doc_fn: oldord/1540/o15401a.html
DocType: ArcOld
ID: DOE O 1540.1A
Title: Materials Transportation and Traffic Management
Summary: Cancels DOE 1540.1 & Cancelled by DOE o460.2 9-27-95
Org: EM
Date_Issue: 07/08/1992
Date_Close:
VdkVgwKey: oldord-67
Directive: 1540.1
Text:
U.S. Department of Energy ORDER
Washington, D.C. DOE 1540.1A
7-8-92
SUBJECT: MATERIALS TRANSPORTATION AND TRAFFIC MANAGEMENT
1. PURPOSE. To establish Department of Energy (DOE) policies and
procedures for the management of materials transportation activities,
including traffic management, for other than intrabuilding and
intrasite transfers.
2. CANCELLATION. DOE 1540.1, MATERIALS TRANSPORTATION AND TRAFFIC
MANAGEMENT, of 5-3-82.
3. SCOPE. The provisions of this Order apply to all Elements of the
Department of Energy involved in transportation activities and
responsible for the payment or reimbursement of charges for
transportation services.
4. SCOPE. It is Departmental policy to ensure that traffic and
transportation management shall be accomplished in a manner
commensurate with:
a. Operational requirements for transportation services;
b. Established practices and procedures for transportation safety,
economy, efficiency, and cargo security;
c. National transportation policy as established by Congress in 49
U.S.C. and implemented by the Federal agencies; and
d. Applicable Federal, State, local, and international transportation
regulations.
5. REFERENCES.
a. DOE References.
(1) DOE 1540.4, PHYSICAL PROTECTION OF UNCLASSIFIED IRRADIATED
REACTOR FUEL IN TRANSIT, of 3-8-89, establishes physical
protection requirements and standards.
(2) DOE 5000.3A, OCCURRENCE REPORTING AND PROCESSING OF
OPERATIONS INFORMATION, of 5-30-90, establishes a DOE system
for identification, categorization, notification, analysis,
reporting, followup, and closeout of occurrences.
(3) DOE 5480.3, SAFETY REQUIREMENTS FOR THE PACKAGING AND
TRANSPORTATION OF HAZARDOUS MATERIALS, HAZARDOUS SUBSTANCES,
AND HAZARDOUS WASTES, of 7-9-85, contains safety requirements
for the packaging of fissile and radioactive material defines
the requirements for the design, evaluation, and testing of
containers used for the transport of the Departments fissile
and radioactive materials. Also states the requirement and
procedure for hazardous material exemption.
(4) DOE 5632.2A, PHYSICAL PROTECTION OF SPECIAL NUCLEAR MATERIALS
AND VITAL EQUIPMENT, of 2-9-88, defines requirements for the
protection and safeguards to be employed for the transport of
special nuclear materials.
(5) DOE 5632.1B, PROTECTION PROGRAM OPERATIONS, of 9-8-92,
establishes DOE policies for the physical protection of
security interests and baseline physical protection
standards.
(6) DOE 5300.3C, TELECOMMUNICATIONS: COMMUNICATIONS SECURITY, of
5-18-92, establishes policy and provides communications
security guidance for telecommunications services.
(7) DOE 5300.1C, TELECOMMUNICATIONS, of 6-12-92, establishes
policies, responsibilities, and provides guidance for
telecommunications services.
(8) Standard RDT-F 8-6T, "Hoisting and Rigging of Critical
Components and Related Equipment," of 1-80, defines
requirements to ensure the safe handling and packaging of
high value components and commodities.
b. Sources of Hazardous Material Transportation Regulations. The
principal sources of Federal regulations pertaining to the
transportation of hazardous materials, which includes radioactive
and fissile materials, are listed below. The regulations contain
provisions for classification, packaging, marking, and labeling of
such materials. They are issued by the following agencies and
codified and published in the Code of Federal Regulations. The
regulations of each agency are published separately and may be
purchased from the Superintendent of Documents, United States
Government Printing Office, Washington, DC 20402.
(1) United States Nuclear Regulatory Commission Regulations.
(a) Title 10, Code of Federal Regulations (CFR), Part 71,
"Packaging of Radioactive Material for Transport, and
Transportation of Radioactive Material Under Certain
Conditions, prescribes Federal standards applicable to
licensee shippers of non-exempt quantities of
radioactive materials.
(b) Title 10 CFR Part 73, "Physical Protection of Plants and
Materials," prescribes shipment standards.
(2) United States Department of Transportation Regulations.
Title 49 CFR Parts 100-199, Subchapters A-C, "Hazardous
Materials Regulations," provides requirements applicable to
shippers and carriers of hazardous commodities.
(3) United States Postal Service Regulations. Publication 52,
"Acceptance of Hazardous or Perishable Articles", prescribes
applicable postal regulations.
(4) United States Environmental Protection Agency. Title 40 CFR,
designates the types of hazardous materials which are
regulated.
(5) United States Customs Service Rules. Title 19 CFR and Public
Law 95-242, "Import/Export of Nuclear Materials."
c. General Transportation Acts and Regulations. In addition to the
preceding regulations covering the transportation of hazardous
materials, there are several transportation acts and regulations,
which assign responsibilities, establish requirements, and
prescribe procedures for transportation in general or in other
specific areas. Some of these important references are as
follows:
(1) Interstate Commerce Act. Title 49 U.S.C., authorizes the
Interstate Commerce Commission to regulate rates, rules, and
practices of carriers engaged in interstate commerce.
(2) Cargo Preference Act of 1954. Title 46 U.S.C. 1241 and 49
U.S.C. 1517, states requirements governing the use of ocean
transportation by Government agencies.
(3) Federal Property and Administrative Act of 1949, as amended.
(Public Law 152, 81st Congress, 63 Stat., 377) This act
assigns the responsibilities for transportation services in
the civil Government agencies to the General Services
Administration (GSA), but recognizes certain exemptions
granted the Atomic Energy Commission.
(4) Hazardous Materials Transportation Act. Title 49 U.S.C. 1801
et seq., defines regulatory and enforcement authority of the
Secretary of Transportation to protect the nation against the
risks inherent in the transportation of hazardous materials.
(5) Federal Property Management Regulations. Title 41 CFR Parts
101 et seq., prescribes the regulations on transportation and
traffic management required to implement GSA's
responsibilities under Federal Property and Administrative
Act of 1949.
(6) DOE Federal Property Management Regulations. Title 41 CFR
Parts 109-40, prescribes the transportation and traffic
management regulations for those areas of DOE operations
exempted under the Federal Property and Administrative Act of
1949.
(7) United States Air Force Regulation 76-38. Joint military
regulation, Military Airlift - Request Submission,
Requirements Submission, Space Assignment and Allocation
Procedures," provides regulations governing use of military
airlift.
d. Other Related Reference Material. Several private and
Governmental agencies other than those listed, have printed
publications or standards which either set forth certain of the
above regulations in full or in part, or provide guidance in
connection with some facets of transportation of hazardous
materials. Publications applicable solely to foreign commerce are
also available. These publications are helpful for use in daily
operations. It should be understood that some of these
publications are not complete restatements of the regulations
applicable to interstate or foreign commerce, and reference must
be made to the Code of Federal Regulations or other appropriate
authority for the actual and complete requirements applicable to
the packaging and transportation of hazardous materials including
radioactive and fissile materials. Some of these publications,
especially tariffs, are reissued and updated periodically. Some
of these publications are as follows:
(1) "IATA Restricted Articles Regulation," published periodically
by the International Air Transport Association, 1115
Mansfield Street, Montreal 113, Quebec, Canada.
(2) "Regulations for the Safe Transportation of Radioactive
Materials, Safety Series No. 6," 1973 revision as amended,
issued by the International Atomic Energy Agency; Vienna
International Centre, Post Office Box 100, A-1400, Vienna,
Austria. Available from Unipub, Inc., Post Office Box 433,
New York, NY 10016.
(3) "Official Air Transport Restricted Articles Tariff and
Circular," Air Transport Association of America; published
periodically by Airline Tariff Publishers, Inc., 1825 K
Street, NW, Washington, DC 20006.
(4) "A Guide for Shipping Hazardous Materials," published by
United Parcel Service, 51 Weaver Street, Greenwich Office
Park 5, Greenwich, CT 06830.
(5) "Hazardous Materials Regulations of the Department of
Transportation by Air, Rail, Highway, Water and Military
Explosives by Water, including Specifications for Shipping
Containers," published periodically by the Bureau of
Explosives, Association of American Railroads, 1920 L Street,
NW, Washington, DC 20036.
(6) "ATA Hazardous Materials Tariff," published periodically by
American Trucking Associations, 1616 P Street, NW,
Washington, DC 20036.
(7) United States Tariff Commission, "Tariff Schedules of the
United States Annotated," Superintendent of Documents,
Government Printing Office, Washington, DC 20402.
(8) United States Customs Service, "Export Administration
Regulations," Superintendent of Documents, Government
Printing Office, Washington, DC 20402.
e. American National Standards Institute Standards.
(1) The American National Standards Institute prepares and
publishes nuclear industry-wide standards related to the
transportation of radioactive materials. Such standards
reflect agreement on the part of persons who are
substantially involved with the specific subject matter.
