Text

NUREG/BR-0006, Revision 9 - Instructions for Completing Nuclear Material Transaction Reports,(Doe/Nrc Forms 741 & 740M),Draft Report for Comment
	ML19214A180
Person / Time
Issue date:	07/31/2019
From:	Mirabelle Shoemaker; Office of Nuclear Material Safety and Safeguards
To:	;
	Meyd, Donald
References
	NUREG/BR-0006, Rev. 9
	Download: ML19214A180 (104)
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NUREG/BR-0006, Rev. 9 Instructions for Completing Nuclear Material Transaction Reports (DOE/NRC Forms 741 and 740M)

Draft Report for Comment Office of Nuclear Material Safety and Safeguards

AVAILABILITY OF REFERENCE MATERIALS IN NRC PUBLICATIONS NRC Reference Material Non-NRC Reference Material As of November 1999, you may electronically access Documents available from public and special technical NUREG-series publications and other NRC records at libraries include all open literature items, such as books, NRCs Library at www.nrc.gov/reading-rm.html. Publicly journal articles, transactions, Federal Register notices, released records include, to name a few, NUREG-series Federal and State legislation, and congressional reports.

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and information notices; inspection and investigative reports; licensee event reports; and Commission papers Copies of industry codes and standards used in a and their attachments. substantive manner in the NRC regulatory process are maintained at NRC publications in the NUREG series, NRC regulations, The NRC Technical Library and Title 10, Energy, in the Code of Federal Regulations Two White Flint North may also be purchased from one of these two sources. 11545 Rockville Pike Rockville, MD 20852-2738

1. The Superintendent of Documents U.S. Government Publishing Office These standards are available in the library for reference Washington, DC 20402-0001 use by the public. Codes and standards are usually Internet: bookstore.gpo.gov copyrighted and may be purchased from the originating Telephone: (202) 512-1800 organization or, if they are American National Standards, Fax: (202) 512-2104 from American National Standards Institute

2. The National Technical Information Service 11 West 42nd Street 5301 Shawnee Road New York, NY 10036-8002 Alexandria, VA 22312-0002 www.ansi.org www.ntis.gov (212) 642-4900 1-800-553-6847 or, locally, (703) 605-6000 Legally binding regulatory requirements are stated only in A single copy of each NRC draft report for comment is laws; NRC regulations; licenses, including technical available free, to the extent of supply, upon written specifications; or orders, not in NUREG-series publications.

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Address: U.S. Nuclear Regulatory Commission The NUREG series comprises (1) technical and Office of Administration administrative reports and books prepared by the staff (NUREG-XXXX) or agency contractors (NUREG/CR-XXXX),

Multimedia, Graphics, and Storage &

(2) proceedings of conferences (NUREG/CP-XXXX),

Distribution Branch (3) reports resulting from international agreements Washington, DC 20555-0001 (NUREG/IA-XXXX),(4) brochures (NUREG/BR-XXXX), and E-mail: distribution.resource@nrc.gov (5) compilations of legal decisions and orders of the Facsimile: (301) 415-2289 Commission and Atomic and Safety Licensing Boards and of Directors decisions under Section 2.206 of NRCs regulations (NUREG-0750).

Some publications in the NUREG series that are posted at NRCs Web site address www.nrc.gov/reading-rm/ DISCLAIMER: This report was prepared as an account doc-collections/nuregs are updated periodically and may of work sponsored by an agency of the U.S. Government.

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NUREG/BR-0006, Rev. 9 Instructions for Completing Nuclear Material Transaction Reports (DOE/NRC Forms 741 and 740M)

Draft Report for Comment Manuscript Completed: July 2019 Date Published: July 2019 Prepared by Mirabelle Shoemaker Office of Nuclear Material Safety and Safeguards

1 COMMENTS ON DRAFT REPORT 2

3 4 Any interested party may submit comments on this report for consideration by the NRC staff.

5 Comments may be accompanied by additional relevant information or supporting data. Please 6 specify the report number NUREG/BR-0006, Revision 9 in your comments, and send them by 7 the end of the comment period specified in the Federal Register notice announcing the 8 availability of this report.

9 10 Addresses: You may submit comments by any one of the following methods. Please include 11 Docket ID NRC-2019-0108 in the subject line of your comments. Comments submitted in 12 writing or in electronic form will be posted on the NRC website and on the Federal rulemaking 13 website http://www.regulations.gov.

14 15 Federal Rulemaking Website: Go to http://www.regulations.gov and search for documents 16 filed under Docket ID NRC-2019-0108.

17 18 Mail comments to: Office of Administration, Mail Stop: TWFN-7-A60M, U.S. Nuclear 19 Regulatory Commission, Washington, DC 20555-0001, ATTN: Program Management, 20 Announcements and Editing Staff.

21 22 For any questions about the material in this report, please contact: Mirabelle Shoemaker, 23 International Safeguards Analyst, 301-415-7363 or by e-mail at Mirabelle.Shoemaker@nrc.gov.

25 26 Please be aware that any comments that you submit to the NRC will be considered a public 27 record and entered into the Agencywide Documents Access and Management System 28 (ADAMS). Do not provide information you would not want to be publicly available.

1 2

3 ABSTRACT 4

5 U.S. Nuclear Regulatory Commission (NRC) regulations require licensees who ship, receive, or 6 adjust their physical inventory of source or special nuclear material (SNM) to document and 7 report such activities. The reports are submitted using U.S. Department of Energy (DOE)/NRC 8 Form 741, Nuclear Material Transaction Report. Licensees may need to provide additional 9 information on some imports or exports of source or SNM. The additional information is 10 reported using DOE/NRC Form 740M, Concise Note. This NUREG contains instructions for 11 preparing these forms.

12 13 Paperwork Reduction Act Statement 14 15 The information collections contained in this NUREG are covered by DOE/NRC Forms 741 and 16 740M, which the Office of Management and Budget (OMB) approved under approval numbers 17 3150-0003 and 3150-0057. The estimated burden per response to comply with this mandatory 18 collection request is 1 hour1.157407e-5 days 2.777778e-4 hours 1.653439e-6 weeks 3.805e-7 months 15 minutes for DOE/NRC Form 741 and 45 minutes for DOE/NRC 19 Form 740M. The information is required for International Atomic Energy Agency accounting 20 reports that show changes in the inventory of nuclear materials. Send comments on burden 21 estimates to the NRC Information Services Branch (T-6 A10M), Washington, DC 20555-0001, 22 or by e-mail to Infocollects.Resource@nrc.gov, and to the Desk Officer, Office of Information 23 and Regulatory Affairs, NEOB-10202 (3150-0003, 3150-0057), OMB, Washington, DC 20503.

24 25 Public Protection Notification 26 27 The NRC may not conduct or sponsor, and a person is not required to respond to, a collection 28 of information unless the document requesting or requiring the collection displays a currently 29 valid OMB control number.

iii NUREG/BR-0006, Rev. 9

1 CONTENTS 2

3 ABSTRACT ..................................................................................................................................iii 4

5 ACRONYMS AND ABBREVIATIONS ........................................................................................vii 6

7 1 INTRODUCTION..................................................................................................................... 1 8

9 1.1 Material Transaction Reports ......................................................................................... 1 10 11 1.2 Regulations .................................................................................................................... 2 12 13 1.3 Reporting and Distribution Requirements ...................................................................... 3 14 15 1.4 Methods for Preparing and Submitting Data to the Nuclear Materials 16 Management and Safeguards System ........................................................................... 3 17 18 1.5 Documentation and Distribution ..................................................................................... 4 19 20 2 GENERAL INSTRUCTIONS................................................................................................... 5 21 22 2.1 Instructions for Completing DOE/NRC Form 741 Reports ............................................. 5 23 24 2.1.1 Reporting Shipper's Data ...................................................................................... 5 25 26 2.1.2 Reporting Receiver's Data................................................................................... 16 27 28 2.2 Preparation of DOE/NRC Form 741 in Computer-Readable Format ........................... 18 29 30 2.3 Distribution of DOE/NRC Form 741 ............................................................................. 18 31 32 2.3.1 Shipper ................................................................................................................ 18 33 34 2.3.2 Receiver .............................................................................................................. 19 35 36 3 INSTRUCTIONS FOR ONSITE GAINS AND LOSSES (M ACTION CODE) ....................... 21 37 38 3.1 Instructions for Completing DOE/NRC Form 741......................................................... 21 39 40 3.2 Preparation of DOE/NRC Form 741 in Computer-Readable Format ........................... 23 41 42 3.3 Distribution of DOE/NRC Form 741 .......................................................................23 43 44 4 INSTRUCTIONS FOR CORRECTING A DOE/NRC FORM 741 45 (C, D, AND M ACTION CODES) .......................................................................................... 25 46 47 4.1 Originator ..................................................................................................................... 25 48 49 4.2 Receiver.......................................... ............................................................................ 26 v NUREG/BR-0006, Rev. 9

1 2 4.3 Distribution of Corrections to DOE/NRC Form 741 ...................................................... 26 3

4 5 INSTRUCTIONS FOR COMPLETING DOE/NRC FORM 740M .......................................... 27 5

6 6 DOE REPORTING REQUIREMENTS FOR PROPRIETARY INTERESTS OF THE 7 GOVERNMENT .................................................................................................................... 29 8

9 7 NMSS REFERENCES .......................................................................................................... 31 10 11 APPENDIX A COMPOSITION CODES ............................................................................ A-1 12 13 APPENDIX B INVENTORY CHANGE TYPE CODES FOR COMPLETING BLOCKS 14 26C AND 27C OF DOE/NRC FORM 741 .................................................. B-1 15 16 APPENDIX C EXAMPLE DOCUMENTATION OF SHIPPER AND RECEIVER DATA 17 (BLOCKS 26 AND 27) ............................................................................... C-1 18 19 APPENDIX D GLOSSARY ............................................................................................... D-1 20 21 APPENDIX E U.S. DEPARTMENT OF ENERGY/U.S. NUCLEAR REGULATORY 22 COMMISSION FORM 740M, CONCISE NOTE, (BLANK) AND 23 U.S. DEPARTMENT OF ENERGY/U.S. NUCLEAR REGULATORY 24 COMMISSION FORM 741, NUCLEAR MATERIAL TRANSACTION 25 REPORT (BLANK) .................................................................................. E-1 26 27 APPENDIX F SUPPLEMENTAL INSTRUCTIONS FOR COMPLETING BLOCKS 28 17, 18, 19, 20, AND 21 ON U.S. DEPARTMENT OF ENERGY/

29 U.S. NUCLEAR REGULATORY COMMISSION FORM 741 ......................F-1 30 31 APPENDIX G SUPPLEMENTAL INSTRUCTIONS FOR POSSESSORS OF NUCLEAR 32 MATERIAL OUTSIDE FACILITIES REPORTING PURSUANT TO THE 33 MODIFIED SMALL QUANTITIES PROTOCOL ................................. G-1 34 NUREG/BR-0006, Rev. 9 vi

1 2 ACRONYMS AND ABBREVIATIONS 3

4 A addition to inventory 5

6 BI beginning inventory 7

8 CFR Code of Federal Regulations 9

10 DOE U.S. Department of Energy 11 12 EI ending inventory 13 EURATOM European Atomic Energy Commission 14 15 FA facility attachment 16 17 g gram 18 19 HEU highly enriched uranium 20 21 IAEA International Atomic Energy Agency 22 ICR inventory change report 23 ICT inventory change type 24 ID inventory difference 25 26 kg kilogram 27 KMP key measurement point 28 29 LEU low-enriched uranium 30 31 MBA material balance area 32 MBR material balance report 33 MT material type 34 35 NMMSS Nuclear Materials Management and Safeguards System 36 NRC U.S. Nuclear Regulatory Commission 37 38 OMB Office of Management and Budget 39 OMP other measurement point 40 41 Pu plutonium 42 43 R removal from inventory 44 RA rounding adjustment 45 RIS reporting identification symbol 46 47 SAMS Safeguards Management Software 48 SNM special nuclear material 49 SRD shipper-receiver difference 50 vii NUREG/BR-0006, Rev. 9

1 TFA transitional facility attachment 2 U uranium 3 UF6 uranium hexafluoride 4 UK United Kingdom 5

6 WR former Soviet Union weapons material NUREG/BR-0006, Rev. 9 viii

1 U.S. NUCLEAR REGULATORY COMMISSION INSTRUCTIONS FOR 2 COMPLETING NUCLEAR MATERIAL TRANSACTION REPORTS 3

4 U.S. DEPARTMENT OF ENERGY/U.S. NUCLEAR REGULATORY 5 COMMISSION FORMS 741 AND 740M 6

7 1 INTRODUCTION 8

9 The U.S. Nuclear Regulatory Commission (NRC) and the U.S. Department of Energy (DOE) 10 jointly use the Nuclear Materials Management and Safeguards System (NMMSS). This system 11 is the U.S. Governments national database used by DOE and the NRC for tracking certain 12 nuclear material.

13 14 Common reporting forms and formats are used to minimize the reporting burden on licensees 1 15 that are required to provide nuclear material data to one or both agencies in accordance with 16 current regulations or contractual obligations. In this manner, licensees can file one report to 17 meet the reporting requirements of both the NRC and DOE. Compliance with specific reporting 18 requirements is monitored by the agency that requires the specific data. NRC regulations 19 require licensees to submit the reports in computer-readable form.

20 21 DOE requires all NRC licensees to report to NMMSS all receipts, transfers, and inventory 22 adjustments of DOE-owned, -loaned, or -leased material in their possession. Reports to 23 NMMSS for all U.S. Government-owned, -loaned, or -leased material must follow the 24 U.S. Governments reporting requirements as specified in DOE Order 470.4B, Safeguards and 25 Security Program, and DOE Order 474.2, Nuclear Material Control and Accountability.

26 27 1.1 Material Transaction Reports 28 29 DOE/NRC Form 741, Nuclear Material Transaction Report, is the means by which licensees 30 submit transaction data to the NMMSS. Licensees must complete DOE/NRC Form 741 in 31 accordance with the instructions in this NUREG and must submit the form in computer-readable 32 format. NMMSS Report D-24, Personal Computer Data Input for NRC Licensees, gives 33 instructions for creating the computer-readable submittal.

34 35 Licensees use DOE/NRC Form 741 to report physical transfers of nuclear materials between 36 facilities and to report exchanges of obligated material between facilities even when no physical 37 transfer occurs. The form is also used to report onsite transactions such as inventory 38 corrections that otherwise increase or decrease obligation balances or nuclear material 39 categories within a facility.

40 41 NMMSS relies heavily on the quality of the data reported by the facilities involved in nuclear 42 activities. The data submitted to NMMSS are subject to evaluation according to the restrictions 43 placed on nuclear activity by the policies of various governing agencies of the United States.

44 NMMSS receives the data after they are verified through the use of edit checks as acceptable 45 within the restrictions of the system.

1 The term licensee here denotes an NRC or Agreement State licensee or an NRC certificate holder.

1 NUREG/BR-0006, Rev. 9

1 NRC licensees must provide a DOE/NRC Form 741 to NMMSS in a computer-readable format 2 following the instructions in this NUREG and NMMSS Report D-24. Both the shipper and the 3 receiver are required to submit DOE/NRC Form 741. The receiver should confirm that the 4 quantity received is consistent with the shippers report. When statistically significant 5 shipper-receiver differences (SRDs) are identified, as defined in Title 10 of the Code of Federal 6 Regulations (10 CFR) 74.31, Nuclear Material Control and Accounting for Special Nuclear 7 Material of Low Strategic Significance, 10 CFR 74.43, Internal Controls, Inventory, and 8 Records, or 10 CFR 74.59, Quality Assurance and Accounting Requirements, they must be 9 resolved and their root causes corrected. The regulatory intent is to require material control and 10 accounting systems to promptly detect and resolve all significant SRDs. Comparisons of 11 shippers and receivers reports are necessary to confirm the acceptability of shippers and 12 receivers values for establishing the book accounting amounts for received material and to 13 detect unacceptable shippers or receivers values. Comparisons typically involve item 14 verification, seal integrity, gross weights, nondestructive assay measurements (if appropriate),

15 and destructive measurements (if appropriate).

16 17 1.2 Regulations 18 19 NRC regulations in 10 CFR Part 74 require each licensee who transfers or receives or 20 otherwise adjusts their inventory of special nuclear material (SNM) in a quantity of one gram or 21 more of contained uranium-235, uranium-233, or plutonium to complete in computer-readable 22 format a Nuclear Material Transaction Report (DOE/NRC Form 741).

23 24 In addition, NRC regulations in 10 CFR 40.34 require each licensee that in any manner 25 transfers, receives, or adjusts the inventory of source material of foreign obligations by 26 1 kilogram or more, or imports or exports 1 kilogram or more of uranium or thorium source 27 material, or who uses 1 kilogram or more of any uranium or thorium source material in 28 enrichment services, downblending uranium that has an initial enrichment of the U-235 isotope 29 of 10 percent or more, or in the fabrication of mixed-oxide fuels must complete DOE/NRC 30 Form 741 in computer-readable format in accordance with instructions in this NUREG.

