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The licensing requirements of 10 CFR 71 (US Code of Federal Regulations) are the primary criteria used to license proposed US Department of Energy (DOE) shipments of nuclear components. However, if a shipment cannot meet 10 CFR 71 requirements, a Transportation System Risk Assessment (TSRA) is prepared to document: (1) the degree of compliance of proposed DOE shipments of nuclear components with applicable federal regulations, and (2) the risk associated with the proposed shipments. The Nuclear Explosive Safety Division (NESD) of the Department of Energy, Albuquerque Area Office (DOE-AL) is responsible for evaluating TSRAs and for preparing Safety Evaluation Reports (SERs) to authorize the off-site transport. Hazards associated with the transport may include the presence of fissile material, chemically and radiologically toxic uranium, and ionizing radiation. The Nuclear Regulatory Commission (NRC) has historically considered only radiological hazards in licensing the transport of radiological material because the US Department of Transportation considers licensing requirements of nonradiological (i.e., chemically toxic) hazards. The requirements of 10 CFR 71 are based primarily on consideration of radiological hazards. For completeness, this report provides information for assessing the effects of chemical toxicity. Evaluating the degree of compliance with the requirements of 10 CFR 71 is relatively straightforward. However, there are few precedents associated with developing TSRA risk assessments for packages that do not comply with all of the requirements of 10 CFR 71. The objective of the task is to develop Risk Evaluation Guidelines for DOE-AL to use when evaluating a TSRA. If the TSRA shows that the Risk Evaluation Guidelines are not exceeded, then from a risk perspective the TSRA should be approved if there is evidence that the ALARA (as low as reasonably achievable) principle has been applied

Proposed risk evaluation guidelines for use by the DOE-AL Nuclear Explosive Safety Division in evaluating proposed shipments of nuclear components