Although these standards do not have the force and effect of
law, they should be adhered to if they are determined to be
helpful in meeting applicable regulations. Such standards
should not be construed as requirements.
(2) Copies of current standards may be obtained from the American
National Standard Institute, 1430 Broadway, New York, NY
10018.
6. DEFINITIONS.
a. Cargo Security. The physical protection against theft, pilferage,
burglary, hijacking, sabotage, and vandalism of cargo and vehicles
in transit. (This term includes "physical protection of cargo"
and "transportation safeguards.")
b. Carrier. Any person engaged in the transportation of passengers
or property as a common, contract, or private carrier, or freight
forwarder, as defined in the Interstate Commerce Act, as amended;
or the United States Postal Service; or officers, agents, and
employees of such carriers.
c. Consignee. The person designated in the shipping papers to
receive the shipment.
d. Consignor. The person executing the shipping papers, and named as
such in the shipping papers. The consignor is in every case a
shipper.
e. DOE Contractor. A prime contractor or subcontractor of the
Department of Energy.
f. Exclusive Use of Vehicle. A service whereby a vehicle is assigned
for the sole use of a specific consignor, loaded only by that
consignor, and unloaded only by the consignor or consignee.
g. Government Aircraft. Any aircraft which is used exclusively by a
Government Agency in carrying out noncommercial operations. Title
49 of The United states Code 1301(36) defines government aircraft"
as follows:
"Government aircraft" means an aircraft used exclusively in
the service of any government or of any political subdivision
thereof, including the government of any State, Territory, or
possession of the United States, or the District of Columbia,
but not including any government-owned aircraft engaged in
carrying persons or property for commercial purposes."
Examples of "Government Aircraft" are cited on page I-8, paragraph
12a(2).
h. Hazardous Materials. Any material which has been determined to be
capable of posing an unreasonable risk to health, safety, and
property when transported in commerce.
i. Material. Any material, hazardous or nonhazardous, or article
which requires transportation to, from, or between DOE facilities
for which DOE pays or reimburses transportation charges.
j. Package. The package, together with its contents, as presented
for transportation.
k. Packaging. The assembly of containers and any other components
attached thereto, including inner receptacles, absorbent material
supporting structure, thermal insulation, and supplementary
attached equipment.
l. Precious Metals. For the purposes of this Order, defined as
gallium, gold, iridium, osmium, palladium, platinum, rhodium,
ruthenium, silver, or any combination of these metals.
m. Premium Transportation. The carriage of any person or commodity
between two points by any method other than the most economical.
When complying with all applicable laws, rules, regulations, and
security requirements, transportation requirements are specific
and are not considered "premium." Under certain conditions, time
in transit or time required to arrive at destination precludes the
use of a lower cost method for carriage and is likewise not
considered "premium."
n. Property. Goods and materials, Including accountable quantities
of nuclear materials, explosives, and other hazardous materials
shipped by or for the account of the Department.
o. Protective Service. Measures taken by commercial carriers upon
request to provide physical protection for shipments, which is in
addition to the protection furnished under the requirements of
normal common carrier activity. (See DOE 5632.1B and DOE 5632.2A
for additional information regarding degree of protection for
property in transit.)
p. Public Vehicle. Any surface vehicle which is either owned by or
leased to a Government Agency, and which is operated by that
Agency. Examples of "Public Vehicle" are cited on page I-6,
paragraph 12a(1).
q. Shipper. The person (or his or her agent) who tenders a shipment
for transportation. The term includes persons who prepare
packages for shipment, and offer packages to a carrier for
transportation by signature on the shipping paper.
r. Traffic Management. Involves all functional operations related to
the procurement and management of commercial and Government-owned
transportation services. Traffic management is responsible for
carrier selection, preparation of shipments for the carrier,
loading and unloading on the shipping platforms, tracing,
expediting, rate analysis and applications, tariff controls,
reconsignment, diversion, preparing and filing bills of lading,
processing loss and damage claims, promoting claims prevention,
assuring compliance with applicable laws and regulations, and all
other operations related to the movement of shipments into and out
of a facility.
s. Transport Vehicle. The conveyance (motor vehicle, railcar,
aircraft, barge, or seagoing vessel used for the transportation of
property. Each cargo-carrying body (trailer, van, boxcar, freight
container, barge, or ship's hold) Is a separate vehicle.
t. Transportation. The activity of moving traffic, materials, and
persons from one point to another.
7. RESPONSIBILITIES.
a. Assistant Secretary for Environmental Restoration and Waste
Management (EM-1).
(1) Develops, establishes, and promulgates directives involving
systems, operational standards, procedures, criteria, and
guidelines for activities relating to the transportation of
the Department's property and materials.
(2) Provides a centralized source of staff expertise and
assistance on transportation and traffic management matters,
the interpretation of Federal State, and local transportation
regulations with the concurrence of the Office of General
Counsel (GC-1), and the jurisdictional responsibilities of
transportation operational and traffic management
responsibilities.
(3) Assists Headquarters and field elements in carrying out
transportation, operational, and traffic management
responsibilities.
(4) Assists field elements in expediting essential shipments
consigned to or by the Department, and, in concert, as
required, with the Assistant Secretary for Environment,
Safety and Health (EH-1), and with the concurrence of GC-1
obtains necessary waivers or exemptions from Federal
transportation regulations, except for Department of
Transportation (DOT) hazardous materials exemptions.
(5) Collects and maintains data and statistics pertaining to
transportation of Departmental materials and property, and,
as appropriate, participates in Headquarters and field
element transportation related studies.
(6) In cooperation, as required, with EH-1 and with the
concurrence of GC-1, coordinates the development and
submission of Departmental requests for exemptions from
Federal transportation regulations and in the formulation of
protests and objections to carrier tariff proposals.
(7) In concert with appropriate program offices, identifies the
need for, and provides (as necessary) funding and
recommendations for research, development, and testing
related to the operational and transportation management
aspects of materials transportation, except for long-range
packaging R&D for radioactive materials.
(8) In cooperation, as required, with the Assistant Secretary for
Domestic and International Energy Policy (EP-1), EH-1 and
other DOE program offices, and with the concurrence of GC-1,
coordinates the Departmental review of, and comment on,
transportation regulations, proposed by the Department of
Transportation, the Nuclear Regulatory Commission, the
Environmental Protection Agency, and other international
Federal State, and local agencies.
(9) Recommends and participates in the development of policy,
standards, and procedures for cargo security or in transit
physical protection of strategic materials involving foreign
and domestic shipments of the Department's property,
coordinating with EP-1 as required.
(10) In cooperation with EP-1, provides specific advice and
assistance on international shipments with regard to
processing of shipping papers, customs clearances, carrier
services and routing, and other transportation related
Department approval's except for IAEA statement of competent
authority for foreign radioactive material shipments, which
various Agencies.
(11) Administers Departmental implementation of Federal Property
Management Regulations related to traffic management
functional areas (except for the Department's motor vehicle
fleet, special telecommunication requirements, and those
responsibilities of the Director of Administration and Human
Resource Management cited in DOE 1500.2A related to household
goods shipments).
(12) Negotiates, or designates appropriate field element(s) to
negotiate, freight rates, classification ratings, services,
and other related matters for Departmental shipments
involving more than one field element, or where the
negotiation is national or international in scope.
(13) Reviews Federal Property Management Regulations and
implements, supplements, and requests class deviations.
(14) Coordinates requests to Department of Defense for military
transportation services.
(15) Represents the Department as a member of the American
National Standards Institute (N.14 Committee on
Transportation) to ensure that Department transportation
operational matters and policy are properly considered.
(16) Represents the Department on the Interagency Government
Tariff Modernization Committee and the Interagency Committee
on Transportation and Traffic Management.
(17) In cooperation with EH-1 and EP-1 as required, represents the
Department in relations with other Federal, State, and local
agencies, industry, and International committees on matters
within the functional areas described above; and represents
the interests of, or assists field elements in their
relations with other Federal agencies.
(18) Provides transportation guidance to field elements and
appraises their performance of transportation and traffic
management activities as they relate to individual programs.
b. Program Secretarial Officers (PSOs).
(1) Carry out research, development, and testing as necessary to
provide, maintain, and operate transportation systems for
their programs.
(2) Ensure that their transportation operations meet all
applicable regulatory requirements and Departmental
directives.
c. Director of Administration and Human Resource Management (AD-1) is
responsible for the Department's transportation related to
telecommunication requirements and the Headquarters transportation
service requirements listed in subparagraph g, below, with respect
to shipments made under contractual authorities and related to the
functional activities of this office.
d. Director of Procurement, Assistance and Program Management (PR-1)
develops appropriate articles for inclusion in contracts and
ensures that the provisions of this Order are applied to, and
included in, the DOE Procurement Regulations.
e. Deputy Assistant Secretary for Military Application (DP-20) and
Deputy Assistant Secretary for Naval Reactors (NE-60).
(1) Ensure that the provisions of this Order are carried out by
the field elements under their jurisdiction and that their
transportation operations meet applicable regulatory
requirements and Departmental Orders.