31 32 NRC Regulations in 10 CFR 150.16 require Agreement State licensees to report nuclear 33 material transaction of source and special nuclear material as described above and to follow the 34 reporting instructions described in this NUREG.

35 NRC regulation 10 CFR 75.31 requires licensees reporting transactions for source material or 36 SNM in accordance with an agreement with the International Atomic Energy Agency (IAEA) to 37 complete and distribute DOE/NRC Form 741 for all source material or SNM inventory changes, 38 including shipments, receipts, onsite gains and losses, and any other inventory adjustments.

39 Licensees should follow the requirements of their Transitional Facility Attachment (TFA).

40 Licensees reporting nuclear material transaction in accordance with Modified Small Quantities 41 Protocol (INFCIRC/366) shall follow instructions provided in Appendix G of this NUREG.

42 43 The reporting period for submitting DOE/NRC Form 741 are:

44

Each licensee who transfers material shall report the DOE/NRC Form 741 as specified in 45 this NUREG no later the close of business the next working day.

46

Each licensee who receives the material shall report the Form 741 within 10 days after the 47 material is received.

48 49 The submission of DOE/NRC Form 741 may be required as a matter of contract or lease 50 administration for all Government-owned nuclear material transferred. Possessor of DOE-NUREG/BR-0006, Rev. 9 2

1 owned material shall refer to DOE Order 470.4B and DOE Order 474.2 for additional information 2 about reporting nuclear material transactions.

3 4 1.3 Reporting and Distribution Requirements 5

6 Reports are required whenever nuclear material in the types and amounts stated in the 7 preceding section moves between locations or operations that have been assigned different 8 reporting identification symbols (RISs) and whenever SNM and source material inventories 9 change. These transactions refer to both physical transfers and administrative transfers, like 10 obligation exchanges, and licensees should report such transfers to NMMSS in the timeframe 11 specified in the applicable regulations identified in the previous section on regulatory authority 12 and as specified in Section 2.1 of this NUREG. Licensees must document and report the 13 nuclear material change data (including burnup, production, measured discards, category 14 changes, and decay) in NMMSS before or at the same time as the physical inventory taking, 15 unless the NRC has authorized another arrangement.

16 17 The shipper initiates a DOE/NRC Form 741. If the licensee is involved in a transfer of material 18 with a party that is not required to prepare a DOE/NRC Form 741, the licensee must prepare 19 and submit both the shippers and the receivers section of DOE/NRC Form 741. The most 20 common situation is when a domestic facility is involved in an import activity. The domestic 21 facility that receives the import must obtain the information necessary to complete the shippers 22 side of the DOE/NRC Form 741 for the imported SNM and source material. In the case of 23 exports, the shipper initiates a DOE/NRC Form 741 report, and NMMSS subsequently 24 generates a DOE/NRC Form 741 report using the shippers information to produce the 25 receivers side of the DOE/NRC Form 741. However, if a significant SRD is identified between 26 the U.S. shipper and foreign receiver (as defined in 10 CFR 74.31, 74.43, and 74.59 for SNM, or 27 if there is an indication of loss, theft, or diversion of quantities of source material as delineated in 28 10 CFR 40.64(c)(1)), the shipper shall document the foreign partys values in a DOE/NRC 29 Form 741 report to NMMSS. Submittal for a foreign facility does not indicate a responsibility for 30 the other facility or its shipment and receipt of materials.

31 32 Reports of physical shipments between RISs must document the actual movement of material.

33 In addition, licensee must report any reportable information associated with the material. In 34 particular, the obligation of material by a foreign entity must follow the physical movement of 35 material between RISs. The transfer of obligations between RISs with no physical movement of 36 material is reported by using action codes X and Y.

37 38 1.4 Methods for Preparing and Submitting Data to the Nuclear Materials 39 Management and Safeguards System 40 41 The Safeguards Management Software (SAMS) is a facsimile of NMMSS that allows the user to 42 import and export data; complete a quality review in the form of edit checks; generate various 43 reports; and create material balance, inventory, and transaction data. It can export data into the 44 required NMMSS predefined computer-readable format outlined in NMMSS Report D-24. The 45 SAMS program may be obtained from NMMSS staff free of charge.

46 47 Licensees can submit data to NMMSS through the following two methods:

48 49 (1) Electronic Data Submission 3 NUREG/BR-0006, Rev. 9

1 Licensees should submit DOE/NRC Forms 742, Material Balance Report, and 742C, 2 Physical Inventory Listing, in computer-readable format. NMMSS Report D-24 3 provides instructions on packaging, data format requirements, acceptable media types, 4 and the mailing address for the submittal of data on computer media.

5 6 Licensees can request a copy of the fillable forms installer kit by e-mailing NMMSS 7 (nmmss@nnsa.doe.gov). These forms can be completed, saved at the licensee site, 8 and submitted to the NMMSS at the aforementioned email address. Licensees may also 9 contact the NRC program manager for questions about fillable forms and electronic data 10 submission by e-mail (nmmss.resource@nrc.gov). Licensees should adhere to their 11 facilitys encryption policy for transmitting electronic data to NMMSS.

12 13 Licensees may also download data onto electronic media and mail the data to NMMSS.

14 Contact NMMSS staff to confirm the mailing address before submitting mail.

15 16 (2) New and Modified Methods of Transferring Electronic Data 17 18 The NRC may authorize new and modified methods of transferring electronic DOE/NRC 19 Form 741 data to NMMSS. Licensees may confirm authorization to use additional 20 methods for the transfer of these data by contacting the NMMSS staff.

21 22 1.5 Documentation and Distribution 23 24 Licensees must submit the completed DOE/NRC Form 741, in computer-readable format, to 25 NMMSS in a timely manner. Licensees can confirm the address and mechanism for providing 26 data by contacting NMMSS staff directly. Specific submission instructions depend on whether 27 the DOE/NRC Form 741 is classified or unclassified information. Sections 2.3, 3.3, and 4.4 of 28 this NUREG contain additional distribution information.

29 30 Licensees submitting a classified DOE/NRC Form 741 must document and handle the 31 information in accordance with all pertinent security requirements. Submissions that are not 32 classified are considered to be proprietary material control and accounting information and may 33 be requested to be withheld in accordance with 10 CFR 2.390, Public Inspections, Exemptions, 34 Requests for Withholding. Each person who is to receive a copy of the report must be verified 35 as a qualified recipient before distribution. Licensees should confirm the address before 36 sending documents to NMMSS or other recipients. They should also formally provide 37 classification guidance to the NMMSS operator after deciding to classify, declassify, or make 38 any change in previously submitted guidance. To submit safeguards information, licensees 39 should use Form 740M, Concise Note, stating that the submission is safeguards information 40 and should be handled in accordance with 10 CFR 73.21, Protection of Safeguards 41 Information: Performance Requirements.

NUREG/BR-0006, Rev. 9 4

1 2 GENERAL INSTRUCTIONS 2

3 2.1 Instructions for Completing DOE/NRC Form 741 Reports 4

5 If the DOE/NRC Form 741 report is documenting an onsite gain or loss, the licensee should 6 review the instructions for block 6 (ACTION CODE) and the special instructions for the M action 7 code in Section 3 of this NUREG before completing the form.

8 9 The numbered instructions below correspond to the numbered blocks on the paper copy of 10 DOE/NRC Form 741. Each shipper of reportable quantities of SNM or source material (refer to 11 blocks 26n and 26q) must send a DOE/NRC Form 741 report to NMMSS and a copy to the 12 receivers business address no later than the close of business the next working day.

13 14 In the case of spent fuel shipments, in accordance with 10 CFR 73.37, Requirements for 15 Physical Protection of Irradiated Reactor Fuel in Transit, the date of shipment is considered 16 safeguards information until 10 days after the shipment or the last shipment in a series of 17 shipments is received. Therefore, the shipper should identify DOE/NRC Form 741 as 18 safeguards information and submit a concise note (DOE/NRC Form 740M) stating that the 19 submission is safeguards information and should be handled in accordance with 10 CFR 73.21.

20 The concise note (DOE/NRC Form 740M) should also contain other pertinent information, such 21 as whether this is a single shipment or part of a series and the shipment number and total within 22 the series.

23 24 For disposals, the burial site operator must prepare and transmit DOE/NRC Form 741 to 25 NMMSS to document receipt and disposal. NRC regulations stipulate that the DOE/NRC 26 Form 741 reports be submitted in computer-readable format. NMMSS Report D-24 gives the 27 electronic formats and field sizes for DOE/NRC Form 741 submissions.

28 29 2.1.1 Reporting Shippers Data 30 31 Licensees should complete DOE/NRC Form 741 in accordance with the following instructions:

32 33 1. SHIPPERS RIS2 Entre the shippers RIS 34 35 2. RECEIVERS RISEnter the receivers RIS.

36 37 3. TRANSACTION NUMBEREnter a number for the same shipper-receiver 38 combination. Numbers in the series must be consecutive (i.e., no skipped numbers).

39 40 4. CORRECTION NUMBERThis block is used to identify a transaction that is an 41 adjustment to a previously submitted DOE/NRC Form 741. Leave this block blank for 42 an original submission of a DOE/NRC Form 741. Use consecutive numbers, starting 43 with 1, for adjustments. For corrections requiring changes only to NMMSS data (and not 44 to the other partys data), use letters (A, B, etc.) instead of numbers. See Section 4 of 45 this NUREG.

2 NMMSS Reports D-2, The DOE Directory of Reporting Identification Symbols, D-3, The NRC Directory of Reporting Identification Symbols, and D-15, International Nuclear Facilities Codes Manual, document RISs.

5 NUREG/BR-0006, Rev. 9

1 5. PROCESS CODEEnter process code A, C, or D.

2

A refers to the initial entry of data.

3 4

C refers to the replacement of data. With the concurrence of the other party to 5 the transaction, the entire data set may be replaced at any time before the close 6 of the NMMSS processing period in which the initial submittal was made.

7 8

D refers to the deletion of data. An entire data set may be deleted at any time 9 before the close of the NMMSS processing period in which the initial submittal 10 was made, with the concurrence of the other party to the transaction.

11 12 6. ACTION CODEThis block is used to identify the type of transaction being reported on 13 DOE/NRC Form 741 as specified in 6a and 6b below.

14 15 6a. SHIPPEREnter one of the following action codes:

16 17 A The shipper is reporting a transaction that has taken place between the stated 18 parties.

19 20 C The shipper is adjusting the initial DOE/NRC Form 741 for the shipment or a 21 previous adjustment to the same initial report, acknowledging an adjustment 22 originated by the receiver, or accepting and agreeing with the receivers 23 adjustment to DOE/NRC Form 741. See Section 4 of this NUREG.

24 25 M The shipper is reporting a one-party transaction or an adjustment to a one-party 26 transaction (e.g., an onsite gain or loss of material as the result of burnup, 27 production, measured discards, category changes). This is also known as an 28 onsite adjustment. DOE/NRC Form 742 shows such inventory changes. See 29 Section 3 of this NUREG.

30 31 R The shipper is identifying a one-party transaction to remove former Soviet Union 32 weapons (WR) designation from material in the inventory. This code is 33 applicable only to WR material after initiation of irradiation in a reactor core of the 34 fresh low-enriched uranium (LEU). Use of this code implies a removal of WR 35 material associated with LEU in the facilitys inventory; therefore, the value 36 should be entered as a positive number.

37 38 X The shipper is reporting a transfer of obligation that involves no physical 39 movement of material. No obligation transfers of WR material are permitted. Do 40 not enter shipper (block 26) or receiver (block 27) detail data.

41 42 6b. RECEIVEREnter one of the following action codes:

43 44 B The receiver is reporting receipt of a shipment and acceptance of the weights the 45 shipper reported on DOE/NRC Form 741 as final receipt values.

46 47 E The receiver is reporting receipt of a shipment, that independent measurements 48 were made, and that values resulting from the independent measurements are 49 being reported.

NUREG/BR-0006, Rev. 9 6

1 D The receiver is adjusting the initial DOE/NRC Form 741 that documented the 2 receipt of a shipment or a previous adjustment to the same initial report, 3 acknowledging an adjustment originated by the shipper, or accepting and 4 agreeing with the shippers adjustment to DOE/NRC Form 741. See Section 4 of 5 this NUREG.

6 7 M The receiver is reporting a one-party transaction or an adjustment to a one-party 8 transaction (i.e., an onsite gain or loss of material as the result of burnup, 9 production, measured discards). This is also known as an onsite adjustment.

10 DOE/NRC Form 742 shows such inventory changes. See Section 3 of this 11 NUREG.

12 13 N The receiver is reporting physical receipt of a shipment but will delay the quantity 14 determinations for the shipment of material for more than 10 days but no more 15 than 60 days for source and LEU, or no more than 45 days for highly enriched 16 uranium (HEU). When the determinations are completed, the receiver will 17 prepare a DOE/NRC Form 741 with a B or E action code to report the receivers 18 quantity determinations. Use of this code (N) requires no entry of detailed data 19 (block 27) by the receiver.

20 21 Y The receiver is reporting an acceptance of transfer of obligation that involves no 22 physical movement of material. Do not enter shipper (block 26) or receiver 23 (block 27) detailed data.

24 25 7. DOCUMENTATIONThis block is for paper-copy submissions only. Enter the number 26 of pages if the submission is classified.

27 28 8. SHIPPERLeave blank.

29 30 9. RECEIVERLeave blank.

31 32 10. NUMBER OF DATA LINESAfter completing block 26 (SHIPPERS DATA) or block 27 33 (RECEIVERS DATA), enter the total number of detail lines in block 26 or 27. The 34 shipper and receiver must report the same number of entries, and the material types 35 must agree line for each line.

36 37 11. NATURE OF TRANSACTIONLeave blank.

38 39 12. SHIPPED FOR ACCOUNT OFLeave blank.

40 41 13. SHIPPED TO ACCOUNT OFLeave blank.

42 43 14. TRANSFER AUTHORITYLeave blank.

44 45 15. EXPORT OR IMPORT TRANSFERSFor all export or import transfers, enter the NRC 46 export or import license number under which SNM or source material is transferring.

47 Where transfers are authorized by an NRC general license, enter GEN-LIC. In some 48 cases, the transfer may be exempt from licensing, such as exports of IAEA safeguards 49 samples; in such cases, enter LIC-EXEMPT. If several batches authorized by separate 50 NRC import or export licenses are combined into one shipment, complete a separate 51 DOE/NRC Form 741 for the portion associated with each import or export license.

7 NUREG/BR-0006, Rev. 9

1 2

3 16. MATERIAL TYPE AND DESCRIPTIONLeave blank. Note: Material Type Code 4 should only be provided in fields 19, 26g and 27g of DOE/NRC Form 741.

5 6 17. (FOREIGN OBLIGATION) LINE NUMBEREnter a sequential line number beginning 7 with the number 1.

8 9 18. COUNTRY OF OBLIGATIONEnter the two-character country or entity designation 10 from Table 1 in Appendix F to this NUREG for the line numbers entered in block 17.

11 See Appendix F for further instructions.

12 13 19. MATERIAL TYPEEnter the material type to which the obligation is attached. Refer to 14 Table 2 in Appendix F. The only material types to be reported are 10, 20, 50, 70, 81, 15 and 88.

16 17 20. OBLIGATED ELEMENT WEIGHTEnter the weight of the obligated amount of the 18 element for material types 10, 50, 81 or 88 and the element weight associated with the 19 obligated enriched uranium. See Appendix F for further instructions. For onsite 20 inventory adjustments or corrections, enter the positive or negative values to 21 appropriately account for material addition or removal, respectively. Reports with an 22 action code of A, B, E, N, R, X, or Y must be reported with a positive weight. All others 23 can be reported with a positive or negative weight. The sum of obligated element weight 24 for a material type cannot exceed the sum of the element weight values listed in the 25 detail lines (see fields 26n and 27n).

26 27 21. OBLIGATED ISOTOPE WEIGHTFOR ENRICHED URANIUM ONLYEnter the 28 weight of the obligated amount of the isotope U-233 or U-235. For onsite inventory 29 adjustments or corrections, enter positive or negative values to appropriately account for 30 material addition or removal, respectively. Reports with an action code of A, B, E, N, R, 31 X, or Y must be reported with a positive weight. All others can be reported with a 32 positive or negative weight. The sum of obligated isotope weight for a material type 33 cannot exceed the sum of the isotope weight value listed in the detail lines (see field 26q 34 or 27q). 3 35 36 22. ACTION DATEFollow the instructions below for blocks 22a through 22e.

37 38 22a. SHIPMENT (entry required by shipper)Enter the date the nuclear material is shipped.

39 40 22b. SHIPPERS CORRECTION (entry required by shipper)If the DOE/NRC Form 741 41 document is an acknowledgment of, or a correction to, a previously submitted DOE/NRC 42 Form 741, enter the date the correction is recorded or the acknowledgment made, as 43 appropriate. However, dates on acknowledgments must not precede the action date 44 listed on the receivers correction. Note that if a date preceding the current unreconciled 45 period is used, the effect of the correction will be reflected in the current period, not the 46 previous period, or periods, covered by postdated documents.

