis of the consequences for DBAs involving HEVR or IND of nuclear explosives; rather, the DSA should assume that these accidents will challenge the Evaluation Guideline (EG) of 25 rem, as established in DOE Standard 3009-2014. Likewise, because many HEVR and IND scenarios cannot be eliminated or their consequences be adequately mitigated, prevention is typically relied upon rather than mitigation and analysis of mitigated consequences for HEVR and IND scenarios is also unnecessary. The analysis of OST accidents should identify the complete set of controls and recommend any new controls necessary to demonstrate that every effort has been made to lower the accident likelihood. g. Deriving Hazard Controls and Defining Safety Management Programs. Per DOE Standard 3009-2014, the DSA must identify the hazard controls necessary to ensure adequate protection of workers and the public, demonstrate the adequacy of these controls to eliminate, limit, or mitigate identified hazards, and define the process for maintaining the hazard controls. Given the proximity of OST offsite transportation operations to the public, distinctions made to categorize hazard controls as either protecting workers or protecting the public are unnecessary. The DSA must, however, distinguish between DOT required hazardous material SSCs and NNSA regulated safety SSCs. Rather than designating SSCs as safety-significant or safety-class, all Appendix A DOE O 461.1C A-4 7-20-2016 non-DOT required SSCs whose failure could result in consequences exceeding evaluation guidelines (EGs), or whose preventive or mitigating function is a major contributor to defense in depth and/or worker safety, must be designated as “safety SSCs.” When determining the requirements associated with the design, implementation, maintenance, quality assurance, and configuration management of non-DOT required safety SSCs through application of other DOE Directives and Standards, OST must apply the requirements associated with safety-class controls for these “safety SSCs.” Those administrative controls that have safety importance equivalent to engineered controls and would be designated as “safety SSCs” if engineered controls were available must be identified and developed as Specific Administrative Controls (SAC). See DOE Standard 1186-2004, Specific Administrative Controls, for acceptable methods. The DSA must include the Technical Safety Requirements necessary to ensure “safety SSCs” are available to fulfill their credited safety functions and functional requirements, per the requirements of DOE Standard 3009-2014. The DSA must define the characteristics of the safety management programs necessary to ensure the safe operation of the facility, per the requirements of DOE Standard 3009-2014. These safety management programs must include quality assurance, procedures, maintenance, personnel training, conduct of operations, emergency preparedness, fire protection, radiation protection, and criticality safety.

h. Approval and Updates of the Documented Safety Analysis. OST must submit the DSA to the safety basis Approval Authority. The Approval Authority will formally document approval/disapproval in a Safety Evaluation Report, and may require additional operational controls or constraints to be included in the safety basis. The DSA must be kept current to reflect any changes in work or hazards, as they are analyzed in the DSA. i. Transportation Authorizations and the Unreviewed Safety Question Process. 10 CFR 830.203 requires that OST establish, implement, and take actions consistent with an unreviewed safety question (USQ) process. OST must submit their USQ procedure to the Safety Basis Approval Authority for approval. The USQ process must be used to evaluate both (a) any new shipments that do not comply with DOT requirements and were not previously evaluated in the OST DSA and (b) proposed changes to equipment or procedures associated with shipments that were previously evaluated in the OST DSA. As described in this Order, OTAs and OTDs are not DOT compliant. Therefore, shipments made using OTAs and OTDs not previously evaluated in the OST DSA must be reviewed using the USQ process to determine whether the Safety Basis Approval Authority must approve modifications to the OST DSA prior to authorization of the subject shipments. 1. PURPOSE 2. CANCELLATIONS 3. APPLICABILITY. a. Departmental Applicability b. Equivalencies and Exemptions 4. REQUIREMENTS. a. General Requirements for Shipments. b. Alternative Requirements for Shipments. c. Quality Assurance. d. Transportation Safeguards System. e. Scheduling Transportation Safeguards System Shipments. f. Training 5. RESPONSIBILITIES. a. Administrator, NNSA. b. Cognizant Secretarial Officer (CSO). Approves or disapproves exemptions and equivalencies to this Order. c. Central Technical Authority (CTA). d. Program Secretarial Officers. e. NNSA Deputy Administrators. f. Deputy Administrator for Defense Programs. g. Principal Assistant Deputy Administrator for Military Application. Serves as the chairperson of the STAAB. h. Field Organization Managers. i. Assistant Deputy Administrator for Secure Transportation. j. NNSA CO. k. Deputy Administrator for Naval Reactors. 6. INVOKED TECHNICAL STANDARDS a. DOE Standard (STD)-3009-2014, Preparation of Nonreactor Nuclear Facility Documented Safety Analysis b. DOE-NA-STD-3016-2018, Hazard Analysis Reports for Nuclear Explosive Operations 7. DEFINITIONS. 8. REFERENCES. 9. CONTACT ATTACHMENT 1. CONTRACTOR REQUIREMENTS DOCUMENT 1. General Requirements for Shipments. 2. Alternative Requirements for Shipments. 3. Quality Assurance. 4. Transportation Safeguards System Shipment. 5. Contractors must ensure that their organizations perform periodic self-assessments of activities covered by this CRD. 6. Training APPENDIX A. PREPARATION METHODOLOGY FOR DOE/NNSA OFFICE OF SECURE TRANSPORTATION’S DOCUMENTED SAFETY ANALYSIS 1. PURPOSE 2. APPLICABILITY AND SCOPE. 3. OBJECTIVE 4. SAFETY ANALYSIS METHODOLOGY