(2) Develop, establish, and maintain policies, systems,
operational standards, procedures, criteria, and guidelines
for activities relating to the transportation of materials
for their programs in a manner comparably effective with the
provisions of this Order.
(3) Coordinate requests to the Department of Defense for military
transport services.
(4) File requests for waivers and exemptions from applicable
Federal, State, and local laws or regulations as needed to
meet programmatic requirements directly to the enforcement
agency with the concurrence of GC-1, if they so choose, or
request the assistance of EM-1 in processing such requests.
Requests for DOT exemptions for hazardous materials will be
forwarded to EH-1.
f. General Counsel (GC-1) shall provide advice and assistance in
matters relating to statutes and regulations, and exemptions and
waivers thereto.
g. Heads of Field Elements.
(1) Ensure compliance with the Department's transportation
policies and procedures, and Federal and international
regulations in carrying out operational responsibilities for
domestic and international shipments.
(2) Obtain waivers from State and local transportation regulatory
agencies, as needed to meet programmatic requirements.
(3) Forward applications for waivers or exemptions from Federal
transportation regulations, as needed to meet programmatic
requirements, to EM-1 (with copy furnished to the cognizant
Program Secretarial Officer) for coordination and submission
to the appropriate Federal agency. DOT exemptions for
hazardous materials are submitted for coordination to the
appropriate Federal agency by EH-1.
(4) Maintain awareness of transportation legislative and
regulatory activities of States and local jurisdictions which
could impact transportation operations and advise EM-1 of
those activities.
(5) Review contractor qualification training programs for
employees who are responsible for shipments of hazardous
materials in order to ensure compliance with applicable
transportation regulations and requirements.
(6) Issue Price-Anderson indemnity agreement certificates to
carriers, upon their request, or notify the requesting
carriers and the referring organization, as applicable, that
the shipment is not covered by an indemnity agreement. When
a licensee indemnity agreement has been entered into by the
Nuclear Regulatory Commission with the consignor or
consignee, or when it is not known whether such an indemnity
agreement has been entered into, requests from carriers for
such certifications should be referred to the director of the
appropriate Nuclear Regulatory Commission Regional Office
listed in Appendix D of 10 CFR Part 20.
(7) Conduct negotiations with carriers or authorize cost-type
contractors to negotiate directly with the carriers
concerning rates, classification ratings, services, and
related transportation matters (a) when it is believed only
their own field element will be affected, or (b) if more than
one field element is affected, as designated by EM-1.
(8) Advise other field elements, EM-1, and cognizant DOE program
offices of significant freight rate changes, service
requests, or petitions.
(9) Issue Government bills of lading and authorize specific
employees of cost-type contractors to issue Government bills
of lading within prescribed limitations.
(10) Maintain necessary liaison with District Directors of
Customs.
(11) Perform periodic appraisals of cost-type contractors relating
to transportation and traffic management activities.
8. IMPLEMENTING PROCEDURES AND INSTRUCTIONS. Chapters I and II include
specific implementing procedures and instructions. Chapter I addresses
traffic management, and Chapter II addresses transportation operations.
BY ORDER OF THE SECRETARY OF ENERGY:
DOLORES L. ROZZI
Director of Administration
and Human Resource Management
TABLE OF CONTENTS
CHAPTER I - TRAFFIC MANAGEMENT PAGE
1. Negotiation for Rates or Services I-1
a. Content of Rate Proposals I-1
b. Procedures for Handling Rate Requests I-2
c. Application of Rates or Services I-2
2. Section 10721 Freight Rate Quotations I-2
3. Carrier Requests for Operating Authority I-2
4. Compliance with Transportation Laws or Regulations I-3
a. General Requirements I-3
b. Radioactive and Other Hazardous Materials I-3
c. Size and Weight Limitations for Highway Shipments I-3
d. Waivers and Exemptions I-3
5. Consignment of Shipments I-3
6. Demurrage and Detention I-4
7. Description of Property for Shipment I-4
8. Premium Transportation I-4
9. Consolidation of Shipments I-5
10. Transportation Data I-5
a. Shipment Mobility/Accountability Concept (SMAC) I-5
b. Data Input Schedule I-5
c. Annual Transportation Report I-5
(1) Hazardous and Radioactive Materials Shipments I-5
(2) Non-Hazardous Materials Shipments I-6
(3) All Materials Shipments I-6
d. Reporting Date I-6
11. Shipments by American or Foreign Flag Carriers I-6
12. Classification of Transport Vehicles and Aircraft I-6
a. Application I-6
(1) Public Vehicle I-6
(2) Government Aircraft I-8
b. Determination of Classification I-9
13. Military Air Transportation I-9
14. Insurance Requirements I-12
CHAPTER II - TRANSPORTATION OPERATIONS
1. Waivers and Statutory Exemptions From Federal Regulations II-1
a. Exemptions from General Service Administration
Transportation Regulations II-1
b. Exemptions from Nuclear Regulatory Commission Packaging
and Transportation Regulations II-1
c. National Security Exemption II-2
2. Packaging and Marking of Materials for Transportation II-2
3. Packaging and Transporting Precious Metals II-3
a. Radioactive Precious Metals II-3
b. Nonradioactive Precious Metals II-3
(1) Packaging II-3
(2) Modes of Transport II-3
(3) Value of Shipments II-4
(4) Shipping Descriptions II-4
(5) Insurance II-4
4. Loading Methods and Tiedown Requirements II-4
a. Responsibilities II-4
b. Acceptable Practice II-4
(1) Loading II-5
(2) Blocking and Bracing II-6
(3) Tiedown Assemblies II-6
5. Cargo Security II-7
a. General II-7
b. Type of Services Available II-7
(1) Airlines II-7
(2) Motor Carriers II-7
(3) Sealed Railroad Car Service II-8
(4) United States Mail II-8
c. Security Requirements for Materials in Transit II-8
d. Endorsement on Bills of Lading for Rail Shipments II-9
e. Failure to Provide Protective Services II-9
f. General Cargo Security Advisory Standards II-10
6. Customs Clearance of Import Shipments II-10
a. Determination of Dutiable Status II-10
b. Showing Description and Value on Customs Documents II-10
c. Imports with Security Interests II-10
d. Duty-Free Imports II-11
7. Checking Vehicles and Packages for Damage and Leakage II-11
a. Early Pickup and Monitoring II-11
b. Hazardous Materials Contamination II-12
c. Emergency Response II-12
d. Reporting Requirement II-13
8. Shipment Notification Policy II-13
a. DOE Unclassified Spent Fuel II-13
b. DOE Unclassified High-Level Radioactive Waste II-14
9. Shipment Campaign Plans II-15
Attachment II-1 - Regional Coordinating Offices II-17
CHAPTER I
TRAFFIC MANAGEMENT
1. NEGOTIATION FOR RATES OR SERVICES. Relief from rates, classification
rules, or carrier's regulations affecting shipments of materials which
appear to warrant adjustment shall be sought by negotiation through
established carrier channels. Discriminatory costs, rules, or
regulations, which result in unreasonable transportation costs, impede
the movement or timely delivery of Departmental materials, or impose
prejudicial restrictions or requirements on Departmental shipments,
provide the basis for initiation of such negotiations.
a. Content of Rate Proposals. Requests for adjustments should
include the following justifying factors as appropriate:
(1) Description of commodity.
(2) Value of packaged shipments or released valuation.
(3) Manner of shipment.
(4) Kind of container to be used.
(5) Density per cubic foot.
(6) Size and shape of article.
(7) Susceptibility to damage.
(8) Average carload or truckload weight.
(9) Type of carrier equipment required.
(10) Special services incident to shipment, such as attendants.
(11) Estimated volume of movement.
(12) Length of haul.
(13) Regularity of movement (whether constant or sporadic).
(14) Name of origin and destination.
(15) Comparison of the proposed rate with existing rates on the
same commodity within the same general territory or a
statement concerning the similarity of the commodity to other
commodities on which rates exist.
(16) Statement of unreasonableness or inadequacy of existing rates
or other tariff provisions.
(17) Evaluation on which existing rates are based.
(18) Statement as to competition with other modes of
transportation.
b. Procedures for Handling Rate Requests.
(1) When it is believed that other field elements would have an
interest in a rate proposal determination, the proponent
field element shall furnish a copy of the proposal to EM-1
for review. Copies also should be furnished to those
organizations which might be interested in the proposed
negotiations.
(2) Upon receipt and review, interested offices shall advise the
proponent office and EM-1 of the extent of their interest and
the desired degree of participation in the negotiations.
(3) If it develops that several field elements are interested, a
coordinated proposal (with full supporting data) must be
forwarded by the proponent office through the appropriate
channels to EM-1 for coordination and appropriate action.
c. Application of Rates or Services. Rates or services obtained
through negotiations shall be applied to DOE and DOE contractor
shipments where applicable.
2. SECTION 10721 FREIGHT RATE QUOTATIONS. Section 10721(b)(i) of the
Interstate Commerce Act permits carriers to provide free or reduced
rates for transportation services to Government agencies, and others.
The negotiation of reduced rates and specialized services under Section
10721(b)(1) can often effect overall cost reductions to DOE programs,
while at the same time preserving compensatory rate levels of
participating carriers. The possibility of establishing Section 10721
rates, rules, and regulations quickly and without advance notice, even
retroactively when appropriate without legal impact on commercial rates
of longstanding nor protest by other shippers, should be considered.