3 Note that for enriched uranium, the foreign obligation is assigned to the U-233 and U-235 isotopes. Report the quantity of uranium element that contains the obligated U-233 and U-235 in field 20.

NUREG/BR-0006, Rev. 9 8

1 22c. RECEIPT (entry required by receiver)Enter the date the nuclear material is received.

2 22d. RECEIVERS MEASUREMENT (entry required by receiver)This entry is required only 3 if the receivers action code is E. Enter the date the nuclear material is measured by the 4 receiver.

5 6 22e. RECEIVERS CORRECTION (entry required by receiver)If the DOE/NRC Form 741 7 document is an acknowledgment of, or a correction to, a previously submitted DOE/NRC 8 Form 741, enter the date the correction is recorded or the acknowledgment made, as 9 appropriate. However, dates on acknowledgments must not precede the action date 10 listed on the receivers correction. Note that if a date preceding the current unreconciled 11 period is used, the effect of the correction will be reflected in the current period, not the 12 previous period, or periods, covered by postdated documents.

13 14 Note that in the case of all imports (and for some exports; see Section 1.3), licensees 15 must complete a separate DOE/NRC Form 741 to document the foreign party action, 16 including action dates in blocks 22a and 22c, as applicable.

17 18 23a. MISCELLANEOUSLeave blank.

19 20 23b. CONCISE NOTE ATTACHEDLeave blank.

21 22 23c. UK REPORTABLEFacilities reporting material transfers involving facilities in the 23 United Kingdom must indicate in this block (23c) whether the shipment is for peaceful 24 nuclear activities (reportable to IAEA) or for nonpeaceful nuclear activities (not 25 reportable to IAEA). Insert R to indicate that the transfer should be reported to IAEA or 26 N to indicate that the transfer should not be reported to IAEA.

27 28 Note that, typically, all licensee shipments to and from the United Kingdom are 29 reportable.

30 31 24. TOTAL GROSS WEIGHTEnter the total gross weight of the shipment rounded to the 32 nearest kilogram. An approximate or estimated gross weight rounded to the nearest 33 kilogram is acceptable. Shippers are required to complete block 24; however, no entry 34 is needed for M action code transactions, receipts, obligation transfers, and correction 35 documents.

36 37 25. TOTAL VOLUME (WASTE TRANSFERS ONLY)For transfers of nuclear material to 38 nuclear waste sites (i.e., receiver RIS begins with the letter V), enter the volume of the 39 material to be buried, stated in cubic feet rounded to the nearest cubic foot. An entry in 40 block 25 is not required for transfers to nuclear laundry services.

41 42 26. SHIPPERS DATAEnter the shippers data in block 26. Enter the receivers data in 43 block 27. Receivers should review the additional instructions for block 27 before 44 completing the form.

45 46 Shipper and receiver measurement data are entered on DOE/NRC Form 741 for each 47 batch of material. Batch names are a required field for transactions and shall be 48 reported consistent with the instructions provided in block 26d.

9 NUREG/BR-0006, Rev. 9

1 A batch is a portion of nuclear material that is handled as a unit for accounting purposes 2 at a key measurement point (KMP) and whose composition and quantity are defined by 3 a single set of specifications or measurements. The batch may be in bulk form or 4 contain a number of separate items. If the shipment is an export or is being reported in 5 accordance with 10 CFR Part 75, list fuel assemblies or loose rods or fuel pins 6 separately with the identifying label serving as a unique batch name. Fuel assemblies 7 can be reported as average enrichment as long as the appropriate accounts (material 8 types 10, 20, 81, etc.) are properly adjusted. Otherwise, material being transferred may 9 be listed on one line of DOE/NRC Form 741 if the material is all of the same material 10 type, composition, ownership, and weight percent of isotope (except as noted in the next 11 paragraph). Material differing in any of these data elements must be listed on separate 12 lines.

13 14 It may be necessary to use two or more lines to describe a single batch (e.g., spent fuel 15 assemblies, mixed-oxide fuel). If a batch consists of several material types, use several 16 consecutive lines to describe the batch. Repeat the batch name on all lines used to 17 describe a single batch. In block 26e, repeat the number of items on all lines with the 18 same batch name.

19 20 The above general rules for grouping material for reporting purposes are applicable to all 21 licensees reporting material transactions. Batch reporting plays an integral role in 22 transit matching at the domestic and international level. At the international level, the 23 IAEA relies on NMMSS provided data to match U.S.-reported transactions with those 24 reported by other member states. To facilitate efficient transit matching, facilities 25 reporting imports or receipts of material pursuant to 10 CFR Part 75, Safeguards on 26 Nuclear MaterialsImplementation of Safeguards Agreements Between the United 27 States and the International Atomic Energy Agency, shall report the shippers batch 28 name on the DOE/NRC Form 741.

29 30 26a. BACK-REFERENCE NUMBEREnter the appropriate back-reference number to make 31 adjustments to previously submitted DOE/NRC Form 741 documents.

32 33 Licensees must enter the back-reference numbers for action codes C and D and for 34 action code M when reporting adjustments. Licensees must report both the 35 back-reference change digit and the back-reference line number.

36 37 The back-reference change digit represents the change digit of the document being 38 corrected for a nullifying entry and the change digit of the document now being 39 completed for a correcting entry. For example, if the DOE/NRC Form 741 being 40 corrected is the original, or if the line being entered represents an addition only, enter 41 0 (zero).

42 43 The back-reference line number is a two-digit number that represents the line number of 44 the line being corrected for a nullifying entry and the line number of the corresponding 45 nullifying line for a correction entry. If the line being entered represents an addition only 46 or represents a net change, enter two zeros.

47 48 26b. LINE NUMBERIn providing detailed measurement data, enter a line number beginning 49 with 1 for the first line of detailed shippers data and increase the line number by one for 50 each additional line of detailed shippers data entered on the form. When two or more 51 lines of measurement data refer to a single batch, repeat the unique batch name for NUREG/BR-0006, Rev. 9 10

1 each line of the batch data. For example, repeat the batch name when different material 2 types of multienrichment fuel rods are entered on separate lines or when uranium 3 hexafluoride (UF6) product material and UF6 heel material in a cylinder are reported on 4 separate lines.

5 6 26c. TYPE OF INVENTORY CHANGEReport all changes to inventory that meet the 7 reporting criteria on DOE/NRC Form 741.

8 9 Appendix B to this NUREG explains the inventory change type (ICT) codes and 10 indicates whether they are to be entered in block 26c. Enrichment facilities may use the 11 two-digit numerical value for indicating a change type or proceed as directed by the 12 NRC. When shipping to a waste RIS (which begins with the letter V), the shipper must 13 use ICT code 74 or LD. A measured discard can be documented as an onsite transfer, 14 a discard to a pond or lagoon, or as transferred to a holding area. Discharges to lagoon 15 and movement to holding areas are documented with a suffix attached to the RIS:

16 17

Use L when material is discarded into a pond or lagoon.

18 19

Use H when material is transferred to a holding area (refer to the term holding 20 account in the glossary in Appendix D to this NUREG) at the facility pending 21 possible shipment off site for disposal 22 23 Note that the use of a holding or lagoon account requires the establishment of a RIS 24 code and prior approval by the NRC.

25 26 The shipper should enter its RIS in block 1 (SHIPPERS RIS) and the same RIS in 27 block 2 (RECEIVERS RIS), but append an L or H to the receivers RIS as appropriate.

28 For example, if a facility with RIS XYZ discards material to a lagoon, the transaction on 29 DOE/NRC Form 741 would be from XYZ to XYZL.

30 31 26d. IDENTIFICATION (ITEM/BATCH NAME)Enter a name or number, or a combination of 32 both, that identifies the batch of material being shipped. All transactions shall include a 33 batch identification number that identifies a unique portion of nuclear material handled as 34 a unit for accounting purposes. For fuel pins and rods, the batch name should be the 35 identification numbers of the fuel pin or rod. When two or more lines of measurement 36 data refer to a single batch, repeat the unique batch name for each line of the batch 37 data. For example, repeat the batch name when different material types of 38 multienrichment fuel rods are entered on separate lines or when UF6 product material 39 and UF6 heel material in a cylinder are reported on separate lines. The batch name 40 must exclude special characters (e.g., #, :, /) and must not exceed 16 characters.

41 42 If the licensee is reporting an import or receipt of material in accordance with 43 10 CFR Part 75, the licensee shall report the receipt using the shippers batch name to 44 facilitate transit matching.

45 46 26e. NUMBER OF ITEMSEnter the number of similar items of which the line entry consists 47 (e.g., cylinders, packs, drums, bird cages, bottles, tank vessels). When reporting fuel 48 pins, rods, or plates, report the number of separate fuel pins, rods, or plates involved.

49 When reporting fuel assemblies, report the number of complete assemblies represented 50 on the line entry. In the case of transfer of bulk material, enter the number 1. Leave 51 blank if an M action code is used.

11 NUREG/BR-0006, Rev. 9

1 26f. PROJECT NUMBERIf reporting DOE-owned material and there is a project number, 2 provide the project number in this block (26f). Otherwise, leave blank.

3 4 26g. MATERIAL TYPEEnter the appropriate material type code from the list below:

5 U.S. Code IAEA Code Description Reporting Unit (Domestic transfers) (Imports/Exports) 10 D Depleted uranium Kilogram 20 EG Enriched uranium Gram 50 P Plutonium Gram 70 EK U-233 Gram 81 N Normal uranium Kilogram 83 4 Pu Pu-238 Gram or 1/10 gram 88 T Thorium Kilogram 89 No code Uranium in cascade Gram 6

7 Note that for facilities reporting in accordance with 10 CFR Part 75, their facility 8 attachment (FA) or transitional facility attachment (TFA) may require different reporting 9 units for isotope weight. As such, the facility should report to NMMSS as required by its 10 FA or TFA and its NRC license. Contact NMMSS with any questions.

11 12 26h. COMPOSITION/FACILITY CODEEnter the appropriate code describing the physical 13 form (e.g., unencapsulated, encapsulated) and the chemical form of the material. See 14 Appendix A to this NUREG.

15 16 If the facility has been notified by letter from the NRC, as provided in 10 CFR 75.10, 17 Facilities, that it has been identified under the U.S./IAEA Safeguards Agreement, enter 18 the appropriate code from the list developed during the formulation and negotiation of 19 the FA or TFA provided in accordance with 10 CFR 75.15, Facility attachments.

20 21 Note: In accordance with 10 CFR 75.10, licensees should communicate to the NRC in 22 writing any change in facility operations or processes that would result in any changes 23 in, additions to, or deletions from the list, to the extent provided in the license conditions, 24 at least 70 days in advance of the changes so that new composition codes can be 25 assigned.

26 27 26i. OWNER CODEThis code identifies the ownership of the material at the time it was in 28 the shippers possession. Enter the appropriate code from the following:

29 30 G DOE-owned 31 J Not DOE-owned 4 Report as Pu-238 if the contained Pu-238 is greater than 10 percent of total plutonium by weight; otherwise, report as plutonium.

NUREG/BR-0006, Rev. 9 12

1 Refer to the glossary in Appendix D to this NUREG for a description of 2 U.S. Government-owned material.

3 4 26j. KEY MEASUREMENT POINT (KMP)This data element applies only to licensees 5 reporting in accordance with the requirements of 10 CFR Part 75. All other licensees 6 must leave this block blank. This block is for reporting on a facility where nuclear 7 material is in a form that may be measured to determine material flow or inventory.

8 Codes for KMPs are identified in the FAs or TFAs developed for those facilities 9 described in the instructions for block 26h.

10 11 26k. MEASUREMENT IDENTIFICATION (see block 26j)This block applies only to 12 licensees reporting in accordance with 10 CFR Part 75 and to those facilities identified in 13 the instructions for 26h. All other licensees must leave this block blank. This block 14 indicates where and when the material was measured. It consists of the three parts 15 described below.

16 17 26k1. BASISThis data element applies only to licensees reporting in accordance with 18 10 CFR Part 75. Enter the pertinent code from the following:

19 20 N Enter N if the batch data are based on measurements made in another material 21 balance area (MBA) (i.e., another RIS). 5 22 23 L Enter L if the batch data are based on measurements made in another MBA and 24 have been previously reported for the present MBA in a preceding DOE/NRC 25 Form 741 or a DOE/NRC Form 742C. 6 26 27 M Enter M if the batch data are based on new measurements made at the present 28 MBA.

29 30 T Enter T if the batch data are based on measurements made at the present MBA 31 and have been previously reported in a preceding ICR or physical inventory 32 listing.

33 34 26k2. OTHER MEASUREMENT POINT (OMP)For batch data designated code M in 35 block 26k1, enter the code of the KMP where measurements were made if it is different 36 from the KMP indicated in block 26j. If it is the same, leave the block blank.

37 38 26k3. MEASUREMENT METHODIf two or more measurement methods employed at the 39 same KMP have a different measurement uncertainty, enter the code for the 40 measurement method used, as identified in the FA.

41 42 26l. GROSS WEIGHTEnter the gross weight of the line entry in kilograms of material 43 shipped plus tare weight (packaging and shipping container). Note: The gross weight 44 equals the weight for all items reported in the line and not the gross weight for one item.

45 26m. NET WEIGHTEnter the weight of the material shipped, excluding tare weight, 46 in grams for SNM and kilograms for source material.

5 Use the M or N code to report receipt of material into an MBA for the first time when measurement is taken within the MBA.

6 Only the shipper should use the L or T code, reporting shipment of material from the MBA, as measurement has occurred within that MBA.

13 NUREG/BR-0006, Rev. 9

1 26n. ELEMENT WEIGHTEnter the weight of the contained SNM or source material 2 rounded to the quantities reported below:

3 Material Reporting Units Plutonium or uranium nearest whole gram enriched in U-235 or U-233 Pu-238 when reported at nearest gram or 1/10 gram material type 83 7 Source material nearest kilogram 4

5 If the quantity to be entered is equal to or greater than 0.5 of the reporting unit, the 6 quantity should be rounded up to the next whole reporting unit. If the quantity to be 7 entered is less than 0.5 of the reporting unit, the quantity should be rounded down to the 8 next whole reporting unit.

9 10 26o. ELEMENT LIMIT OF ERRORLimits of error need be reported only by licensees that 11 are authorized to possess at any time and location SNM in a quantity exceeding 12 1 effective kilogram and authorized to use SNM for activities other than those involved in 13 the operation of a nuclear reactor licensed pursuant to 10 CFR Part 50, Domestic 14 Licensing of Production and Utilization Facilities; who are involved in a waste disposal 15 operation; or who are authorized to possess sealed sources.

16 17 Complete this block (26o) when the total shipment contains more than 50 grams of 18 U-235, U-233, or plutonium, or any combination of these. Enter the limit of error for each 19 element entry using the same weight units as in block 26n, except where the line entry 20 represents (1) a sealed plutonium-beryllium source, (2) samples that have all been 21 determined by other means to contain less than 10 grams of U-235, U-233, or plutonium, 22 and (3) reactor-irradiated fuels involved in research, development, and evaluation 23 programs in facilities other than irradiated-fuel reprocessing plants.

24 25 Limits of error are to be at the 95-percent confidence level, propagated by the 26 uncertainties of the weight measurement, the chemical analysis, and the sampling 27 method. Limits of error are not applicable to source material. Licensees making onsite 28 transfers between two different RISs or within the same RIS are exempt from supplying 29 limits of error data for the transfers. Transfers between a license-exempt operation and 30 a licensed operation at the same location are not considered onsite transfers, and limits 31 of error are required.

32 33 26p. WEIGHT % ISOTOPEEnter the weight percent of the isotope U-235 if the uranium is 34 enriched or depleted in U-235. If plutonium, enter the weight percent of the isotope 35 Pu-240. If Pu-238, enter the weight percent of the isotope Pu-238. Report weight 36 percent to at least two, but not more than four, decimal places, depending on the 37 accuracy of the measurement method employed (for example, XX.XXXX%). For U-233, 38 enter the parts per million of U-232. This block does not apply to natural uranium and 39 thorium. Use separate lines to report material of different enrichments. The licensee 7 The isotope Pu-238 shall be reported as material type 83 when the contained Pu-238 is greater than 10 percent of total plutonium by weight. Otherwise, report as plutonium (material type 50).

NUREG/BR-0006, Rev. 9 14

1 must determine and report the plutonium and U-235 content of irradiated fuel upon 2 removal of the spent fuel from the reactor core. Reactor operators may report the total 3 nonfissile isotope instead of Pu-240 in this block for spent fuel if the computer codes the 4 operator uses have this limitation.

5 6 Note that for facilities reporting in accordance with 10 CFR Part 75, their FA or TFA may 7 require different reporting units for element and isotope weight (i.e., element weight in 8 kilograms and isotope weight in grams). In such cases, the facility may leave this field 9 blank.