See paragraphs 1a(1) through (14) of this chapter for content of
proposals and general procedures for handling rate requests.
3. CARRIER REQUESTS FOR OPERATING AUTHORITY. All participation in
proceedings with the Interstate Commerce Commission or the Civil
Aeronautic Board shall be with the advice and concurrence of the Office
of the General Counsel. Heads of Field Elements may indicate a need
for transportation service through submission of written statements to
the regulatory agency concerned or by other appropriate procedures. A
copy of each submission and supporting testimony shall be forwarded to
EM-1.
4. COMPLIANCE WITH TRANSPORTATION LAWS OR REGULATIONS.
a. General Requirements. DOE shipments shall comply with all laws
and regulations notwithstanding the Department's national security
exemption stated In Chapter II, paragraph 1c of this Order.
Requests for waivers may be submitted to the cognizant regulatory
authority pursuant to a determination by the Head of the field
element of the need of such waiver.
b. Radioactive and Other Hazardous Materials. State and local laws
which are unduly restrictive may require the assertion of the
constitutional immunities of the Federal Government. Any
assertion against a State or local jurisdiction requires the
concurrence of the Office of the General Counsel or the cognizant
field counsel.
c. Size and Weight Limitations for Highway Shipments. Motor carrier
shipments shall conform to State and local laws, regulations, and
ordinances relating to weight and size limitations. No vehicular
movement which exceeds any State's legal weight or size limitation
shall be undertaken over public highways unless prior permission
is formally granted by the state concerned. The Department or
Department's contractor support of a carrier requesting such
permission may be furnished only after a determination that it is
not practical to divide the load into smaller lots or feasible to
move the material by other means of transportation.
d. Waivers and Exemptions.
(1) Requests for transportation waivers and exemptions from
Federal laws and regulations, must be made by the head of the
field element to EM-1 for coordination and submission to the
appropriate regulatory agency. The Deputy Assistant
Secretary for Military Application (DP-20) and the Deputy
Assistant Secretary for Naval Reactors (NE-60) have the
option to place their requests directly with the appropriate
regulatory agency, keeping EM-1 informed of such action. This
is in exception to DOT exemptions for hazardous materials,
which are coordinated by EH-1.
(2) Heads of Field Elements may file for waivers and exemptions
from State and local laws, ordinances, and regulations direct
with the appropriate agency, keeping EM-1 and DC-1 informed.
5. CONSIGNMENT OF SHIPMENTS. Commercial bills of lading, air bills, and
other commercial documents covering shipments made by or to Department
contractors shall provide for consignment of the shipments from or to
either the United States Department of Energy "in care of" the
Department's contractor or the Department contractor "for the United
States Department of Energy."
6. DEMURRAGE AND DETENTION. To assure prompt release of carrier's
equipment (particularly special capacity, heavy-duty, or other
equipment in short supply), and to avoid demurrage and detention
charges, a diligent effort shall be made to load, unload, and release
freight equipment within the prescribed free time. Rail "average
demurrage agreements" should be entered into when the volume of rail
traffic justifies such an arrangement.
7. DESCRIPTION OF PROPERTY FOR SHIPMENT.
a. False billing or improper classification of freight is prohibited
by law. The Interstate Commerce Act prescribes fines and
penalties (applicable to shippers and carriers) for such
falsification.
b. Each shipment shall be described on the bill of lading or other
shipping document as specified in the governing freight
classification, carrier's tariff, or rate tender. Broad
descriptions which are not provided in tariffs (such as
"government supplies") shall not be used. Trade names may be used
in connection with published nomenclature when it is believed such
use will clarify the proper classification.
c. Shippers who offer radioactive materials, other hazardous
materials, or hazardous wastes subject to Department of
Transportation or Environmental Protection Agency regulations
shall describe and classify these articles on manifests and other
shipping papers as prescribed in the applicable regulations.
Persons who knowingly deliver any hazardous material under a false
or deceptive description, marking, or other declaration are
subject to criminal penalties under the Hazardous Materials
Transportation Act, Public Law 93-633.
8. PREMIUM TRANSPORTATION.
a. Premium transportation shall be used only when the additional cost
is clearly justified. When premium transportation (including
exclusive use of vehicle) is used for shipments weighing 500
pounds or more, a written statement supporting the use of such
transportation shall be retained in an appropriate file.
b. Exclusive use of a vehicle shall be requested only when justified
-- for security, safeguards, or programmatic reasons, because of
the nature of the commodity being shipped, or because of a
provision in the Certificate of Compliance, the Department of
Transportation exemption, or other applicable regulations. Freight
bills, or bills of lading covering such shipments, shall be
annotated to indicate both that' exclusive use of vehicle was
requested and was furnished by the carrier.
9. CONSOLIDATION OF SHIPMENTS. Shipments should be consolidated into
larger shipping quantities or units whenever such arrangements will
result in transportation or administrative economies. In determining
whether separate shipments may be advantageously consolidated,
consideration shall be given to established stopoff privileges for
partial loading or unloading at intermediate locations, inclusion of
small lots in the same car or trailer with carload or truckload
quantities, and possibly using freight forwarder service.
Opportunities for consolidation between the various field elements
should be considered. Other factors which must be considered when
applicable are nuclear criticality safety, radiological safety,
safeguards requirements, security Interest, supporting
telecommunications, and programmatic requirements.
10. TRANSPORTATION DATA.
a. Shipment Mobility/Accountability Concept (SMAC). This system,
located at the DOE Oak Ridge Field Office, accumulates
transportation data and other related data for Departmental
activities. It is a valuable transportation tool for both
Headquarters and field elements. SMAC data is utilized in risk
analysis studies, rate negotiations, replying to Congressional and
Freedom of Information inquiries and in the development of routing
models for DOE's hazardous and radioactive materials. The SMAC
also provides a control system to avoid duplicate freight bill
payments. All field elements will participate in SMAC by
providing shipment data unless exempted by EM-1. Those exempted
from participation will submit an annual transportation report as
prescribed in subparagraph c below and will provide transportation
data as required on an ad hoc basis.
b. Data Input Schedule. The SMAC receives input data on a monthly
basis by the 11th working day of each month for shipments made
during the previous month. Quarterly submissions, while not
encouraged, will be accepted. Contact point on all matters
involving SMAC is the Chief of Transportation, DOE Oak Ridge Field
Office.
c. Annual Transportation Report. The annual transportation report
submitted by the field elements and the Director of Administrative
Services (AD-60) shall include the following data elements:
(1) Hazardous and Radioactive Materials Shipments.
(a) Total transportation costs by hazard class or
radioactive type, e.g. limited quantity, low specific
activity, Type A, Type B and large quantity by mode;
(b) Total tons by class or type by mode; and
(c) Number of shipments by class or type by mode.
(2) Non-Hazardous Materials Shipments.
(a) Total transportation cost by mode;
(b) Total tonnage by mode; and
(c) Number of shipments by mode.
(3) All Materials Shipments.
(a) Costs for claims, demurrage or detention.
(b) Costs of Departmental traffic staffs (including
contractors) and associated person-years of effort
expended.
d. Reporting Data. Reports shall be prepared and forwarded to reach
the Headquarters Transportation Management Division (EM-561) no
later than 60 days after the end of a fiscal year.
11. SHIPMENTS BY AMERICAN OR FOREIGN FLAG CARRIERS. The use of United
States flag vessels and air carriers for any Government financed
movement of freight is required by statute (46 U.S.C. 1241 and 49
U.S.C. 1517) when such vessels and air carriers are available. When a
foreign flag vessel or air carrier is substituted, an explanatory
certificate or memorandum must be included in the shipment file with a
copy used to support the foreign flag carrier's freight bill. A
facsimile of the type of certificate required is shown in 4 CFR Part
52.2. Under this same part, the Comptroller General has the authority
to disallow any expenditure for foreign flag service not so justified.
12. CLASSIFICATION OF TRANSPORT VEHICLES AND AIRCRAFT.
a. Application.
(1) Public Vehicle. Interpretation of this definition has varied
from time to time. In order that vehicle (rail or highway)
be considered as a public vehicle, it must meet both the
conditions of either ownership or lease and the condition of
use by the Government in a nonrevenue-producing operation.
It is not sufficient for the transportation operation to be
"supervised" or "controlled" by the United States Government.
The operation must be outside of the definitions of common,
contract, or private carriers engaged in commerce, as defined
in Section 203(a) of the Interstate Commerce Act (49 United
States Code 303). Examples:
(a) Trucks and automobiles owned by the DOE, with title
vested in the Government, are operated by Department
contractors (such as Martin Marietta Energy Systems at
the DOE Oak Ridge Field Office, Westinghouse Savannah
River Company at the DOE Savannah River Field Office,
and Sandia at the DOE Albuquerque Field Office). The
vehicles are driven by contractor employees, acting on
behalf of the Department. This activity is ancillary to
the primary function of the contractor of performing
research and development. The contractor's
transportation activities are nonrevenue-producing and
the contractor is not engaged in commerce. Such
vehicles are public vehicles.
(b) The Department leases cars and trucks from a commercial
vehicle rental company. The vehicles are assigned
exclusively to the Department, and the vehicles are
operated and maintained either by the employees of the
Department or the contractor or DOE contractor as in
paragraph 12a(1)(a), above. Such vehicles are public
vehicles.
(c) A field element or a contractor engages the services of
a commercial carrier to transport an intersite shipment
of classified materials offsite, between facility X and
facility Y. The Department provides escort cars driven
by Department or contractor employees. The truck is
driven by an employee of the carrier. This is a
commercial trucking operation involving for-hire
carriage in which the operator of the truck is engaged
in a revenue-producing operation. The truck is a
for-hire vehicle, not a public vehicle.
(d) A Department-owned semitrailer is loaded with
Government-owned property by a Department contractor. A
commercial carrier is engaged to provide a tractor and
driver to haul the semitrailer from National Laboratory
X to National Laboratory Y. This movement is a
commercial operation and the carrier is engaged in a
revenue-producing operation. The truck, including the
semitrailer, is a for-hire vehicle, not a public
vehicle.
(e) A special train is made up of twelve Department-owned
rail cars including two Department-owned escort rail
cars. A locomotive owned and operated by a rail carrier
is used to pull this special train. The train crew is
employed by the rail carrier. These transportation
activities are revenue producing. None of the rail cars
including those owned by the Department are public
vehicles, and the movement constitutes for-hire
carriage.
(2) Government Aircraft. Ownership of an aircraft is not a
factor in determining whether the aircraft is considered a
Government aircraft, not subject to the regulations of the
Federal Aviation Administration of the Department of
Transportation. The application of the term "Government
aircraft" depends solely on the dedication of the use of the
aircraft to the service of the Government and the control
exercised by the Government over the crew, maintenance, and
dispatch of the aircraft. See 49 CFR, Part 175.5, for
details. Examples:
(a) Department-owned aircraft operated by a commercial air
carrier. The aircrafts are used exclusively in the
service of the Government. The carrier is engaged in a
revenue-producing operation in air commerce. The
aircraft is a Government aircraft.
(b) An aircraft owned by an air carrier assigned for
Government shipments under a contract which stipulates
the aircraft is reserved for exclusive use of the
Government during the life of the contract. The
aircraft is a Government aircraft.
(c) The same aircraft described above is also operated by
the air carrier under contracts with several other
government agencies which permit use, but the carrier is
under contractual obligation to operate the aircraft
only for Government uses and not commercial. The
aircraft is a Government aircraft.
(d) An aircraft operated by an air carrier under contract
with the Department for routine daily shuttle flights
between National Laboratory X and National Laboratory Y.
On some daily flights only Government freight and
official Department or other Government passengers are
carried. On other daily flights, revenue passengers
(e.g., dependent, vendors) are carried as an authorized
contractual service to those passengers due to the
remoteness of National Laboratory Y. Such alternative
or optional use of the aircraft, or of mixed government
and commercial shipments on the same aircraft, is deemed
to be air commerce. The aircraft is a civil aircraft,
not a Government aircraft, even while employed for
Government shipments or carriage of Government employees
on official business.
(e) An aircraft operated by an air carrier under contract
with the Department for occasional shipments of
Government property between National Laboratory X and
National Laboratory Y. The contract permits use of the
aircraft for commercial purposes when not engaged under
contract with the Department. The aircraft is a civil
aircraft, not a Government aircraft, even while employed
for Government shipments. If the aircraft was modified
specifically to accommodate Departmental needs and is,
in fact, not operated for other than Departmental
purposes, the aircraft is a Government aircraft.
b. Determination of Classification. It is the responsibility of the
program office director or field element head to determine whether
a vehicle or aircraft is public, Government or for-hire. The
above guidelines shall be considered in making the decision.
Doubtful cases should be referred to EM-1 who will obtain the
necessary interpretation from the appropriate authority.
13. MILITARY AIR TRANSPORTATION.
a. Conditions and procedures pertinent to the use of military air
transportation service to handle shipments for the Department and
its contractors are outlined below. These procedures are not
applicable to shipments of nuclear explosives and components
within the purview of the Division of Naval Reactors and the
Office of Military Applications.
b. Use of the Department of Defense (DOD) air transportation systems
shall be in accordance with that Department's regulations (Air
Force Regulation 76-38 Attachment 5). The DOD will handle
Department of Energy and its contractors' shipments when the air
transportation required is of official concern to, and is to be
paid for (directly, or by reimbursement to the contractor) by the
DOE. DOE shipments of programmatic interest (official concern)
but which are to be made by other than the DOE or its contractors,
may also be handled by the DOD, if the DOE certifies that such
transportation is in the national interest. Use of military air
transportation for DOE activities is premised on a situation in
which commercial air transportation is neither readily obtainable
nor satisfactorily capable of meeting program requirements.
Except for the Deputy Assistant Secretaries for Naval Reactors and
Military Application programs, requests for obtaining military air
transportation service shall be made through EM-1 and shall
include program division certification that such transportation is
in the national interest, and that commercial air transportation
is not readily obtainable nor satisfactorily capable of meeting
program requirements. The following information is required by
EM-1 prior to the submission of DOE requests for special airlift
air missions from the DOD.
(1) Overall Security Classification of Special Airlift Air
Mission. (Special weapons movement will carry a minimum
classification of restricted data to identify movement.)
(2) Mission Number. Assigned by the Department of Defense.
(3) Priority. Assigned as explained in Attachment 6 of Air Force
Regulation 76-38.
(4) Unit and Project Name (or Nickname).
(5) Route (all of the following to be identified by airfield;
that is, Anderson Air Force Base, Guam vice Guam):
(a) Onload.
(b) Enroute stops.
(c) Offload.
(6) Dates. Do not request specific times unless absolutely
necessary, are than one onload or offload, give availability
desired pickup and delivery of each.
(a) Availability.
(b) Date pickup is desired.
(c) Date delivery is required.
(7) Passengers.
(a) Total number of passengers. If cargo airlift, indicate
those passengers who may be couriers, technical escorts,
or foreign nationals.
(b) Total weight of excess baggage. Do not include normal
baggage weight.
(8) Cargo.
(a) Short tons of cargo, to the nearest ton. Do not include
baggage weight.
(b) Total cube (cubic feet).
(9) Security Classification of Cargo. Avoid using the term "Not
Applicable" if there is any cargo. If cargo is unclassified,
so state.
(10) Commodity Description and Any Other Pertinent Information.
Use complete service nomenclature and Department of
Transportation shipping name and class, if appropriate.
(11) Bulk.
(a) Weight of the largest single item in pounds followed by
cube; for example: 780/95.
(b) Dimension of the largest single item in inches; specify
length, width, and height. See descriptions of outsize
and oversize cargo. Indicate in remarks section all
wheeled or skid mounted cargo exceeding 104" in length,
60" in width, or 48" in height.
(12) Net Explosive Weight. Indicate in the remarks section the
net explosive weight by class and quantity-distance, class of
each item containing Class A or B explosives. For special
weapons provide the number and type units, type container,
unit weight, net explosive weight, and total weight in the
onload or offload order.
(13) Identify Appropriate Paragraphs of Air Force Regulations
AFR-71-4. Identify each hazardous item and cite all
applicable lowest subparagraphs in compliance thereto for
each item. (Use remarks section, if necessary.) Hazardous
materials are not airlifted unless there is compliance with
all provisions of subject regulation.
(14) Onload Contact.
(a) Give full name, office, and home phone, as applicable.
(b) Enroute stop contact. Include full name, office, and
home phone.
(c) Destination contact. Give full name, office, and home
phone.
(15) Billing Instructions. Include the appropriation chargeable,
as appropriate. If none of these are available, include the
name and address of a specific organization responsible for
reimbursing on direct billing basis.
(16) Remarks. Add the following--Geographic location of info
addressees. The addressees must be identified fully.
c. For shipments of programmatic interest (official concern) to the
Department, but which are to be made by a vendor or agent of a
cost-type contractor at the direction of that contractor, the
field element will furnish the above information as well as a
certification that such transportation is in the national
interest, and the name of the nongovernmental agency, company, or
individual responsible for reimbursing the Department of Defense.
14. INSURANCE REQUIREMENTS.
a. Consistent with the Government's self-insurance policy, funds
shall not be expended to insure property against loss, damage, or
destruction while in transit. In instances where the governing
tariff limits the carrier's liability to a value per pound or a
value per shipment and provides an additional charge for shipments
exceeding that value, declare the highest value which the carrier
will honor without additional charge or enter "no value declared"
(NVD) if the limiting value is unknown. Similarly, when rates or
classification ratings vary according to a declared value, declare
the maximum value applicable to the lowest published rate or
rating.
b. Rates on a few commodities are based on actual value requiring
that the actual value be declared. Declaration of full value on
shipments on nonradioactive precious metals in certain
circumstances is discussed on page II-4, paragraph 3b(5).