10 11 26q. ISOTOPE WEIGHTEnter the isotope weight. If enriched uranium or U-233, enter 12 weight to the nearest gram of U-235 or U-233, as appropriate. If plutonium, enter the 13 sum of Pu-239 and Pu-241 to the nearest gram. If Pu-238, enter the weight of the 14 isotope Pu-238 to the nearest one-tenth of a gram. For depleted uranium, enter the 15 isotope weight to the nearest kilogram. Make no entry for other source material.

16 17 Note that for facilities reporting in accordance with 10 CFR Part 75, their FA or TFA may 18 require different reporting units for isotope weight. As such, the facility should report to 19 NMMSS as required in its FA or TFA and contact NMMSS with any questions.

20 21 If the quantity to be entered is equal to or greater than 0.5 of the reporting unit, the 22 quantity should be rounded up to the next whole reporting unit. If the quantity to be 23 entered is less than 0.5 of the reporting unit, the quantity should be rounded down to the 24 next whole reporting unit.

25 26 26r. ISOTOPE LIMIT OF ERRORLimits of error need be reported only by licensees that 27 are authorized to possess at any one time and location SNM in a quantity exceeding 28 1 effective kilogram and authorized to use such SNM for activities other than those 29 involved in the operation of a nuclear reactor licensed pursuant to 10 CFR Part 50, who 30 are involved in a waste disposal operation, or who are authorized to possess sealed 31 sources.

32 33 Complete when the total shipment contains more than 50 grams of U-235, U-233, or 34 plutonium, or any combination of these. Enter the limit of error for each isotope entry 35 using the same weight units as in block 26n, except where the line entry represents (1) a 36 sealed plutonium-beryllium source, (2) samples that have all been determined by other 37 means to contain less than 10 grams U-235, U-233, or plutonium, and 38 (3) reactor-irradiated fuels involved in research, development, and evaluation programs 39 in facilities other than irradiated-fuel reprocessing plants.

40 41 Limits of error are to be at the 95-percent confidence level, propagated by the 42 uncertainties of the weight measurement, the chemical analysis, and the sampling 43 method. Limits of error are not applicable to source material. Licensees making onsite 44 transfers between two different RISs or within the same RIS are exempt from supplying 45 limits of error data for the transfers. Transfers between a license-exempt operation and 46 a licensed operation at the same location are not considered onsite transfers, and limits 47 of error are required.

48 26s. SIGNATURE OF AUTHORIZED OFFICIAL AND DATE SIGNEDIf submitted on paper, 49 an authorized representative of the licensee must sign and date the report. Otherwise, no entry 50 is required. Each licensee must establish internal procedures to ensure that the information 15 NUREG/BR-0006, Rev. 9

1 provided in the report is accurate and that only authorized licensee personnel have prepared 2 and issued the report.

3 4 Proprietary information must be included when necessary to provide an adequate 5 response. An application to withhold such information from public disclosure may be 6 made and will be dispositioned in accordance with the provisions of 10 CFR 2.390. If 7 any of this information is of particular sensitivity, the licensee may request that such 8 information not be transmitted to IAEA. Such a request must refer to and conform with 9 10 CFR 75.13, Communication of Information to the International Atomic Energy 10 Agency (IAEA).

11 12 2.1.2 Reporting Receivers Data 13 14 Each receiver of reportable quantities of SNM or source material must acknowledge receipt of 15 shipments in accordance with the following instructions:

16 17

If the receiver plans to accept the shippers measurement data without making 18 independent measurements (B action code), the receiver must, within 10 days of receipt 19 of the material, submit a DOE/NRC Form 741. There are two options for filling out the 20 form:

21 22 (1) Complete blocks 1 through 25 and enter a zero in block 10.

23 24 (2) Complete blocks 1 through 25, enter the shippers values in block 26, and repeat the 25 shippers values in block 27.

26 27 Facilities reporting pursuant to 10 CFR Part 75 must use the second option if they 28 accept the shippers measurement data. Similarly, facilities reporting an import must 29 also use the second option. Facilities should dispatch the form in accordance with the 30 instructions in Section 2.3.2.

31 32

If the receiver makes independent measurements (E action code), the receiver must do 33 the following within 10 days of receipt of the material:

34 35 (1) Complete blocks 1 through 25, enter the shippers values in block 26, and 36 complete blocks 27a through 27s of DOE/NRC Form 741.

37 38 Dispatch the form in accordance with the instructions in Section 2.3.

39 40

If the receiver intends to make independent measurements within 60 days for source 41 material or LEU, or 45 days for HEU (N action code), the receiver shall do the following 42 within 10 days of receipt of the material (unless the NRC authorizes an exemption):

43 44 (1) Complete blocks 1 through 23 45 46 (2) Dispatch the form in accordance with the instructions in Section 2.3.2.

47 48 (3) After independent measurements are made, follow the instructions for reporting a 49 B or E action code. If measurements are delayed, complete them and report 50 them on DOE/NRC Form 741 within 60 days for source material and LEU and NUREG/BR-0006, Rev. 9 16

1 within 45 days for HEU after the receipt of each shipment, except in the case of 2 receipts of scrap and irradiated material.

3 4 In the case of a scrap processor receiving several shipments of scrap that are 5 accumulated and processed together, the recovered quantity of material must be 6 prorated to the specific transmittal documents and line entries to maintain the one-to-one 7 correspondence between shippers and receivers data.

8 9 27. RECEIVERS DATAFill in the receivers data blocks as follows:

10 11 Enter shipper and receiver measurement data on DOE/NRC Form 741 for each batch of 12 material. All transactions shall include a batch identification number that identifies a 13 unique portion of nuclear material that is handled as a unit for accounting purposes at a 14 KMP and whose composition and quantity are defined by a single set of specifications or 15 measurements. The batch may be in bulk form or contained in a number of separate 16 items. If the shipment is an export or is being reported in accordance with 17 10 CFR Part 75, list fuel assemblies, loose rods, or fuel pins separately with the 18 identifying label serving as a unique batch name. Report fuel assemblies as average 19 enrichment as long as the appropriate accounts (e.g., material types 10, 20, 81) are 20 properly adjusted. Material being transferred may be listed on one line of DOE/NRC 21 Form 741 if the material is all of the same material type, composition, ownership, and 22 weight percent of isotope (except as noted in the next paragraph). List material differing 23 in any of these data elements on separate lines.

24 25 Two or more lines may be necessary to describe a single batch (e.g., spent fuel 26 assemblies, mixed-oxide fuel). If a batch consists of several nuclear material types, use 27 several consecutive lines to describe the batch. Repeat the batch name on all lines 28 used to describe a single batch. In block 27e, repeat the number of items on all lines 29 with the same batch name.

30 31 The above general rules for grouping material for reporting purposes are applicable to all 32 licensees reporting material transactions. Batch reporting plays an integral role in 33 transit matching at the domestic and international level. At the international level, the 34 IAEA relies on NMMSS provided data to match U.S.-reported transactions with those 35 reported by other member states. To facilitate efficient transit matching, facilities 36 reporting imports or receipts of material in accordance with 10 CFR Part 75 shall report 37 the shippers batch name on the DOE/NRC Form 741.

38 39 27a. BACK-REFERENCE NUMBERMust match the shippers value. See block 26a.

40 41 27b. LINE NUMBERMust match the shippers value. See block 26b.

42 43 27c. TYPE OF INVENTORY CHANGEMust match the shippers value. See block 26c.

44 45 27d. IDENTIFICATION (ITEM/BATCH NAME)See block 26d.

46 27e. NO. OF ITEMSSee block 26e.

47 48 27f. PROJECT NUMBERSee block 26f.

49 50 27g. MATERIAL TYPEMust match the shippers value. See block 26g.

17 NUREG/BR-0006, Rev. 9

1 27h. COMPOSITION/FACILITY CODESee block 26h.

2 3 27i. OWNER CODEDescribes the material ownership at the time it comes into the 4 receivers possession. See block 26i.

5 6 27j. KEY MEASUREMENT POINTSee block 26j.

7 8 27k. MEASUREMENT IDENTIFICATIONSee block 26k.

9 10 27l. GROSS WEIGHTSee block 26l.

11 12 27m. NET WEIGHTSee block 26m.

13 14 27n. ELEMENT WEIGHTSee block 26n.

15 16 27o. ELEMENT LIMIT OF ERRORSee block 26o.

17 18 27p. WEIGHT % ISOTOPESee block 26p.

19 20 27q. ISOTOPE WEIGHTSee block 26q.

21 22 27r. ISOTOPE LIMIT OF ERRORSee block 26r.

23 24 27s. SIGNATURE OF AUTHORIZED OFFICIAL AND DATE SIGNEDSee block 26s.

25 26 2.2 Preparation of DOE/NRC Form 741 in Computer-Readable Format 27 28 NMMSS Report D-24 provides instructions for preparing DOE/NRC Form 741 in 29 computer-readable format as required for submittals.

30 31 2.3 Distribution of DOE/NRC Form 741 32 33 2.3.1 Shipper 34 35 Each shipper of reportable quantities of SNM or source material must dispatch a DOE/NRC 36 Form 741, as described below, no later than the close of business the next working day after the 37 shipment. In the case of spent fuel shipments, in accordance with 10 CFR 73.37, the date of 38 shipment is considered safeguards information until 10 days after the shipment or the last 39 shipment in a series of shipments is received. Therefore, the shipper should identify DOE/NRC 40 Form 741 as safeguards information and handle such in accordance with 10 CFR 73.21. When 41 submitting safeguards information, the shipper must submit a concise note (DOE/NRC 42 Form 740M), stating that the submission is safeguards information and should be handled in 43 accordance with 10 CFR 73.21.

44 45 Burials are reported when shipped. The burial site operator must prepare and transmit a 46 DOE/NRC Form 741 to the NMMSS to document receipt and disposal.

47 48 The shipper should distribute the completed DOE/NRC Form 741 as follows:

49 50

Provide a copy, in a mutually agreeable format, to the other party in the transaction.

NUREG/BR-0006, Rev. 9 18

1

Submit one copy in computer-readable format to the NMMSS. See Section 1.5 for 2 documentation and distribution of classified and unclassified reports.

3 4

Retain one copy for the file.

5 6 2.3.2 Receiver 7

8 The receiver should distribute the completed DOE/NRC Form 741 as follows:

9 10

Submit one copy in computer-readable format to the NMMSS. See Section 1.5 for 11 documentation and distribution of classified and unclassified reports.

12 13

Return one copy, in a mutually agreeable format, to the shipper 14 15

Retain one copy for the file.

19 NUREG/BR-0006, Rev. 9

1 3 INSTRUCTIONS FOR ONSITE GAINS AND LOSSES 2 (M ACTION CODE) 3 4 3.1 Instructions for Completing DOE/NRC Form 741 5

6 When using action code M, the licensee should complete DOE/NRC Form 741 in accordance 7 with the following instructions:

8 9 1. SHIPPERS RISEnter the RIS.

10 11 2. RECEIVERS RISSame as in block 1.

12 13 3. TRANSACTION NUMBERSee the instructions for block 3 in Section 2.1.1 or contact 14 the NMMSS operator for other options.

15 16 4. CORRECTION NUMBERSee the instructions for block 4 in Section 2.1.1.

17 18 5. PROCESSING CODESee the instructions for block 5 in Section 2.1.1.

19 20 6. ACTION CODEEnter M in 6a or 6b or both.

21 22 7. DOCUMENTATIONEnter the number of pages if the submission is classified. This 23 block is for paper-copy submissions only.

24 25 8. NAME AND ADDRESS OF SHIPPERLeave blank.

26 27 9. NAME AND ADDRESS OF RECEIVERLeave blank.

28 29 10. NUMBER OF DATA LINESEnter the total number of detail line entries on the form.

30 31 11. NATURE OF TRANSACTIONLeave blank.

32 33 12. SHIPPED FOR ACCOUNT OFLeave blank.

34 35 13. SHIPPED TO ACCOUNT OFLeave blank.

36 37 14. TRANSFER AUTHORITYLeave blank.

38 39 15. EXPORT OR IMPORT TRANSFERSLeave blank.

40 41 16. MATERIAL TYPE AND DESCRIPTIONLeave blank.

42 43 17. LINE NUMBERSee the instructions for block 17 in Section 2.1.1.

44 45 18. COUNTRY OF OBLIGATIONSee the instructions for block 18 in Section 2.1.1.

46 47 19. MATERIAL TYPESee the instructions for block 19 in Section 2.1.1.

48 49 20. OBLIGATED ELEMENT WEIGHTSee the instructions for block 20 in Section 2.1.1.

21 NUREG/BR-0006, Rev. 9

1 21. OBLIGATED ISOTOPE WEIGHTFOR ENRICHED URANIUM ONLYSee the 2 instructions for block 21 in Section 2.1.1.

3 4 22. ACTION DATEEnter the date of the activity in at least one of blocks 22a through 22e.

5 If more than one block is completed, all dates must be the same.

6 7 23. MISCELLANEOUSLeave blank.

8 9 24. TOTAL GROSS WEIGHTLeave blank.

10 11 25. TOTAL VOLUMELeave blank.

12 13 26. SHIPPERS DATAFollow instructions for blocks 26a.-26s.

14 15 26a. BACK-REFERENCE NUMBERSee the instructions for block 26a in Section 2.1.1.

16 17 26b. LINE NO.See the instructions for block 26b in Section 2.1.1.

18 19 26c. TYPE OF INVENTORY CHANGESee Section 2.1.1.

20 21 26d. IDENTIFICATION (ITEM/BATCH NAME)See Section 2.1.1.

22 23 26e. NO. OF ITEMSSee Section 2.1.1.

24 25 26f. PROJECT NUMBERLeave blank.

26 27 26g. MATERIAL TYPESee Section 2.1.1.

28 29 26h. COMPOSITION/FACILITY CODESee Section 2.1.1.

30 31 26i. OWNER CODESee Section 2.1.1.

32 33 26j. KEY MEASUREMENT POINTSee Section 2.1.1.

34 35 26k. MEASUREMENT IDENTIFICATIONSee Section 2.1.1.

36 37 26l. GROSS WEIGHTLeave blank.

38 39 26m. NET WEIGHTLeave blank.

40 41 26n. ELEMENT WEIGHTSee Section 2.1.1.

42 43 26o. ELEMENT LIMIT OF ERRORSee Section 2.1.1.

44 45 26p. WEIGHT % ISOTOPELeave blank for ICT codes MF and EQ unless the material is 46 enriched uranium. For ICT codes LN and TN, report the same weight percent of isotope 47 as for the beginning of the inventory period. See the instructions for block 26p in 48 Section 2.1.1.

49 50 26q. ISOTOPE WEIGHTSee Section 2.1.1.

NUREG/BR-0006, Rev. 9 22

1 26r. ISOTOPE LIMIT OF ERRORLeave blank.

2 3 26s. SIGNATURE OF AUTHORIZED OFFICIAL AND DATE SIGNEDSee Section 2.1.1.

4 5 27. RECEIVERS DATASee the instructions for block 27 in Section 2.1.2.

6 7 3.2 Preparation of DOE/NRC Form 741 in Computer-Readable Format 8

9 NMMSS Report D-24 provides instructions for preparing DOE/NRC Form 741 in 10 computer-readable format as required for submittals.

11 12 3.3 Distribution of DOE/NRC Form 741 13 14 Distribution of the completed DOE/NRC Form 741 should be as follows:

15 16

Submit one copy in computer-readable format to the NMMSS. (See Section 1.5 for 17 documentation and distribution of classified and unclassified reports.)

18 19

Retain one copy for the file.

23 NUREG/BR-0006, Rev. 9

1 4 INSTRUCTIONS FOR CORRECTING A DOE/NRC FORM 741 2 (C, D, AND M ACTION CODES) 3 4 Adjustments are independent actions. Either the shipper or the receiver may initiate an 5 adjustment to a DOE/NRC Form 741, reporting the original shipment or receipt of material or an 6 adjustment to any previous adjustment to the original. The other party shall acknowledge that 7 an adjustment was made but is not required to make the same adjustment to its records.

8 9 4.1 Originator 10 11 The originator of the corrected copy must do the following:

12 13

Complete blocks 1 through 25, as appropriate, referring to the copy of DOE/NRC 14 Form 741 being corrected.

15 16

Insert in block 26a or 27a of the did-read (Was) line, as appropriate, a back-reference 17 code. If the line of data has not been previously corrected, use a zero. If previously 18 corrected, the first digit is the correction number (block 4) from the DOE/NRC Form 741 19 being corrected. If the line of data has been corrected several times, use the most 20 recent correction number. The next two digits are the line number (block 26b or 27b) on 21 the DOE/NRC Form 741 being corrected. The did-read line can only reference a line 22 on the original document or a should-read line. No two or more did-read lines can 23 back-reference the same line.