CHAPTER II
TRANSPORTATION OPERATIONS
1. WAIVERS AND STATUTORY EXEMPTIONS FROM FEDERAL REGULATIONS.
a. Exemptions from General Services Administration Transportation
Regulations. The Department and its contractors' transportation
and traffic management activities have certain exemptions from the
Federal Property and Administrative Act of 1949, as amended
(Public Law 152, 81st Congress, 63 Stat., 377) at title II,
section 201(b) which provides "The Administrator (GSA) shall as
far as practicable-provide any of the services specified ... to
any other Federal agency ... upon request." Title VI, section
502(d), of the same Act provides "nothing in this Act shall impair
or affect any authority of ... (13) the Atomic Energy Commission
(AEC)."
(1) Title 41 CFR, Part 109-40, "Transportation and Traffic
Management," iterates the applicability of and departure from
41 CFR, parts 101 et seq., for the Department of Energy and
its cost-type contractors in conducting transportation and
traffic management type activities. There is no specific
exemption from GSA's Centralized Household Goods Traffic
Management Program. (41 CFR, part 40.203-4(a).)
(2) Traffic Management and Transportation Operations functions
existed in the Atomic Energy Commission; therefore, such
functions are vested in the Department pursuant to the Energy
Reorganization Act and the DOE Organization Act (Public Law
95-91).
b. Exemptions from Nuclear Regulatory Commission Packaging and
Transportation Regulations. The Department's nuclear facilities
and operations, including packaging and transportation functions,
are generally exempt from Commission regulations and requirements
as reflected in 10 CFR parts 30.12, 40.11, and 70.11.
(1) Section 104 of the Energy Reorganization Act of 1974 (Public
Law 93-438) abolished the Atomic Energy Commission and
transferred to the Energy Research and Development
Administration all functions and responsibilities not
specifically assigned to the Nuclear Regulatory Commission.
Section 301 of the Department of Energy Organization Act of
1977 (Public Law 95-91) transferred the Energy Research and
Development Administration responsibilities to the Department
of Energy.
(2) The Department's nuclear materials transportation operations,
unless otherwise exempted, shall be in compliance with the
appropriate Federal regulations, or as a minimum, provide
equally effective levels of shipment safety and security
protection. Deviations from such regulations, except as
authorized by DOE Orders shall be reported in advance to EM-1
with appropriate justification, for coordination at the
Headquarters level.
(3) An important consideration for transportation operations and
associated requirements is to ascertain the point of custody
transfer or passage of title in making nuclear materials
shipments to or from Commission licensed facilities. The
point at which custody transfers or title passes shall be
identified in the contract between the Department, or its
license exempt contractors, and the licensees. This
determination is required to establish custody or ownership
of materials in transit, and the application of associated
rules and regulations.
c. National Security Exemption. Title 49 CFR, part 173.7(b), of the
Hazardous Materials Regulations, Department of Transportation,
states: "Shipments of radioactive materials, made by or under the
direction or supervision of the U.S. Department of Energy (DOE) or
the Department of Defense (DOD), and which are escorted by
personnel specifically designated by or under the authority of
those Agencies, for the purpose of national security, are not
subject to the regulations in parts 171-178." Any questions
concerning the applicability of National Security Exemption for
specific DOE shipments, shall be referred to EM-1 for resolution
with other Departmental entities at the Headquarter's level.
2. PACKAGING AND MARKING OF MATERIALS FOR TRANSPORTATION.
a. Properly preparing materials for transportation is the
responsibility of the shipper. Proper preparation enables the
materials to reach destination in good order. Except for those
goods which can be shipped in bulk or loose, goods should be
packaged in material of sufficiently substantial construction to
withstand the ordinary hazards of transportation. Both packaged
and loose materials must be marked to assure prompt, safe, and
correct delivery. Minimum packaging and marking requirements for
materials in transportation are contained in the "Freight
Classifications" of the various modes of transportation.
Noncompliance can result in penalty rate assessments, denial of
claims or both when materials are damaged in transit. More
detailed guidance regarding packaging and marking of specific
items may be developed locally as necessary.
b. The packaging, marking, labeling, and placarding regulations of
the Department of Transportation applicable to all shippers, are
contained in 49 CFR parts 171-179. Noncompliance with these
regulations carry both civil and criminal penalties. Reporting
requirements for hazardous material incidents are those listed on
page II-13 paragraph 7d.
3. PACKAGING AND TRANSPORTING PRECIOUS METALS.
a. Radioactive Precious Metals. Radioactively contaminated precious
metals will be shipped in full compliance with applicable
regulations governing radioactive shipments.
b. Nonradioactive Precious Metals. The following applies only to
precious metal shipments which are not radioactively contaminated.
(1) Packaging. Precious metals should be packaged in a strong,
leak tight inner container and then placed with cushioning
into an overpack such as a 3-, 5-, or 10-gallon metal can or
suitable wooden box. If the configuration of the material
prohibits the use of the aforementioned packaging, then a
suitable leak-tight substitution of strong fabrication may be
used. The overpack in all packaging configurations shall be
banded or sealed in such a manner as to deter entry into the
package.
(2) Modes of Transport.
(a) The following modes are approved for the transportation
of precious metals that do not exceed the value
limitations established in subparagraph (3)(a).
1 Signature Security Service - Federal Express or
other comparable carriers with similar security
service approved by the appropriate field element
transportation manager.
2 Registered Mail - return receipt.
(b) In the event that the packages exceed the size and
weight limitations that the modes described in
subparagraph (2)(a) are able to accommodate, or exceed
the value limitation provided in subparagraph (3)(a),
the following modes should be considered:
1 Existing DOE contract carriers.
2 Commercial security-type carriers (i.e., Brinks,
Wells Fargo).
3 Other specialized systems approved by the field
element transportation managers.
(3) Value of Shipments.
(a) Generally, shipments shall not exceed $50,000 (current
market value) per day for each carrier from each
Departmental facility.
(b) In the event an individual shipment or the total per day
shipments of a single carrier will exceed $50,000
(current market value), approval will be requested from
the appropriate field element transportation manager at
least 48 hours prior to the anticipated shipping date.
(4) Shipping Descriptions. For the purpose of preparing bills of
lading and air waybills, nonradioactive precious metals are
to be classed as "METALS, NOT OTHERWISE INDEXED (NOI)."
(5) Insurance. In accordance with the Federal Property
Management Regulation 101-40.104, a value normally will not
be declared nor insurance obtained other than that which
normal freight charges would provide for the description
appearing on the shipping document. Full value will be
declared when the shipment is made via modes approved under
subparagraph (2)(b).
4. LOADING METHODS AND TIEDOWN REQUIREMENTS. Various methods may be used
to meet the regulatory requirements for loading, blocking, bracing, and
tiedown of the many types of freight. The most successful programs are
usually accomplished through close cooperation between shipper and
carrier with close adherence to applicable carrier tariff requirements,
Association of American Railroads loading rules, and the requirements
of 49 CFR, part 393.
a. Responsibilities. Commercial air carriers load, block, brace, or
otherwise restrain freight which they transport. Motor freight
and rail carriers have the same responsibility for freight of a
size which can be loaded by one man, otherwise the shipper will
elevate and position the freight on or into the vehicle as
directed by the carrier. The shipper is responsible for loading,
blocking, bracing, or otherwise restraining freight loaded on or
in a railcar or motor vehicle if rates are predicated on
"shipper's load and count." However, for all modes when the
freight consists of hazardous materials, it is incumbent upon the
shipper to assure that such freight is loaded and restrained
properly.
b. Acceptable Practices. The following represents a composite of
acceptable practices which should be applied to assure a
successful program.
(1) Loading.
(a) The vehicle selected shall be appropriate for the
weight, concentration, and center of gravity of the
load. This is a joint responsibility of the shipper and
carrier.
(b) Before a shipment is loaded upon a transport vehicle,
the shipper shall visually survey the equipment
externally to determine its general operating condition,
its capability to transport the shipment, the existence
of appropriate restraint devices in good condition, and
assure the estimated gross weight of the shipment does
not exceed the authorized carrying capacity of the
conveyance.
(c) Reasonable precautions such as wheel chocking shall be
taken to prevent motion of the conveyance during the
loading or unloading process.
(d) It is the shipper's responsibility to give the carrier
prior notification of overweight or overdimensional
shipments. The carrier is responsible to ensure that
highway weight and clearance restrictions are met.
(e) The loading device used to load or unload a shipment
shall be appropriate for the dimensions and weight of
the package. Loading devices which may possibly damage
any packages of a shipment shall not be used.
(f) Heavy containers not shipped on specially designed
vehicles shall have skids or load spreaders to maintain
load distribution within the area load-rating of the
vehicle, or to less than 500 pounds per square foot,
whichever is less.
(g) The shipment must be positioned on the conveyance in
such a way that the weight is equally distributed over
the width and length of the conveyance. For rail and
motor freight shipments, the load should be positioned
as equally as possible among the vehicle's axles. The
location of attachment points for tiedown members shall
be selected accordingly. Proper placement of the load
on the vehicle to avoid exceeding maximum allowable axle
loadings is the responsibility of the carrier.
(h) The ends, side, or doors of conveyance shall not be
relied upon to prevent shifting of heavy loads unless
they are specifically designed for this purpose.
(2) Blocking and Bracing. Packages shall be blocked and braced
on or in the conveyance to prevent shifting or changing of
position during normal transportation conditions, and to
remain stable after the restraints are removed. For motor
freight, carriers and shippers shall observe the provision of
49 CFR 393.104.
(3) Tiedown Assemblies.
(a) For motor freight, carriers and shippers shall observe
the provisions of 49 CFR 393.100-102 to restrain cargo.
(b) Elastic properties should be considered when selecting
material for use in a tiedown system. For example, wire
rope is preferable over chain because it is more
flexible and better able to withstand the shocks of
transportation.
(c) Only tiedown materials with a strength rating (working
and/or ultimate) established and documented by the
manufacturer shall be used. The following shall not be
used as components of a tiedown system:
1 Plastic or fiber rope.
2 Any material with unknown strength.
3 Any damaged material.
(d) The principal tiedown forces should be transmitted to
the vehicle frame and not to the wood or metal decking.
(e) The strength of the tiedown attachment points on the
conveyance should be greater than or equal to the
strength of the tiedowns themselves. In the case when
the strength of the tiedowns exceeds or equals the
structural design limits of the conveyance itself, the
strength of the tiedown attachment points on the
conveyance is limited to the structural design strength
of the conveyance.
(f) Flexible tiedowns (wire rope, strap, chain, etc.) should
be free from contact with any other stationary objects
when taut to prevent chafing and damage during
transport. Tiedown assemblies must be appropriately
preloaded and secured so that they will not become loose
during restraints are removed. The base of the load
should be blocked in place.
(g) Engineered tiedowns, such as rigid clamping with bolts
and structural shapes, may be preferable over flexible
tiedowns for heavy weight, high center of gravity, or
high consequence packages.
(h) For domestic rail shipments, the carrier shall observe
the provisions of the Association of American Railroad
Circulars providing rules for the loading, blocking, and
bracing of freight. Circulars are available for the
various types of rail cars in service.
(i) Exposure of the tiedown components to dirt, weather
extremes, water, or corrosives may reduce their
strength, so these conditions should be avoided if
possible. Use caution to avoid kinking, crimping, or
splaying wire rope. Repairs shall not be attempted on
wire rope, straps, or chains, unless a documented rating
of the strength can be established by test following the
repair.
(j) The load shall be inspected thoroughly by the shipper
and carrier prior to release of the shipment. The
shipper should ensure that the carrier recognizes his or
her responsibility to check the tiedowns periodically
during transit, and tighten them as necessary.
5. CARGO SECURITY.
a. General. The various types of protective services may be found in
carrier tariffs or negotiated as required under section 10721 of
the Interstate Commerce Act.
b. Type of Services Available. The following protective services
generally may be obtained from common carriers:
(1) Airlines.
(a) Signature Service. Some airlines provide
person-to-person tally and signature while a shipment is
in the custody of the airlines.
(b) DOE Armored Courier Service. DOE shipment couriers
accompanying the cargo will be carried by some airlines
under conditions specified in their tariffs.
(2) Motor Carriers.
(a) Sealed Van Service. This service provides for sealing
the transport van or closed truck at point of origin.
(b) Exclusive Use Vehicle. The assigned vehicle is loaded
only by the consignor, and unloaded only by the
consignor or consignee. Exclusive use also may include
sealed or locked van provisions.
(c) Signature Service. Some motor freight carriers provide
person-to-person tally and signature while a shipment is
in their custody.
(3) Sealed Railroad Car Service. This service provides for
sealing of freight cars at point of origin with railroad or
DOE seals. It is also advisable to equip cars with special
locking devIces to protect compartments from theft or
pilferage.
(4) United States Mail. Special protective services available,
and instructions, are set forth in the DOE 1410 directive
series, and in the United States Postal Service Regulations,
39 CFR.
c. Security Requirements for Materials in Transit.
(1) The principal hazards to the security of materials in transit
are espionage, sabotage, collusion, theft, damage, improper
routing, and misdelivery.
(2) Shipments of classified materials, and unclassified special
nuclear materials, must meet the applicable requirements of
DOE 5632.1B and DOE 5632.2A.
(3) Shipments of high-value materials, not covered under DOE
5632.1B and DOE 5632.2A, shall be made in a manner which will
provide cargo security commensurate with their value. These
materials include items which have a high strategic,
intrinsic, or operational value, and which must be delivered
in a timely manner. The packaging and transporting of
precious metals shall be in compliance with page II-3,
paragraph 3.
(4) Where practicable, the number of individual high-value items
of cargo to be tendered for transportation should be reduced
by consolidating individual packages into larger shipment
units, giving due regard to nuclear criticality safety limits
for radioactive materials. The following are examples of
acceptable methods of consolidation:
(a) Palletization and banding.
(b) Crating.
(c) Overpacking in freight container of a suitable size.
(5) Shippers shall ascertain, prior to shipment of high-value
materials that the specified protective services can be
provided continuously for the shipment until receipt by the
consignee.
(6) Care should be taken to assure that classified information is
not revealed on shipping documents or on labels on packages
which are used pursuant to the Department of Transportation's
Hazardous Materials Regulations. Appropriate freight
descriptions and procedures should be worked out with
interested carriers which are commensurate with the sensitive
nature of the shipment and which will afford an equitable
return to the carrier for the services performed. For
shipments of precious metals, utilize instructions provided
on page II-4, subparagraph 3b(4).
(7) Depending upon the strategic nature and value of the
materials shipped, a communications plan, as appropriate,
shall be noted on each bill of lading indicating emergency
actions to be taken and include, as a minimum, who to notify
in event of accident, loss or theft, or any unusual event
threatening the security of the materials while in transit,
and how this notification is to be accomplished.
d. Endorsement on Bills of Lading for Rail Shipments. For shipments
requiring escort personnel one bill of lading may be prepared for
both the shipment and the transportation of the escort personnel.
In such cases, the maximum number of escort personnel shall be
shown and the following notation placed directly below the number:
"Carriers will make collection by filing a single bill
covering freight and service charges, for the carriage of up
to (insert maximum number) attendants.
This is not to preclude, where appropriate, the use of Government
Transportation Requests (GTR), SF 119, in providing transportation
of escort personnel.
e. Failure to Provide Protective Services. When protective services
specified by the shipper either are not provided or are inadequate
or unsatisfactory, every effort should be made to resolve the
matter by local negotiations between the carrier and the DOE
office or DOE contractor noticing the deficiency. If the latter,
the concerned DOE office must be kept currently informed and
should assist, upon request, in the negotiations with the carrier.
If, in a particular instance, the remedial action by the carrier
is not satisfactory to the responsible field element, the official
will send a written summary of the case to EM-1 for appropriate
handling.
f. General Cargo Security Advisory Standards. The Department of
Transportation has published several documents which provide
general guidance in the field of cargo security:
(1) A comprehensive listing of cargo theft prevention measures
intended to assist transportation management in developing an
effective security system.
(2) Guidance and assistance for shippers and receivers in the
development of a cargo security program.
(3) A partial inventory of available security equipment and
systems, for application in the prevention of cargo theft.
6. CUSTOMS CLEARANCE OF IMPORT SHIPMENTS.
a. Determination of Dutiable Status. Articles imported into the
United States are classified under the provisions of the Tariff
Schedules of the United States as being duty free or subject to
the payment of respective rates of duty. Because of the numerous
changes which have been and are being made in the schedules since
the Tariff Act became effective, the United States Tariff
Commission periodically issues, for the purpose of convenience and
clarity, a publication entitled "Tariff Schedules of the United
States Annotated," from which may be determined the current
dutiable status of imported merchandise. Copies may be obtained
from the Superintendent of Documents, Government Printing Office,
Washington, DC 20402.
b. Showing Description and Value on Customs Documents. It should be
recognized that commodity descriptions may be different on the
shipping papers and the customs documents. The description
appearing on the shipping papers must comply with the carriers
tariff provisions and other regulatory agencies, whereas the
description appearing on the customs documents must comply with
the Customs Tariff; otherwise, clearance may be delayed by the
United States Customs Service. The United States appraising
officers are required by law to establish a value for imported
goods. The true purchase price (including terms of sale) shall be
shown by the importer and, where possible, the current market
value at the time of export from the country of exportation. It
is essential that a specific value be declared on all Departmental
imports. The importer is responsible for entering the merchandise
at the appropriate value and is not bound by any information
secured from the appraiser.
c. Imports with Security Interest. When it is necessary for security
reasons to conceal identity or prevent publication of import
statistics covering commodities being entered, EM-1 in
coordination with EH-1 will, upon request, make special
arrangements with the United States Customs Service and Bureau of
the Census. In such cases, the request should include all
available pertinent information, including commodity description,
country of origin, date of departure from origin port, port of
entry, and name of carriers. Activities involving the United
Kingdom Cooperation authorized pursuant to sections 144b and c of
the Atomic Energy Act will be processed by the Deputy Assistant
Secretary for Military Application. Also see Public Law 95-242,
"Import/Export of Nuclear Materials," when applicable.
d. Duty-Free Imports. Government Agencies are eligible for duty-free
entry of scientific instruments and apparatus. U.S. Customs form
DIB-338P, "Request for Duty-Free Entry of Scientific Instruments
or Apparatus," available from the United States Customs Service,
shall be used for the application of duty-free entry. The
application requires demonstration that there is no equivalent
item manufactured in the United States of America.