24 25

Complete the did-read line, blocks 26b through j and 26n through r or 27b through j 26 and 27n through r, as appropriate, by duplicating the entire line being corrected from the 27 DOE/NRC Form 741 being corrected and indicating the opposite sign (positive or 28 negative) from the original one used in reporting the number of items (block e), element 29 weight (block n), element limit of error (block o), isotope weight (block q), and isotope 30 limit of error (block r).

31 32

Insert in block 26a or 27a of the should-read (Should-Be) line, as appropriate, a 33 back-reference code that references the corresponding did-read line. The first digit is 34 the correction number of the document being completed. The next two digits are the line 35 number of the corresponding did-read line. The should-read line can only reference a 36 did-read line. No two or more should-read lines can back-reference the same line.

37 38 Repeat this procedure until all lines requiring adjustment have been backed out and the correct 39 information entered.

40 41 Pair the did-read and should-read for each line being adjusted (i.e., consecutive).

42 43 One or more changes can be made to each line. Only include incorrect lines in a correction 44 report.

45 46 If adding a line to the original document, the back-reference should be (000) (block 26a or 27a),

47 and pairing is not done.

48 49 If a line previously reported is split into two or more lines, one of the should-be lines should 50 back-reference the did-read line, and all others should be considered new additions (000).

25 NUREG/BR-0006, Rev. 9

1 If a line is to be voided, use only a did-read line (no pairing). Appendix C to this NUREG 2 provides examples of an initial report and subsequent correction reports.

3 4 4.2 Receiver 5

6 Within 10 days of receipt, the facility receiving the corrected DOE/NRC Form 741 must do one 7 of the following:

8 9

Submit a DOE/NRC Form 741, acknowledging the adjustment (which will close a 10 transaction but will not affect the acknowledging partys values).

11 12

Submit a DOE/NRC Form 741, accepting the adjustment or reporting the facilitys own 13 adjustment. This closes a transaction and applies the accepted or reported adjustment 14 to the acknowledging partys values.

15 16 There is no requirement for both parties to make the same quantity adjustments. However, if 17 both parties choose to adjust on the same corrected DOE/NRC Form 741, they must both report 18 the same number of entries, and the material types must agree line for line.

19 20 4.3 Distribution of Corrections to DOE/NRC Form 741 21 22 The originator should do the following:

23 24

Submit one copy, in a mutually agreeable format, to the other party in the transaction.

25 26

Submit one copy in computer-readable format to the NMMSS. (See Section 1.5 for 27 documentation and distribution of classified and unclassified reports.)

28 29

Retain one copy for the originating facilitys file.

30 31 Upon receipt of a correction, a licensee should distribute a completed DOE/NRC Form 741, 32 reporting an acknowledgment, acceptance, or correction as follows:

33 34

Submit one copy to the NMMSS. (See Section 1.5 for documentation and distribution of 35 classified and unclassified reports.)

36 37

Return one copy to the originator.

38 39

Retain one copy for the facilitys file.

NUREG/BR-0006, Rev. 9 26

1 5 INSTRUCTIONS FOR COMPLETING 2 DOE/NRC FORM 740M 3

4 These instructions apply to all licensees the NRC has notified by letter, as provided in 5 10 CFR 75.11, Locations, that their facility has been identified under the U.S./IAEA 6 Safeguards Agreement. The FAs or TFAs for such facilities may specify circumstances under 7 which concise notes must be submitted to IAEA as attachments to other reports. These 8 facilities should use DOE/NRC Form 740M to explain to the foreign state where the 9 IAEA-required data items appear.

10 11 Licensees who are reporting safeguards information must submit a concise note, as discussed 12 in Section 1.5.

13 14 These instructions also apply to importers who for any reason cannot use the same batch name 15 as the shipper. If the shipper fails to supply a batch name, the importer should supply a batch 16 name and attach a concise note to that effect.

17 18 In some cases, it may be desirable to provide additional explanatory information with reports.

19 DOE/NRC Form 740M is used to submit this information. A DOE/NRC Form 740M may be 20 attached to DOE/NRC Form 741, to DOE/NRC Form 742, to DOE/NRC Form 742C, or to a 21 standalone concise note for facilities reporting under 10 CFR Part 75.

22 23 The numbered blocks of DOE/NRC Form 740M should be completed as follows:

24 25 1. NAME AND ADDRESSLeave blank.

26 27 2. ATTACHMENT TOPlace an X in the appropriate box to indicate that this explanatory 28 information will be attached to a DOE/NRC Form 741.

29 30 When attaching the concise note to DOE/NRC Form 742 or 742C, enter the number 1 31 for the first concise note attached to the particular DOE/NRC Form 742 or 742C. When 32 issuing an additional concise note for a particular DOE/NRC Form 742 or 742C, enter 33 the next sequential number (2-9) of the concise note.

34 35 3. RISEnter the RIS to which the explanatory information in this report applies.

36 37 4. REPORTING PERIODComplete this block only when the concise note is attached to a 38 DOE/NRC Form 742 or a DOE/NRC Form 742C. Enter the beginning and ending dates 39 of the reporting period as shown on DOE/NRC Form 742.

40 41 5. TRANSACTION DATAComplete this block only when attaching the concise note to a 42 DOE/NRC Form 741 or if submitting a standalone concise note. Copy the requested 43 data from DOE/NRC Form 741. All entries in this block must be identical to those on 44 DOE/NRC Form 741. Fill in the blocks as follows.

45 46 5A. SHIPPERS RISEnter the RIS of the shipper.

47 48 5B. RECEIVERS RISEnter the RIS of the receiver.

49 50 5C. TRANSACTION NUMBEREnter the unique transaction number.

27 NUREG/BR-0006, Rev. 9

1 5D. CORRECTION NUMBERIf the DOE/NRC Form 741 is a correction to a previous 2 report, enter the correction number.

3 4 5E. PROCESSING CODEInsert the same code used in DOE/NRC Form 741.

5 6 5F. ACTION CODEIf using a DOE/NRC Form 740M with a DOE/NRC Form 741, enter the 7 same action code as on the DOE/NRC Form 741, block 7; otherwise, enter action 8 code M.

9 10 6. REPORTING DATEComplete this block if the concise note is attached to a DOE/NRC 11 Form 741 or DOE/NRC Form 742C. Copy the date shown on DOE/NRC Form 741 or 12 DOE/NRC Form 742C.

13 14 7. This block contains the actual explanatory data and other data necessary to link the 15 explanatory data to the part or parts of the report to which the data apply. Complete this 16 block as follows.

17 18 7A. LINE NO.Enter consecutive numbers beginning with 1 for each explanatory reference.

19 20 7B. ENTRY REFERENCEIf the explanatory information entered on this line of the 21 DOE/NRC Form 740M applies to the entire DOE/NRC Form 741, 742, or 742C, enter 22 WHOLE REPORT. If the explanation applies to the data on a specific batch on a 23 DOE/NRC Form 741 or DOE/NRC Form 742C, copy the batch name exactly as it 24 appears on the DOE/NRC Form 741 or DOE/NRC Form 742C. If the explanation 25 applies to a specific material balance category on a DOE/NRC Form 742, enter the 26 two-digit number of the material balance category. Additionally, if the explanation 27 applies to material balance categories 11, 30, 42, 43, or 51, enter the RIS shown on the 28 relevant line of DOE/NRC Form 742. If the explanation applies to categories 22 or 71, 29 enter the two-character ICT as shown on the relevant line of DOE/NRC Form 742. If the 30 DOE/NRC Form 740M action code is M, enter GENERAL.

31 32 7C. TEXT OF CONCISE NOTEEnter up to 60 letters, numbers, or special characters per 33 line. Up to 99 lines of text may be used for any one explanation.

34 35 8. SIGNATUREAn authorized representative of the licensee must sign DOE/NRC 36 Form 740M. See the instructions for block 26s in Section 2.1.1.

37 38 9. TITLEEnter the title of the person signing the form.

39 40 10. DATEEnter the date the form is signed.

41 42 DOE/NRC Form 740M should be put into computer-readable format following the additional 43 guidance in NMMSS Report D-24.

44 45 Copies of DOE/NRC Form 740M must be attached to, and distributed with the DOE/NRC 46 Form 741, 742, or 742C to which the DOE/NRC Form 740M applies.

NUREG/BR-0006, Rev. 9 28

1 6 DOE REPORTING REQUIREMENTS FOR PROPRIETARY 2 INTERESTS OF THE GOVERNMENT 3

4 NRC licensees are responsible for routinely reporting to the NMMSS all DOE-owned, -loaned, 5 or -leased material in their possession as prescribed in DOE Orders 470.4B and 474.2.

29 NUREG/BR-0006, Rev. 9

1 7 NMMSS REFERENCES 2

3 This report and its appendices reference the NMMSS documents listed below. To request 4 these documents, telephone the NMMSS operator.

5 6 NMMSS Report D-2, The DOE Directory of Reporting Identification Symbols.

7 8 NMMSS Report D-3, The NRC Directory of Reporting Identification Symbols.

9 10 NMMSS Report D-15, International Nuclear Facilities Codes Manual.

11 12 NMMSS Report D-24, Personal Computer Data Input for NRC Licensees.

13 14 NMMSS Report D-25, Transaction Composition Code Reference List.

15 16 17 31 NUREG/BR-0006, Rev. 9

1 APPENDIX A 2 COMPOSITION CODES

1 COMPOSITION CODES 2

3 The codes listed below are for use in completing blocks 26h or 27h on U.S. Department of 4 Energy/U.S. Nuclear Regulatory Commission (DOE/NRC) Form 741, Nuclear Material 5 Transaction Reports. If the NRC has notified a licensee by letter, as provided in Title 10 of the 6 Code of Federal Regulations (10 CFR) 75.11, Locations, that the facility has been identified 7 under the U.S./International Atomic Energy Agency (IAEA) Safeguards Agreement, the licensee 8 should enter the appropriate code from the list developed during the formulation and negotiation 9 of the facility attachment or transitional facility attachment.

10 11 In accordance with 10 CFR 75.10, Facilities, the licensee should communicate to the NRC in 12 writing any change in facility operations or processes that would result in any changes to, 13 additions to, or deletions from the list, to the extent provided in the facilitys license conditions, at 14 least 70 days in advance of the changes so that new composition codes can be assigned.

15 16 For additional composition codes, see Nuclear Materials Management and Safeguards System 17 (NMMSS) Report D-2, Transaction Composition Code Reference List.

18 19 UNENCAPSULATED (except scrap) 20 21 Code 22 23 032 U3O8 (oxide product) 24 25 048 UO3 (trioxide product) 26 27 770 Carbides 28 29 455 Other Oxides Product (for all oxides not otherwise identified) 30 31 064 Tetrafluorides (tetrafluoride product) 32 33 083 UF6 (hexafluoride product) 34 35 095 Enriching Process 36 37 102 Hexafluoridesin Enriching Process 38 39 103 Hexafluoride Product 40 41 107 Uranium in CascadesHoldup 42 43 120 UF6 Feed 44 45 773 UF6 Heels 46 47 363 In Reactor Product 48 49 409 Nitrate Solutions Product A-1 NUREG/BR-0006, Rev. 9

1 786 Acetate Solutions Product 2

3 701 Unalloyed Metal Product 4

5 702 Alloyed Metal Product 6

7 771 Samples and Standards 8

9 637 Sintered Products 10 11 UNENCAPSULATED SCRAP (for recovery) 8 12 13 375 Irradiated Recyclable Fuel 14 15 WASTE (for disposal) 16 17 Describe waste material by an appropriate scrap category 18 19 ENCAPSULATED 20 21 291 Fabricated Fuel Elements (pins, rods, plates) 22 23 309 Fuel Assemblies (assembled items product) 24 25 481 Sealed Sources (fabricated sources product) 26 27 OTHER 28 29 776 Other Products 30 31 E04 Miscellaneous Noncombustibles (uranium) 32 33 Note: Report uranium/thorium and plutonium/uranium mixed-oxide fuels either as fuel elements 34 (code 291) or as fuel assemblies (code 309), as applicable.

35 36 Report the different material types in the mixed-oxide fuels on separate lines.

37 38 8 Where a number of dissimilar items of scrap are put into the same container, use the composition code for the predominant scrap category.

NUREG/BR-0006, Rev. 9 A-2

1 APPENDIX B 2 INVENTORY CHANGE TYPE CODES FOR COMPLETING 3 BLOCKS 26C AND 27C OF DOE/NRC FORM 741

1 INVENTORY CHANGE TYPE CODES FOR COMPLETING 2 BLOCKS 26C AND 27C OF DOE/NRC FORM 741 3

4 All inventory change type codes on transaction reports consist of two alphabetic or numeric 5 characters. The accounting entry type codes used on material balance reports (MBRs) consist of 6 two digits. In the following pages, the numbers in parentheses following the alphabetic code 7 represent the MBR line to which the transaction entries correspond. The standard inventory 8 changes and other entry types are listed below. In transaction reports, all transactions and 9 operations are understood to be related to individual batches. In MBRs, corresponding the same 10 codes denotes consolidated entries (i.e., the sums of all individual operations with the same code 11 over the material balance period). In addition, MBRs include entries related to inventory data and 12 adjustments not reported on transaction reports.

13 14 Gains or losses of material that occur based on the total inventory, or in which individual effects to 15 inventories by country of obligation code cannot be determined, should be reported as a loss to all 16 country obligation balances by applying a one-to-one ratio by percent of the country of obligation to 17 the amount of inventory affected to the amount of inventory change. For example, if decay is 18 reported for plutonium within a reactor and the plutonium balance represents several different 19 country of obligation balances, the following calculations would determine the amount of decay to 20 apply to each country of obligation code balance:

21 22 Element Isotope 23 Amount of inventory for which decay applies 1,202,239 950,947 24 Calculated decay for the period 998 998 25 26 Balance by country obligation code 27 28 OBLIGATION CODE ELEMENT ISOTOPE % Ratio to Total Inventory 29 33 200,000 158,196 200,000/1,202,239 = 0.166 x 100 = 17%

30 31 34 509,321 402,863 509,321/1,202,239 = 0.424 x 100 = 42%

32 33 32 492,918 389,888 492,918/1,202,239 = 0.410 x 100 = 41%

34 Total Pu Balance 1,202,239 950,947 100%

35 36 Amount of decay to apply to each country of obligation code balance 37 38 33 998 x 17% = 169.66 rounded to the nearest gram = 170 39 40 34 998 x 42% = 419.16 rounded to the nearest gram = 419 41 42 32 998 x 41% = 409.18 rounded to the nearest gram = 409 43 998 B-1 NUREG/BR-0006, Rev. 9

1 The following should also be used for the isotope balances:

2 3

TRANS. MBR EXPLANATION REQUIREMENT FOR CODE LINE BLOCKS 26c AND 27c RF Nuclear material imported into the United Make no entry.

(11, 13, 30, 38, 39) States (receipt foreign).

RD Domestic receipt of nuclear material from Make no entry.

(11, 13, 30, 38, 39) another domestic reporting identification symbol (RIS) (receipt domestic).

RN Domestic receipt of nuclear material from Make no entry.

(11, 13, 30, 38, 39) activity not subject to Title 10 of the Code of Federal Regulations (10 CFR) Part 75, Safeguards on Nuclear Material Implementation of Safeguards Agreements Between the United States and the International Atomic Energy Agency.

NP Production of fissionable material in a reactor Entry required by (21) (plutonium (Pu), uranium (U)-233). licensee.

DU Reapplication of safeguards in nuclear Entry required only (76) material previously exempted therefrom in after NRC notification.

accordance with Article 38 of the U.S./International Atomic Energy Agency (IAEA) Safeguards Agreement after being exempted based on use (licensees subject to 10 CFR Part 75 only).

DQ Reapplication of safeguards in nuclear Entry required only (76) material previously exempted therefrom in after NRC notification.

accordance with Article 38 of the U.S./IAEA Safeguards Agreement after being exempted based on quantity (licensees subject to 10 CFR Part 75 only).

SF Export of nuclear material out of the United Make no entry.

(42, 43, 51, 58, 59) States.

SD Domestic transfer of nuclear material from Make no entry.

(42, 43, 51, 58, 59) another domestic RIS.

SN Domestic transfer of nuclear material from a Entry required.

(42, 43, 51, 58, 59) facility subject to 10 CFR Part 75 to a waste management facility.

SN Domestic transfer of nuclear material from a Make no entry.

(42, 43, 51, 58, 59) facility subject to 10 CFR Part 75 to a facility other than a waste management facility.

NUREG/BR-0006, Rev. 9 B-2

TRANS. MBR EXPLANATION REQUIREMENT FOR CODE LINE BLOCKS 26c AND 27c LN* Consumption of nuclear material because of its Entry required by (73) transformation into other elements or isotopes licensee.

as a result of nuclear reactions (burnup).

Note: When calculating weight percent isotope in the case of burnup, report the same weight percent isotope for burnup as the weight percent of the beginning inventory period.

TN* Consumption of nuclear material because of Entry required by (72) transformation into other elements or isotopes licensee.

as a result of nuclear reactions (decay).

Note: When calculating weight percent isotope in the case of decay, report the same weight percent isotope for decay as the weight percent of the beginning inventory period.