7. CHECKING VEHICLES AND PACKAGES FOR DAMAGE AND LEAKAGE. Good practice
dictates that packages of hazardous materials are inspected promptly
upon receipt for damage or other evidence of possible leakages to
assure that any potential public exposure to contamination will be
identified and appropriate action can be taken. Procedures developed
for this purpose follow:
a. Early Pickup and Monitoring.
(1) The procedures in subparagraphs (2), (3), and (4), below, are
not required for shipments consisting solely of packages
which are not labeled with a Department of Transportation
hazardous materials label or contain only special form
radioactive materials.
(2) All shipments of hazardous materials received from carriers
shall be inspected promptly and carefully for damage and
leakage after they are delivered by the carrier, and, if
practicable, before the delivery truck departs. Where the
DOE consignee is responsible for picking up the shipment from
the carrier's terminal facility, the packages shall be picked
up as expeditiously as possible, after notification by the
carrier of its arrival and checked for leakage.
(3) Any package of hazardous material suspected to be damaged or
leaking shall be checked for external surface contamination.
If the package is contaminated externally, and, in the case
of radioactive materials, above the "significant removable
contamination" limits specified in 49 CFR, part 173.397, it
will be assumed that the delivering vehicle and areas in
which the package was loaded, unloaded, or stored are
contaminated also.
(4) If it is known, assumed, or suspected that the delivering
vehicle is contaminated, the delivering carrier and all
intermediate carriers shall be notified immediately so that
potentially contaminated vehicles can be withdrawn from
service and checked. Loading docks and terminals through
which the package(s) passed in transit, along with other
accompanying packages, also shall be surveyed. Vehicles
onsite should be detained by the DOE consignee until surveyed
and decontaminated if necessary. The carriers are
responsible for arranging for contamination surveys on
intransit docks and terminals. Guidance for reporting
occurrences is contained in DOE 5000.3A.
b. Hazardous Materials Contamination. Monitoring and decontamination
of a commercial carrier's vehicles, of the consignee's terminal
facilities and any other accompanying packages contaminated by
hazardous material during transportation, are the responsibilities
of the carrier and the shipper as may be provided by special
agreements between the carrier and the shipper. The Department's
consignee is responsible only for monitoring and decontamination
at the consignee's facility, but these activities may include the
carrier's vehicle, if necessary, for the protection of health and
safety. When radioactive material is involved, the carrier may
request DOE radiological emergency advice and assistance in
evaluating the possibility that other transportation vehicles,
terminals, intermediate carriers, or places enroute may have been
contaminated. The DOE consignee may request or initiate
radiological emergency assistance if there is a need to protect
the public health and safety.
c. Emergency Response.
(1) DOE has a national radiological assistance plan for dealing
with the unlikely event of a radioactive material release
while in transit. Under this plan, DOE will make available
from its resources, radiological advice and assistance as
appropriate to protect the public health and safety or to
cope with radiological hazards. DOE personnel will respond
to requests from NRC licensees, Federal State, and local
authorities and private persons or companies, including
carriers. Assistance can be obtained from one of eight DOE
regional coordinating offices. A list of these offices and
their geographical areas of jurisdiction are shown in
Attachment II-1.
(2) The chemical Industry also maintains a Chemical
Transportation Emergency Center (CHEMTREC), telephone
800-424-9300, which is a clearinghouse for information and
assistance on all types of chemical spills including
radioactive. When the material has radioactive properties,
the Center activates the DOE regional coordinating office
having jurisdiction.
(3) All DOE-owned shipments of radioactive and other hazardous
materials, substances, and wastes will comply with the DOT
requirements for Emergency Response Information cited in 49
CFR, Subpart G, Sections 172.600-172.604.
d. Reporting Requirement. Carriers are responsible for reporting
hazardous materials leakages, or suspected radioactive
contamination, to the DOT in accordance with Title 49, CFR, parts
171.15, 171.16, and 171.17. The DOE consignee is responsible for
providing the carrier with information necessary to make that
report. DOE consignees will request a copy of the report from the
carrier as a courtesy. When the report is received by the
consignee, copies are to be forwarded to EM-1. DOE consignees are
also required to report accidents and incidents involving DOE
shipments to DOE Headquarters in accordance with DOE 5000.3A.
Carrier personnel involved in a reportable accident are required
to notify their own supervisory personnel. Local police, fire, or
other emergency officials are notified as necessary. The
carrier's procedures usually require that both the consignor and
the consignee be notified. When notified, DOE organizations or
contractors should assist the carriers as much as possible.
DOT/EPA has a 24-hour telephone for the mandatory reporting of
hazardous materials Incidents, (800) 424-8802. The EPA incident
reporting requirements on hazardous substances, Title 40 CFR Part
302.6, specify "the persons in charge of facilities" will initiate
such reports.
8. SHIPMENT NOTIFICATION POLICY. It is the policy of the DOE, applicable
to all contractor shippers, to provide advance written notification on
all shipments of unclassified high-level radioactive waste and spent
nuclear fuel to the designated representatives to the States through
which any such shipments will pass. For the purposes of this policy,
the definitions of irradiated reactor fuel or "spent fuel" and
"high-level radioactive waste" are those found in DOE 1540.4.
a. DOE Unclassified Spent Fuel.
(1) The notification must be in writing and sent by registered
letter, return receipt, to the office of each appropriate
Governor or Governor's designee. A notification delivered by
mail must be postmarked at least 7 days before transport of a
shipment within or through the State. A notification
delivered by messenger must reach the office of the Governor
or Governor's designee at least 4 days before transport of a
shipment within or through the State. A list of the mailing
addresses of Governors or Governor's designees has been
provided to the Manager of each DOE Field Office. Updates of
this list are to be published each year in the June 30 issue
of the Federal Register. Shippers unable to obtain the
latest Federal Register listing locally should contact the
Transportation Management Division (EM-561).
(2) The notification must include the following information:
(a) The name, address, and telephone number of the shipper,
carrier, and receiver.
(b) A description of the shipment as specified by the DOT in
49 CFR, Parts 172.202 and 172.203(d).
(c) A listing of the routes to be used within the State.
(d) The estimated date and time of departure from the point
of origin.
(e) The estimated date and time of entry into the Governor's
State.
(f) The estimated date and time of departure from the
Governor's State (in such cases where the destination is
not within the State).
(g) A statement that the information is required by DOE to
be protected against unauthorized disclosure.
(3) A DOE shipper shall notify, by telephone or other means, a
responsible individual in the office of the Governor or the
Governor's designee of any schedule change that differs by
more than 6 hours from the schedule information previously
furnished in the written notification.
(4) Notice of cancellation of a spent fuel shipment can be made
by telephone to each State affected. No written notice of
cancellation must be made to the States. A record should be
retained of the responsible individual contacted about the
cancellation of a shipment.
b. DOE Unclassified High-Level Radioactive Waste.
(1) The requirements for timely submission of notification on
shipments of unclassified high-level radioactive waste are
the same as those cited in paragraph 8a(1) of this Chapter
for shipments of unclassified spent fuel.
(2) The notification must include the following information:
(a) The name, address, and telephone number of the shipper,
carrier, and receiver.
(b) The address of the point of origin of the shipment and a
7-day period during which departure of the shipment is
estimated to occur.
(c) A description of the waste shipment as specified by the
DOT in 49 CFR Parts 172.202 and 172.203(d).
(d) A 7-day period during which arrival at the State
boundaries is estimated to occur.
(e) The destination of the shipment and the 7-day period
during which arrival of the shipment is estimated to
occur.
(f) A point of contact with a telephone number for current
shipment information.
(g) A statement that the information is required to be
protected against unauthorized disclosure.
(3) A DOE shipper shall notify, by telephone or other means, a
responsible individual in the office of the Governor's
designee of any change from the schedule information
previously furnished in the written notification.
(4) The provisions for the cancellation of a shipment of
high-level waste are the same as those cited for a shipment
of spent fuel in paragraph 8a(4) of this Chapter.
9. SHIPMENT CAMPAIGN PLANS.
a. For all Departmental shipments of highway route-controlled
quantities of radioactive materials, or like quantities by rail or
barge, a shipment plan will be submitted to EM-561 for all such
shipping campaigns 45 days in advance of such shipments.
b. Single shipments without any expectation of follow-on shipments
are exempt from this requirement. Also exempt are all weapons and
special nuclear material shipments transported in safe-secure
trailers.
c. The shipping plan will include material type, shipping dates,
estimated number of shipments, mode of transport, carrier proposed
routes, package or cask description, and cargo security
arrangements if required. Should any of the shipping plan data be
classified, submission of the plan should be in complete
compliance with applicable Departmental directives on the
transmission of such data. Should only a portion of the plan be
classified, those portions should be specifically identified.
**** DATABASE NOTE:
ATTACHMENT OF ATTACHMENT II-1 - REGIONAL COORDINATING OFFICES (PAGE
II-17 AND II-18) IS NOT INCLUDED IN DATABASE, DUE TO ITS FORMAT.
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