LD Normal operational loss/measured discard; Entry required by (74) (i.e., loss of a measured or estimated (on the licensee.

basis of measurement) quantity of nuclear material from processing that has been disposed of in such a way that it is not suitable for further nuclear use.

TW Transfer to the retained waste category of Entry required by (74) measured nuclear material, deemed to be licensee.

irrecoverable, to be stored at the material balance area (MBA) and to be deleted from the inventory of the MBA.

FW Retransfer of material that has been stored at Entry required by (51) the MBA as retained waste to the nuclear licensee.

material inventory. This applies whenever material in the retained waste category is removed from storage either for processing at the MBA or for retransfer from the MBA.

EU Exemption of nuclear material from Entry required only (76) safeguards in accordance with Article 36 of after NRC notification.

the U.S./IAEA Safeguards Agreement (licensees subject to 10 CFR Part 75 only).

EQ Exemption of nuclear material from Entry required only (76) safeguards in accordance with Article 37 of after NRC notification.

the U.S./IAEA Safeguards Agreement (licensees subject to 10 CFR Part 75 only).

TU Termination of safeguards on nuclear material Entry required only (76) in accordance with Articles 13 and 35 of the after NRC notification.

B-3 NUREG/BR-0006, Rev. 9

TRANS. MBR EXPLANATION REQUIREMENT FOR CODE LINE BLOCKS 26c AND 27c U.S./IAEA Safeguards Agreement (licensees subject to 10 CFR Part 75 only).

LA Irretrievable and inadvertent loss of a known Entry required by (75) quantity of nuclear material as the result of an licensee.

operational accident.

GA Nuclear material unexpectedly found to be Entry required by (75) present in the MBA, except when detected in licensee.

the course of a physical inventory taking.

Report gains as a negative value.

DI The difference between the batch quantity Make no entry.

(N/A) reported as received (always on shippers data) and the quantity of the same batch as measured by the operator of the receiving MBA.

RM The quantity by which the batch mentioned in Licensee entry (N/A) the entry is diminished in cases of rebatching required, if applicable.

(licensees subject to 10 CFR Part 75 only).

RP The quantity of material added from another Licensee entry (N/A) batch to the batch mentioned in the entry required, if applicable.

(licensees subject to 10 CFR Part 75 only).

EN Category ChangeThe quantity of uranium Entry required by ED that has changed category as a result of licensee.

NE blending, enrichment, depletion, or burnup.

ND The first letter denotes the original, the second DE letter the resulting category (E=enriched, DN N=natural (or normal), D=depleted uranium, EE EE=change of enrichment). The material type (22, 71) codes should be those for both the original and the resulting material. Provide the weight data for both the originating and the resulting category.

Consolidate these entries into the material balances for both categories. For any of these changes, line pairing is required; one line denotes the original material, the other denotes the resulting material.

(22, 71) Enrichment facilities may use the 22, 71 combination to report changes in material type associated with enrichment activities for material types 10, 20, 81, and 89 or proceed NUREG/BR-0006, Rev. 9 B-4

TRANS. MBR EXPLANATION REQUIREMENT FOR CODE LINE BLOCKS 26c AND 27c in accordance with U.S. Nuclear Regulatory Commission direction.

MF Inventory Difference (ID)Calculate as the Entry required by (77) difference between the book inventory and the licensee.

ending physical inventory. Reactors must not use this code.

Note: A negative value adds to the site inventory.

PB Beginning Physical InventoryThis should be Entry required by (N/A) equal to the ending physical inventory of the licensee previous MBR relating to the same material.

BA The algebraic sum of the beginning physical Entry required by (83) inventory and of the inventory changes over licensee the period, adjusted to take account of the shipper-receiver differences.

PE The sum of all measured and derived batch Entry required by (N/A) quantities of nuclear material on hand on the licensee date of the physical inventory taking.

Consolidate these entries.

RAXX Applicable to licensees subject to Entry by licensee (N/A) 10 CFR Part 75 only. The quantity that must required, if applicable.

be added to the rounded sum to make it equal to the sum of the rounded terms. A rounding adjustment (RA) is made to an entry in the MBR of which IAEA has been informed differently through inventory change reports (ICRs) and physical inventory lists, in order to bring the MBR entry into agreement with the corresponding figures established on the basis of ICRs and physical inventory lists. In the case of the book inventory and the ID or material unaccounted for (MF), use the following formulas, respectively:

RABA = PB + ICRMBR B DI B BA, RAMF = BA B PE B MF where ICRMBR is the sum of the consolidated inventory changes as reported in the MBR, taken with the appropriate sign if they represent decreases. All other notations are as defined for this data element.

B-5 NUREG/BR-0006, Rev. 9

TRANS. MBR EXPLANATION REQUIREMENT FOR CODE LINE BLOCKS 26c AND 27c No RA is needed for the beginning physical inventory.

Code the RA RAXX, where XX stands for the code of the entry to which the RA pertains (e.g., RALN means an RA to the consolidated entry on the nuclear loss).

34 ReceiptsMiscellaneous. Enter quantities of Entry by licensee (30) material received in two-party transactions required.

where only receiver data or receipts of quantities of material falling below the reporting level are reported and now cumulatively total 1 gram or more of special nuclear material (SNM) or 1 kilogram or more of source material. Examples include receipts of material (not reported elsewhere) from facilities that have not been assigned an RIS and receipts from licensees who are not required to document or report transactions.

37 Procurement by Others. Enter quantities of material the facility purchased for its own account from in situ material that it had been holding or material that the facility is processing for another licensee.

54 ShipmentsMiscellaneous. Enter quantities Entry by licensee (51) of material shipped in two-party transactions required.

where only shippers data are reported or shipments of quantities of material falling below the reporting level are reported and now cumulatively total 1 gram or more of SNM or 1 kilogram or more of source material.

Examples are shipments of material (not reported elsewhere) from facilities that have not been assigned a reporting identification symbol and shipments from licensees that are not required to document or report transactions.

65 Rounding Adjustment Entry required by licensee.

Note: A negative value adds to the site inventory.

1 2

NUREG/BR-0006, Rev. 9 B-6

1 APPENDIX C 2 EXAMPLE DOCUMENTATION OF SHIPPER AND RECEIVER DATA 3 (BLOCKS 26 AND 27)

1 EXAMPLE DOCUMENTATION OF SHIPPER AND RECEIVER DATA 2 (BLOCKS 26 AND 27) 3 4 EXAMPLE 1-aINITIAL REPORT 5

6 On March 31, 2008, shipper YYY transferred to receiver XXX four fabricated fuel elements 7 containing the following:

8 Line Element Isotope 1 FAB FUEL ELE-1 377,699 g 18,111 g 2 FAB FUEL ELE-2 42,114 g 1,344 g 3 FAB FUEL ELE-3 377,855 g 18,122 g 4 FAB FUEL ELE-4 41,992 g 1,340 g 9

10 EXAMPLE 1-bRECEIVERS REPORT 11 12 On April 1, 2008, receiver XXX acknowledged receipt of the shipment and accepted the 13 shippers weights without further measurement.

14 15 EXAMPLE 1-cCORRECTION 1 16 17 On April 16, 2008, the shipper corrected the element weights for lines 1 and 4 to reflect the 18 adjusted element and isotope weights as well as obligated enriched uranium.

19 20 EXAMPLE 1-dRECEIVERS CORRECTION 1 21 22 On April 23, 2008, the receiver acknowledged receipt of the correction and reported the 23 corrections to the Nuclear Materials Management and Safeguards System.

24 25 EXAMPLE 2-m (ACTION CODE M) 26 27 On March 31, 2008, facility XXX reported onsite inventory adjustments of fission, decay, and 28 production that changed its inventory of enriched uranium and plutonium.

29 30 Example 2-m-a Correction (ACTION CODE M) 31 32 On March 31, 2007, facility XXX reported a correction to its onsite production of plutonium. This 33 change also changes the quantity of obligated plutonium at the facility.

34 35 EXAMPLE 3-aEXPORT OF A FUEL ASSEMBLY 36 37 On March 31, 2008, facility YYY reported the export of one fuel assembly to a foreign facility.

38 39 EXAMPLE 4-aINITIAL REPORT OF AN IMPORT 40 41 On March 31, 2008, facility XXX submitted a report documenting the shipment of three fuel 42 assemblies from foreign facility YYY.

C-1 NUREG/BR-0006, Rev. 9

1 EXAMPLE 4-bRECEIVERS REPORT OF AN IMPORT 2

3 On March 31, 2008, facility XXX submitted a report documenting the receipt of three fuel 4 assemblies from foreign facility YYY.

5 6 EXAMPLE 5-aINITIAL REPORT OF SHIPMENT TO BURIAL SITE 7

8 On March 31, 2008, facility XXX submitted a report documenting the shipment of uranium waste 9 to a burial site.

10 11 EXAMPLE 5-bRECEIVERS REPORT OF A SHIPMENT TO BURIAL SITE 12 13 On April 5, 2008, facility VVV submitted a report documenting the receipt of uranium waste to 14 the burial site.

15 16 List of Examples:

17 18 Example 1-a: DOE/NRC Form 741Initial report 19 20 Example 1-b: DOE/NRC Form 741Receivers report 21 22 Example 1-c: DOE/NRC Form 741Correction 1 (shipper adjusting lines 1 and 4 of the 23 initial transaction) 24 25 Example 1-d: DOE/NRC Form 741Correction 1 (receiver adjusting lines 1 and 4 of the 26 initial transaction) 27 28 Example 2-m: DOE/NRC Form 741Initial report (action code M) 29 30 Example 2-m-a: DOE/NRC Form 741Correction 1 (action code M) 31 32 Example 3-a: DOE/NRC Form 741Initial report (export from the United States) 33 34 Example 4-a: DOE/NRC Form 741Initial report (shipment to the United States) 35 36 Example 4-b: DOE/NRC Form 741Receivers report (shipment to the United States) 37 38 Example 5-a: DOE/NRC Form 741Initial report (shipment to a burial site) 39 40 Example 5-b: DOE/NRC Form 741Receivers report (shipment to a burial site)

NUREG/BR-0006, Rev. 9 C-2

Page break C-3 NUREG/BR-0006, Rev. 9

page break NUREG/BR-0006, Rev. 9 C-4

C-5 NUREG/BR-0006, Rev. 9 NUREG/BR-0006, Rev. 9 C-6 C-7 NUREG/BR-0006, Rev. 9 NUREG/BR-0006, Rev. 9 C-8 1 APPENDIX D 2

GLOSSARY

1 GLOSSARY 2

3 AccountabilityThe determination, and current record maintenance, of special nuclear 4 material and source material quantities associated with transfers, measured discards, 5 inventories, and inventory differences that might result from theft, diversion, or other unidentified 6 loss mechanisms.

7 8 Agreement StateA State that has signed an agreement with the U.S. Nuclear Regulatory 9 Commission under which the State regulates the use of byproduct, source, and small quantities 10 of special nuclear material in that State.

11 12 Book inventoryThe algebraic sum of the most recent physical inventory of the material 13 balance area and of all inventory changes that have occurred since the physical inventory was 14 taken.

15 16 Concise noteThe U.S. Department of Energy/U.S. Nuclear Regulatory Commission 17 (DOE/NRC) Form 740M is used to provide additional information concerning nuclear material 18 transaction, material balance, or inventory data supplied by facilities engaged in the import or 19 export of nuclear materials, by facilities selected under the provisions of the agreement between 20 the United States and the International Atomic Energy Agency for the application of safeguards 21 in the United States, or by any facility that would like to transmit any additional explanatory 22 nuclear material information.

23 24 DOE-ownedNuclear material that, while used by a licensee as part of its activities, is actually 25 a U.S. Department of Energy (DOE)-owned asset. These materials may be bulk materials, 26 discrete radiation sources, or finished products. Such materials may represent a lease or loan 27 arrangement with DOE. Typically, the owner code G on shipping information (i.e., DOE/NRC 28 Form 741) and inventory documentation (i.e., DOE/NRC Forms 742 and 742C) identifies 29 DOE-owned materials. One way a licensee can determine whether nuclear material in its 30 possession is DOE-owned is to review the licensees DOE/NRC Form 741 documentation listing 31 the original receipt of the material. If such material is DOE-owned, the owner code G will 32 appear on the licensees portion of the form.

33 34 EURATOM (European Atomic Energy Commission)As of January 2019, an organization 35 consisting of the member countries Austria, Belgium, Bulgaria, Croatia, Cyprus, the Czech 36 Republic, Denmark, Estonia, Finland, France, Germany, Greece, Hungary, Ireland, Italy, Latvia, 37 Lithuania, Luxembourg, Malta, the Netherlands, Poland, Portugal, Romania, Slovakia ,

38 Slovenia, Spain, Sweden, and the United Kingdom.

39 40 Foreign obligated nuclear materialSource material or special nuclear material that is 41 subject to the terms and conditions of a peaceful use agreement, in accordance with 42 Section 123 of the Atomic Energy Act of 1954, into which the U.S. Government has entered with 43 another government or group of governments.

44 45 Highly enriched uraniumUranium enriched to 20 percent or greater in the isotope 46 uranium-235.

47 48 Holding accountTypically identified by four-character reporting identification symbols (RISs) 49 ending in the letter H assigned by the U.S. Nuclear Regulatory Commission. These accounts 50 usually acquired inventory from the shipment of licensed material from the primary RIS in use by D-1 NUREG/BR-0006, Rev. 9

1 the licensee. Typically, a small number of licensees have used these accounts for nuclear 2 materials not expected to be immediately processed, reprocessed, or disposed. However, the 3 licensed nuclear materials in holding accounts are still in the licensees possession and must be 4 included in inventories reported to the Nuclear Materials Management and Safeguards System.

5 6 Inventory difference (ID)The arithmetic difference between a book inventory and the 7 corresponding physical inventory that closes the material balance period. It is calculated by 8 subtracting the ending inventory (EI) and removals from inventory (R) from the beginning 9 inventory (BI) and additions to inventory (A) during the period between physical inventories.

10 Mathematically, ID can be expressed in the following way:

11 ID = (BI + A - R) - EI 12 13 where (BI + A - R) is the book inventory.

14 15 Inventory reconciliationThe adjustment of the book record quantity of elements and fissile 16 isotope weights to reflect the results of a physical inventory taking. In a broad sense, inventory 17 reconciliation involves the activities of calculating (1) the inventory difference (ID) for the 18 material balance period in question, (2) the uncertainty value associated with the ID, (3) the 19 active inventory for the period, and (4) any bias adjustment or prior period adjustment, or both, 20 associated with the ID value.

21 22 Low-enriched uraniumUranium enriched below 20 percent in the isotope uranium-235.

23 24 Material balance periodThe timespan to which a material or physical inventory pertains.

25 26 Nuclear Materials Management and Safeguards SystemThe national database and 27 information system for select nuclear materials controlled by the U.S. Government. This system 28 was created to support national safeguards and management objectives in domestic and 29 international programs. The system stores data on nuclear material transactions and 30 inventories and produces a wide range of printed reports for use by the U.S. Department of 31 Energy and the U.S. Nuclear Regulatory Commission and their licensees. The system is used 32 to satisfy the nuclear materials information requirements of agreements between the United 33 States and foreign entities. In addition, the system provides the reporting interface between 34 facilities selected under the provisions of the U.S./International Atomic Energy Agency 35 Safeguards Agreement.

36 37 Nuclear material outside facilitiesThe nuclear material that is not in a facility and that is 38 customarily used in amounts of one effective kilogram or less.

39 40 Physical inventoryA physical determination of the quantity of nuclear material on hand at a 41 given time. The methods of physical inventory and the associated measurements vary, 42 depending on the material to be inventoried and the process involved. A book inventory 43 between physical inventory takings can be calculated based on the physical inventory quantity 44 from the prior period together with all subsequent inventory changes associated with the 45 determination of that book inventory. The primary purpose of a physical inventory is to confirm 46 the absence of (or to detect) a loss, theft, or diversion of special nuclear material.

47 48 Reporting periodA period inclusive of defined dates (e.g., October 1, 2005, through 49 September 30, 2006). Each reporting period must begin the day after the previous reporting 50 period ended.

NUREG/BR-0006, Rev. 9 D-2

1 Reporting identification symbol (RIS)A unique combination of three or four characters that 2 the U.S. Department of Energy or the U.S. Nuclear Regulatory Commission assigns to each 3 reporting organization for the purpose of identification in the Nuclear Materials Management and 4 Safeguards System database.

5 6 Shipper-receiver difference (SRD)The weight difference for a shipment between the shipper 7 and receiver values, based on measurements.

8 9 Source materialUranium or thorium, or any combination thereof, in any physical or chemical 10 form, or ores that contain by weight 0.05 percent or more of uranium, thorium, or any 11 combination thereof. Source material does not include special nuclear material.

12 13 Special nuclear material (SNM)Plutonium, uranium-233, and uranium enriched in the 14 isotope 233 or 235.

15 D-3 NUREG/BR-0006, Rev. 9

1 APPENDIX E 2 U.S. DEPARTMENT OF ENERGY/U.S. NUCLEAR 3 REGULATORY COMMISSION FORM 740M, CONCISE NOTE, (BLANK) 4 AND 5 U.S. DEPARTMENT OF ENERGY/U.S. NUCLEAR 6 REGULATORY COMMISSION FORM 741, NUCLEAR MATERIAL 7 TRANSACTION REPORT (BLANK)

U.S. DEPARTMENT OF ENERGY/U.S. NUCLEAR REGULATORY COMMISSION FORM 740M, CONCISE NOTE, (BLANK) AND U.S. DEPARTMENT OF ENERGY/U.S. NUCLEAR REGULATORY COMMISSION FORM 741, NUCLEAR MATERIAL TRANSACTION REPORT (BLANK)

E-1 NUREG/BR-0006, Rev. 9

1 APPENDIX F 2 SUPPLEMENTAL INSTRUCTIONS FOR COMPLETING 3 BLOCKS 17, 18, 19, 20, AND 21 ON U.S. DEPARTMENT OF 4 ENERGY/U.S. NUCLEAR REGULATORY COMMISSION FORM 741

1 SUPPLEMENTAL INSTRUCTIONS FOR COMPLETING 2 BLOCKS 17, 18, 19, 20, AND 21 ON U.S. DEPARTMENT OF 3 ENERGY/U.S. NUCLEAR REGULATORY COMMISSION FORM 741 4

5 F-1. Introduction 6

7 Licensees must follow special procedures to implement some of the reporting requirements of 8 the U.S. Bilateral Agreements for Peaceful Nuclear Cooperation. These Agreements for 9 Cooperation are one means to satisfy Section 123 of the Atomic Energy Act of 1954, as 10 amended, and allow the U.S. nuclear industry to trade with foreign countries and entities. The 11 agreements require that the United States track and report foreign-obligated nuclear materials 12 and nuclear material produced from obligated material from these countries and entities. A 13 foreign obligation is a commitment by one government to another to treat nuclear materials, 14 nonnuclear materials, and equipment and components in a manner consistent with the 15 agreement signed by the two governments.

16 17 In addition to these Agreements for Cooperation, other international agreements require that the 18 United States track and report foreign-obligated nuclear materials and nuclear material 19 produced from obligated material from foreign suppliers. In accordance with the U.S./Russian 20 Agreement concerning the disposition of highly enriched uranium extracted from nuclear 21 weapons, the United States must track and report to Russia the imports, exports, and use of 22 former Soviet Union downblended highly enriched uranium. Under the Washington Agreement, 23 the United States must track and report nuclear material produced by URENCO enrichment 24 technology. The technology and material produced are to be used for peaceful purposes.

25 26 The exchange of obligations can occur only between like materials (i.e., material type (MT) 10, 27 50, 70, 81, E-1, E-2, E-3, or E-4) within the following constraints:

28 29

Obligations on like-for-like and fungible material reported in inventory for a reporting 30 identification symbol (RIS) code may be exchanged on site or with other domestic RIS 31 codes consistent with the operators commercial practices. No exchange of material 32 from one MT to another is allowed unless the U.S. Government provides written prior 33 approval. For example, downblending of E-3 enriched uranium that results in a lower 34 category (i.e., E-3 of obligated material to become E-1 material) requires written 35 approval of the U.S. Government. For this reason, facilities should notify the Nuclear 36 Materials Management and Safeguards System (NMMSS) whenever they are reporting 37 a foreign obligation exchange in which the material type code of the exchange does not 38 match the calculated material type code (i.e., E-1 obligated material becomes E-2 39 obligated material) because of rounding adjustments made for NMMSS reporting 40 (i.e., the calculated enrichment changes from < 5% to > 5% because of rounding).

41 42

The obligated material must be exchanged for similar material unless the 43 U.S. Government provides written prior approval. For example, irradiated material is not 44 eligible for obligation exchanges or swaps since it is not subject to fungibility, or 45 like-for-like, principles.

46 47

Obligation exchanges involving a U.S. Nuclear Regulatory Commission (NRC) licensee 48 and a U.S. Department of Energy (DOE) entity require written approval from both 49 agencies before the exchange.

F-1 NUREG/BR-0006, Rev. 9

1

Obligation exchanges between two parties must be for the same material quantities.

2 Additionally, the obligations exchanged must match (i.e., the obligation shipped or 3 removed by one participant is received or added by the second party to the 4 transaction).

5 6 Commercial practices allow a facility to conduct an obligations exchange to meet a contractual 7 requirement. Obligation exchanges are not meant to circumvent the United States international 8 agreements for peaceful use and nuclear cooperation with trading partners. Obligation 9 swapping should not be conducted for the purposes of removing obligations from natural 10 progression in the fuel cycle (e.g., swapping obligations to waste to create unobligated 11 nonwaste material). Obligations assigned to process-generated waste shall follow the 12 proportionality principle.

13 14 Facilities should also use special care to avoid a negative obligations balance. In accordance 15 with accounting principles for foreign obligations, NMMSS is not able to reconcile a negative 16 obligation balance. Reporting a negative obligations balance at the end of a material balance 17 period will result in the licensees inability to reconcile its annual inventory with NMMSS.

18 19 NMMSS can provide reports to facilities that calculate an obligations balance for a RIS code 20 based on the balance of transactions reported since the last reconciliation date. The 21 NMMSS-generated report may indicate a negative obligations balance for a facility on any given 22 reporting date because of the time delay in reporting shipments versus receipts; however, 23 NMMSS is not able to reconcile a facility for a material balance period until the foreign 24 obligations at the facility are balanced.

25 26 F-2. Imports 27 28 For U.S. facilities importing nuclear material with foreign obligations, the appropriate 29 Government agency will supply the relevant obligation information. The notification will provide 30 the information necessary to complete blocks 17-21, if applicable:

31 32

For imports, the foreign obligation information can be (1) the country or entity from which 33 the nuclear material was shipped, (2) the country or entity attaching third-party 34 obligations, or (3) a combination of both. In most cases, for imports from a country that 35 has made the entire shipment subject to the agreement, the total import quantity will be 36 obligated. If only a portion of the shipment is subject to an agreement (third-party 37 obligation), the documentation will clearly specify that quantity.

38 39 For the completion of blocks 17-21, the Government notification will supply (1) the country or 40 entity of obligation, (2) the MT, and (3) the amount obligated. (See Table F-1 for country and 41 entity codes. See Table F-2 for reportable obligated MTs and quantities.)

NUREG/BR-0006, Rev. 9 F-2

Obligation Code Obligation Entity, as of December 1, 2018 31 Australia 32 Canada 33 European Atomic Energy Commission (EURATOM)*

34 Japan 35 Peoples Republic of China 36 Russia 37 Switzerland 38 Argentina 39 Brazil 40 Chile 41 India 42 Republic of Korea 43 Taiwan 44 Vietnam, Socialist Republic of 65 Japan/Russia 66 EURATOM/Russia 67 Australia/Japan/Russia 68 Canada/Japan/Russia 69 EURATOM/Japan/Russia 70 LES Centrifuge Enrichment/Japan 71 Australia/Japan/LES Centrifuge Enrichment 72 Canada/Japan/LES Centrifuge Enrichment 73 EURATOM/Japan/LES Centrifuge Enrichment 74 Australia/EURATOM/Japan/LES Centrifuge Enrichment 75 Canada/EURATOM/Japan/LES Centrifuge Enrichment 76 China/Japan/LES Centrifuge Enrichment 77 Australia/Canada/EURATOM/Japan/LES Centrifuge Enrichment 81 Australia/Japan 82 Canada/Japan 83 EURATOM/Japan 84 Australia/EURATOM/Japan 85 Canada/EURATOM/Japan 86 China/Japan 87 Australia/Canada 88 Australia/Canada/EURATOM 90 LES Centrifuge Enrichment F-3 NUREG/BR-0006, Rev. 9

Obligation Code Obligation Entity, as of December 1, 2018 91 Australia/EURATOM 92 Canada/EURATOM 93 LES Centrifuge Enrichment/Australia 94 LES Centrifuge Enrichment/Canada 95 LES Centrifuge Enrichment/EURATOM 96 Australia/Russia 97 Canada/Russia WR Former Soviet Union Weapons material

EURATOM comprises 28 member states: Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, France, Germany, Greece, Hungary, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, the Netherlands, Poland, Portugal, Romania, Slovakia, Slovenia, Spain, Sweden, and the United Kingdom.

Note: For any other obligation codes, contact NMMSS for further instructions.

Table F-2 Reportable MTs and Source and Special Nuclear Material Type Domestic Code IAEA Code Normal uranium MT 81 N Depleted uranium MT 10 D Thorium MT 88 T Plutonium MT 50 P Enriched uranium MT 20 EG Uranium-233 MT 70 EK

Licensees should complete the obligation information as follows:

Block 17: (FOREIGN OBLIGATION) LINE NUMBERThe shipper will enter a sequential number beginning with the number 1 for each obligated country or material. If there is more than one separate obligation or more than one obligated MT, enter the appropriate numbers in the subsequent lines.

Block 18: COUNTRY OF OBLIGATIONFor each line, enter the obligation code in Table F-1 that represents the country or entity of obligation.

Block 19: MATERIAL TYPEFor each line, enter the code in Table F-2 that represents the material type for the obligated nuclear material. For imports and exports of obligated nuclear material, report the material type code using the appropriate International Atomic Energy Agency (IAEA) code. obligated.

Block 20: OBLIGATED ELEMENT WEIGHTFor each line, enter the weight obligated in the reportable quantity specified in Table F-2. Enter positive or negative values appropriately to account for material addition or removal, respectively.

NUREG/BR-0006, Rev. 9 F-4

Block 21: OBLIGATED ISOTOPE WEIGHT (FOR ENRICHED URANIUM ONLY)For each line of enriched uranium, enter the obligated isotope weight in grams. (Obligated uranium-235 is restricted to uranium enriched to 5 percent or less, unless the U.S. Government authorizes or approves higher enrichment.) Enter positive or negative values to appropriately account for material addition or removal, respectively.

F-3. Domestic Transfers, Internal Transactions, and Exports For U.S. facilities shipping or exporting material with foreign obligations, or for the reporting of onsite gains and losses, state the obligations on the material as such in blocks 17-21:

For domestic transfers, fill out blocks 17-21 as for imports (Section 2 above). However, the obligation information will not be supplied by a government notification. The U.S. shipper will assign the appropriate obligations on the material, if any, and complete the line number, country/entity of obligation, MT, and obligated weight, if applicable. The U.S. receiver will complete the matching obligation information as assigned by the shipper.

For internal transactions (e.g., burnup, decay, production, measured discards, accidental losses or gains, category changes, fission and transmutation, inventory differences),

enter the line number, country/entity of obligation, MT, and obligated weights, if applicable, for the material.

The domestic facility must obtain the information necessary to complete DOE/NRC Form 741, Nuclear Material Transaction Report, for the foreign facility for all imports of SNM and source material. In the case of exports, the shipper initiates a DOE/NRC Form 741 report, and the NMMSS will generate a DOE/NRC Form 741 report using shipper information. However, if a significant shipper-receiver difference is identified between the U.S. shipper and foreign receiver (as defined in Title 10 of the Code of Federal Regulations (10 CFR) 74.31, Nuclear Material Control and Accounting for Special Nuclear Material of Low Strategic Significance, 10 CFR 74.43, Internal Controls, Inventory, and Records, or 10 CFR 74.59, Quality Assurance and Accounting Requirements, for special nuclear material, or if there is an indication of loss, theft, or diversion of quantities of source material, as delineated in 10 CFR 40.64(c)(1), the shipper is required to document the foreign partys values in a DOE/NRC Form 741 report to the NMMSS. Submittal for a foreign facility does not indicate a responsibility for the other facility or its shipment and receipt of materials.

Several facilities have agreed to receive and use various obligated items (e.g., equipment, nonnuclear material, and technology). When the obligated item is used with nuclear material, the facility is normally responsible for adding the obligation that is assigned to the item to the nuclear material used in or processed through the use of the obligated item. The addition of the items obligation to the nuclear material must be reported to NMMSS. The facilitys timing and process for reporting an items obligations to the nuclear material used in or produced through use of the obligated item are typically reflected in documented correspondence between the NRC and the facility. Licensees with obligated items should contact the NRC or DOE with questions related to obligated items used at their sites.

F-5 NUREG/BR-0006, Rev. 9

1 APPENDIX G 2 SUPPLEMENTAL INSTRUCTIONS FOR POSSESSORS OF NUCLEAR 3 MATERIAL OUTSIDE FACILITIES REPORTING PURSUANT TO THE 4 MODIFIED SMALL QUANTITIES PROTOCOL

1 SUPPLEMENTAL INSTRUCTIONS FOR POSSESSORS OF NUCLEAR 2 MATERIAL OUTSIDE FACILITIES REPORTING PURSUANT TO THE 3 MODIFIED SMALL QUANTITIES PROTOCOL 4

5 G-1. Introduction 6

7 Information Circular NFCIRC/366, Agreement of 18 February 1989 between the United States of 8 America and the International Atomic Energy Agency for the Application of Safeguards in 9 Connection with the Treaty for the Prohibition of Nuclear Weapons in Latin America 10 (U.S./International Atomic Energy Agency (IAEA) Caribbean Territories Safeguards Agreement),

11 is an agreement between the U.S. Government and IAEA for the application of safeguards in 12 connection with the Treaty for the Prohibition of Nuclear Weapons in Latin America (Tlatelolco 13 Treaty). Under Article 60 of INFCIRC/366, the United States is obligated to submit an initial 14 inventory report on all nuclear material in its Caribbean territories to IAEA. Nuclear material, by 15 IAEA definition, includes all uranium, plutonium, and thorium holdings in the relevant territories in 16 any chemical or physical form, or combination thereof. U.S. Caribbean territories include Puerto 17 Rico and the U.S. Virgin Islands, as defined in Title 10 of the Code of Federal Regulations 18 (10 CFR) 75.4, Definitions. The United States fulfills this reporting commitment via information 19 collected in concert with the regulations contained in 10 CFR Part 75, Safeguards on Nuclear 20 MaterialImplementation of Safeguards Agreements between the United States and the 21 International Atomic Energy Agency. This appendix provides instruction for licensees reporting 22 inventory and information under 10 CFR 75.13, Communication of Information to the 23 International Atomic Energy Agency (IAEA), 10 CFR 75.32, Initial Inventory Report, 24 10 CFR 75.34, Inventory Change Reports, and 10 CFR 75.35, Material Status Reports, under 25 INFCIRC/366.

26 27 G-2. General Instructions 28 29 The instructions in this appendix apply only to possessors of nuclear material outside facilities 30 (possessors), as defined in 10 CFR 75.4. Nuclear material outside facilities means nuclear 31 material that is not in a facility and that is customarily used in amounts of one effective kilogram 32 or less. Possessors are required to complete U.S. Department of Energy/U.S. Nuclear 33 Regulatory Commission (DOE/NRC) Form 741, Nuclear Material Transaction Report, when 34 they ship, receive, or adjust their physical inventory of source or special nuclear material (SNM).

35 Possessors may need to provide additional information for their inventory adjustments. The 36 additional information is reported using DOE/NRC Form 740M, Concise Note. Unless 37 otherwise specified by license conditions, possessors shall dispatch such reports no later than 38 the close of business the next working day for shipments and within 10 days after receipt of 39 material, in accordance with the reporting requirements in 10 CFR 40.64, Reports, 40 10 CFR 74.15, Nuclear Material Transaction Reports, and 10 CFR 75.34. The reports must be 41 filed as specified in the facility attachment (FA) for possessors of nuclear material outside 42 facilities, which the NRC will provide to applicable licensees required to report in accordance with 43 10 CFR Part 75.

44 45 Possessors are required to complete both the shippers data and receivers data blocks of 46 DOE/NRC Form 741 for imports received from outside the U.S. Caribbean territories.

47 48 Possessors are also required to report to the Nuclear Material Management and Safeguards 49 System (NMMSS) all receipts, transfers, and inventory adjustments of DOE-owned, -loaned, 50 or -leased material in their possession. Reports to the NMMSS for all DOE-owned, -loaned, G-1 NUREG/BR-0006, Rev. 9

1 or -leased material must follow the DOE reporting requirements specified in DOE Order 470.4B, 2 Safeguards and Security Program, and DOE Order 474.2, Nuclear Material Control and 3 Accountability.

4 5 Under 10 CFR 75.12, possessors shall provide the possessors name and mailing address, 6 physical location of the nuclear material, use of the nuclear material, and nuclear material 7 accounting procedures, including organizational responsibilities for accountancy and control, on 8 DOE/NRC Form 740M. DOE/NRC Form 740M will also be submitted to define transactions 9 greater than 0.0 kilogram but less than 0.5 kilogram of source material and greater than 0.0 gram 10 but less than 0.5 gram of SNM, which are rounded to a zero value when reported by the 11 NMMSS.

12 13 G-2.1. Instructions for Completing DOE/NRC Form 741 Reports 14 15 Licensees should complete DOE/NRC Form 741 in accordance with the following instructions:

16 17 1. SHIPPERS RISEnter the shippers RIS.

18 19 2. RECEIVERS RISEnter the receivers RIS.

20 21 3. TRANSACTION NUMBEREnter a number for the same shipper-receiver combination.

22 Numbers in the series must be consecutive (i.e., no skipped numbers).

23 24 4. CORRECTION NUMBERThis block is used to identify a transaction that is an 25 adjustment to a previously submitted DOE/NRC Form 741. Leave this block blank for an 26 original submission of a DOE/NRC Form 741. Use consecutive numbers, starting with 1, 27 for adjustments. For corrections requiring changes only to NMMSS data (and not to the 28 other partys data), use letters (A, B, etc.) instead of numbers. See Chapter 4 of this 29 NUREG.

30 31 5. PROCESS CODEEnter process code A, C, or D.

32 33

A refers to the initial entry of data.

34 35

C refers to the replacement of data. With the concurrence of the other party to 36 the transaction, up to an entire dataset may be replaced at any time before the 37 close of the NMMSS processing period in which the initial submittal was made.

38 39

D refers to the deletion of data. An entire dataset may be deleted at any time 40 before the close of the NMMSS processing period in which the initial submittal 41 was made, with the concurrence of the other party to the transaction.

42 43 6. ACTION CODEUse this block to identify the type of transaction being reported on 44 DOE/NRC Form 741, as specified in 6a and 6b, below.

45 46 6a. SHIPPEREnter one of the following action codes:

47 48 A The shipper is reporting a transaction that has taken place between the stated 49 parties.

NUREG/BR-0006, Rev. 9 G-2

1 C The shipper is adjusting the initial DOE/NRC Form 741 for the shipment or a 2 previous adjustment to the same initial report, acknowledging an adjustment 3 originated by the receiver, or accepting and agreeing with the receivers 4 adjustment to DOE/NRC Form 741. See Chapter 4 of this NUREG.

5 6 M The shipper is reporting a one-party transaction or an adjustment to a one-party 7 transaction (e.g., an onsite gain or loss of material as the result of burnup, 8 production, measured discards, category changes). This is also known as an 9 onsite adjustment. DOE/NRC Form 742, Material Balance Report, shows such 10 inventory changes. See Chapter 3 of this NUREG.

11 12 R The shipper is identifying a one-party transaction to delete an obligated amount of 13 material from the facilitys inventory. This code is applicable only to former Soviet 14 Union weapons (WR) material after the fresh low-enriched uranium (LEU) is 15 irradiated in a reactor core. Use of this code implies a removal of WR from LEU; 16 therefore, the shipper shall enter the value as a positive number.

17 18 X The shipper is reporting a transfer of obligation that involves no physical 19 movement of material. No obligation transfers of WR material are permitted. No 20 shipper (block 26) or receiver (block 27) detail data need to be entered.

21 22 6b. RECEIVEREnter one of the following action codes:

23 24 B The receiver is reporting receipt of a shipment and acceptance of the weights the 25 shipper reported on DOE/NRC Form 741 as final receipt values.

26 27 E The receiver is reporting receipt of a shipment, that independent measurements 28 were made, and that the values resulting from the independent measurements are 29 being reported.

30 31 D The receiver is adjusting the initial DOE/NRC Form 741 that documented the 32 receipt of a shipment or a previous adjustment to the same initial report, 33 acknowledging an adjustment originated by the shipper, or accepting and 34 agreeing with the shippers adjustment to DOE/NRC Form 741. See Chapter 4 of 35 this NUREG.

36 37 M The receiver is reporting a one-party transaction or an adjustment to a one-party 38 transaction (e.g., an onsite gain or loss of material as the result of burnup, 39 production, measured discards). This is also known as an onsite adjustment.

40 DOE/NRC Form 742 shows such inventory changes. See Chapter 3 of this 41 NUREG.

42 43 N The receiver is reporting physical receipt of a shipment but will delay the quantity 44 determinations for the shipment of material for more than 10 days but no more 45 than 60 days for source and LEU, or no more than 45 days for highly enriched 46 uranium. When the determinations are completed, the receiver will prepare a 47 DOE/NRC Form 741 with a B or E action code to report the receivers quantity 48 determinations. Use of this code (N) requires no entry of detailed data (block 27) 49 by the receiver.

G-3 NUREG/BR-0006, Rev. 9

1 Y The receiver is reporting an acceptance of transfer of obligation that involves no 2 physical movement of material. Do not enter shipper (block 26) or receiver 3 (block 27) detailed data.

4 5 7. DOCUMENTATIONLeave blank.

6 7 8. SHIPPERLeave blank.

8 9 9. RECEIVERLeave blank.

10 11 10. NUMBER OF DATA LINESAfter completing block 26 (SHIPPERS DATA) or block 27 12 (RECEIVERS DATA), enter the total number of detail lines in block 26 or 27. The 13 shipper and receiver must report the same number of entries, and the material types 14 must agree line for line.

15 16 11. NATURE OF TRANSACTIONLeave blank.

17 18 12. SHIPPED FOR ACCOUNT OFLeave blank.

19 20 13. SHIPPED TO ACCOUNT OFLeave blank.

21 22 14. TRANSFER AUTHORITYLeave blank.

23 24 15. EXPORT OR IMPORT TRANSFERSFor all exports to or imports from countries outside 25 of the United States and its Caribbean territories, enter the NRC export or import license 26 number under which SNM or source material is being transferred. If the NRC general 27 license authorizes transfers, enter GEN-LIC. In some cases, the transfer may be exempt 28 from licensing, such as exports of IAEA safeguards samples; in that case, enter 29 LIC-EXEMPT. If several batches authorized by separate NRC import or export licenses 30 are combined into one shipment, complete a separate DOE/NRC Form 741 for the 31 portion for each NRC import or export license.

32 33 16. MATERIAL TYPE AND DESCRIPTIONLeave blank.

34 35 17. (FOREIGN OBLIGATION) LINE NUMBEREnter a sequential line number beginning 36 with the number 1.

37 38 18. COUNTRY OF OBLIGATIONEnter the two-character country or entity designation from 39 Table 1 in Appendix F to this NUREG for the line numbers entered in block 17. See 40 Appendix F for further instructions.

41 42 19. MATERIAL TYPEEnter the material type to which the obligation is attached. Refer to 43 Table 2 in Appendix F to this NUREG. The only material types (see block 26g) to be 44 reported are 10, 20, 50, 70, 81, and 88.

45 46 20. OBLIGATED ELEMENT WEIGHTEnter the weight of the obligated amount of the 47 element for material types 10, 50, 81 or 88 and the element weight associated with the 48 obligated enriched uranium. See Appendix F for further instructions. For onsite inventory 49 adjustments or corrections, enter positive or negative values to appropriately account for 50 material addition or removal, respectively. Report a positive weight on reports with an 51 action code of A, B, E, N, R, X, or Y. All others can be reported with a positive or NUREG/BR-0006, Rev. 9 G-4

1 negative weight. The sum of obligated element weight for a material type cannot exceed 2 the sum of the element weight value listed in the detail lines (see blocks 26n and 27n).

3 4 21. OBLIGATED ISOTOPE WEIGHTFOR ENRICHED URANIUM ONLYEnter the weight 5 of the obligated amount of the isotope uranium (U)-233 or U-235. For onsite inventory 6 adjustments or corrections, enter positive or negative values to appropriately account for 7 material addition or removal, respectively. Report a positive weight on reports with an 8 action code of A, B, E, N, R, X, or Y. All others can be reported with a positive or 9 negative weight. The sum of obligated isotope weight for a material type cannot exceed 10 the sum of the isotope weight value listed in the detail lines (see block 26q or 27q) 9.

11 12 22. ACTION DATEFollow the instructions below for blocks 22a through 22e.

13 14 22a. SHIPMENT (entry required by shipper)Enter the date the nuclear material is shipped.

15 16 22b. SHIPPERS CORRECTION (entry required by shipper)If the DOE/NRC Form 741 is an 17 acknowledgment of or a correction to a previously submitted DOE/NRC Form 741, enter 18 the date the correction is recorded or the acknowledgment is made, as appropriate.

19 However, the date of an acknowledgment must not precede the action date listed on the 20 receivers correction. Note that if a date preceding the current unreconciled period is 21 used, the effect of the correction will be reflected in the current period, not the previous 22 period, or periods, covered by postdated documents.

23 24 22c. RECEIPT (entry required by receiver)Enter the date the nuclear material is received.

25 26 22d. RECEIVERS MEASUREMENT (entry required by receiver)This entry is required only if 27 the receivers action code is E. Enter the date the nuclear material is measured by the 28 receiver.

29 30 22e. RECEIVERS CORRECTION (entry required by receiver)If the document is an 31 acknowledgment or a correction to a previously issued transaction report, enter the date 32 the correction is recorded or the acknowledgment is made, as appropriate. However, the 33 date of an acknowledgment must not precede the action date listed on the receivers 34 correction. Note that if a date preceding the current unreconciled period is used, the 35 effect of the correction will be reflected in the current period, not the previous period, or 36 periods, covered by postdated documents.

37 38 Note that in the case of all imports (and for some exports; see Section 1.3 of this 39 NUREG), licensees must complete a separate DOE/NRC Form 741 to document the 40 foreign party action, including action dates in blocks 22a and 22c, as applicable.

41 42 23a. MISCELLANEOUSLeave blank.

43 44 23b. CONCISE NOTE ATTACHEDLeave blank.

45 46 23c. UK REPORTABLEFacilities reporting material transfers involving facilities in the United 47 Kingdom must indicate in this block (23c) whether the shipment is for peaceful nuclear 9 Note that for enriched uranium, the foreign obligation is assigned to the U-233 and U-235 isotopes. Report the quantity of uranium element that contains the obligated U-233 and U-235 in block 20.

G-5 NUREG/BR-0006, Rev. 9

1 activities (reportable to IAEA) or for nonpeaceful nuclear activities (not reportable to 2 IAEA). Insert R to indicate that the transfer should be reported to IAEA or N to 3 indicate that the transfer should not be reported to IAEA.

4 5 Note that typically all licensee shipments to and from the United Kingdom are reportable.

6 7 24. TOTAL GROSS WEIGHTEnter the total gross weight of the shipment rounded to the 8 nearest kilogram. An approximate or estimated gross weight rounded to the nearest 9 kilogram is acceptable. Make no entry for M action code transactions, receipts, obligation 10 transfers, and correction documents.

11 12 25. TOTAL VOLUME (WASTE TRANSFERS ONLY)For transfers of nuclear material to 13 nuclear waste sites (i.e., receiver RIS begins with the letter V), enter the volume of the 14 material to be buried, stated in cubic feet rounded to the nearest cubic foot. An entry in 15 block 25 is not required for transfers to nuclear laundry services.

16 17 26. SHIPPERS DATAEnter the shippers data in block 26. Possessors of nuclear material 18 outside facilities must provide an entry in this block even when documenting receipt of 19 material in the RECEIVERS DATA (field 27). Information in this block is needed to 20 facilitate a match between shipper and receiver reporting to the NMMSS. Instructions for 21 completing this block are provided in blocks 26a through 26s.

22 23 Enter shipper and receiver measurement data on DOE/NRC Form 741 for each batch of 24 material. A batch is a portion of nuclear material that is handled as a unit for accounting 25 purposes at a possessors location and whose composition and quantity are defined by a 26 single set of specifications or measurements. The batch may be in bulk form or 27 contained in a number of separate items. Otherwise, material being transferred may be 28 listed on one line of DOE/NRC Form 741 if the material is all of the same material type, 29 composition, ownership, and weight percent of isotope (except as noted in the next 30 paragraph). Material differing in any of these data elements must be listed on separate 31 lines.

32 33 Two or more lines may be necessary to describe a single batch. If a batch consists of 34 several material types, several consecutive lines should be used to describe the batch.

35 The batch name should be repeated on all lines used to describe a single batch. The 36 number of items is also repeated in block 26e on all lines with the same batch name.

37 38 26a. BACK-REFERENCE NUMBEREnter the appropriate back-reference number 39 adjustments to previously completed DOE/NRC Form 741 documents.

40 41 Licensees must enter the back-reference numbers for action codes C and D and for 42 action code M when reporting adjustments. Licensees must report both the 43 back-reference change digit and the back-reference line number.

44 45 The back-reference change digit represents the change digit of the document being 46 corrected for a nullifying entry and the change digit of the document now being completed 47 for a correcting entry. For example, if the DOE/NRC Form 741 being corrected is the 48 original, or if the line being entered represents an addition only, enter zero.

49 50 The back-reference line number represents the line number of the line being corrected for 51 a nullifying entry and the line number of the corresponding nullifying line for a correction NUREG/BR-0006, Rev. 9 G-6

1 entry. If the line being entered represents an addition only or represents a net change, 2 enter zeros.

3 4 26b. LINE NUMBERIn providing detailed measurement data, enter a line number beginning 5 with 1 for the first line of detailed shippers data and increase the line number by one for 6 each additional line of detailed shippers data entered on the form. When two or more 7 lines of measurement data refer to a single batch, repeat the unique batch name for each 8 line of the batch data.

9 10 26c. TYPE OF INVENTORY CHANGEReport all changes to inventory that meet the 11 reporting criteria on DOE/NRC Form 741.

12 13 Appendix B to this NUREG explains the inventory change type codes and indicates 14 whether they are to be entered in block 26c. Enrichment facilities may use the two-digit 15 numerical value for indicating a change type or proceed as directed by the NRC. When 16 shipping to a V RIS, the shipper must use inventory change type code 74. A measured 17 discard can be documented as an onsite transfer, a discard to a pond/lagoon, or a 18 transfer to a holding area. Discharges to a lagoon and movement to holding areas are 19 documented with one of the following suffixes attached to the RIS:

20 21

Use L when material is discarded into a pond or lagoon.

22 23

Use H when material is transferred to a holding area (see the term holding 24 account in the glossary in Appendix D to this NUREG) at the facility pending 25 possible shipment off site for disposal.

26 27 Note that the use of a holding area or lagoon account requires the establishment of the account 28 RIS code and prior approval by the NRC.

29 30 The shipper should enter its RIS in block 1 (SHIPPERS RIS) and the same RIS in 31 block 2 (RECEIVERS RIS), but append an L or H to the receivers RIS as appropriate.

32 For example, if a facility with RIS XYZ discards material to a lagoon, the transaction on 33 DOE/NRC Form 741 would be from XYZ to XYZL.

34 35 26d. BATCH NAMEEnter a name or number, or a combination of both, that identifies the 36 batch of material being shipped (i.e., serial number of device). The shipper or receiver 37 shall enter a name that identifies a unique portion of nuclear material handled as a unit 38 for accounting purposes. The batch name must exclude special characters (e.g., #, :, /)

39 and must not exceed 16 characters.

40 41 In the case of an import, the receiver must document the shippers activity and use the 42 same batch name as the shipper used.

43 44 When two or more lines of measurement data refer to a single batch, repeat the unique 45 batch name for each line of the batch data.

46 47 26e. NUMBER OF ITEMSEnter the number of similar items of which the line entry consists 48 (e.g., cylinders, packs, drums, bird cages, bottles, tank vessels). In the case of a transfer 49 of bulk material, enter the number 1. Leave blank if an M action code is used.

G-7 NUREG/BR-0006, Rev. 9

1 26f. PROJECT NUMBERIf reporting DOE-owned material, and a project number is 2 applicable, provide the project number in this field. Otherwise, leave blank.

3 4 26g. MATERIAL TYPEEnter the appropriate SNM or source material type code from the list 5 below.

6 Imports Domestic Transfers into/Exports out of within Caribbean Description Reporting Units the Caribbean Territories Territories 10 D Depleted uranium Kilogram 20 EG Enriched uranium Gram 50 P Plutonium Gram 70 EK U-233 Gram 81 N Normal uranium Kilogram 83 10 Pu Pu-238 1/10 Gram 88 T Thorium Kilogram Uranium in 89 No code Gram cascade 7

8 9 26h. COMPOSITION/FACILITY CODEEnter the appropriate code from the list provided in 10 the facility attachment for possessors of nuclear material outside facilities.

11 12 Note: In accordance with 10 CFR 75.11, Location Information, the licensee should 13 communicate to the NRC any change in operations or processes that would result in any 14 changes in, additions to, or deletions from the list.

15 16 26i. OWNER CODEThis code identifies the ownership of the material at the time it was in 17 the shippers possession. Enter the appropriate code from the following:

18 19 G DOE-owned 20 J Not DOE-owned 21 22 Refer to the glossary in Appendix D to this NUREG for a description of DOE-owned 23 material.

24 25 26j. KEY MEASUREMENT POINT (KMP)Enter the appropriate code from the list provided 26 in the locations outside facility attachment.

27 28 26k. MEASUREMENT IDENTIFICATION (see 26j)Enter the appropriate code from the list 29 provided in the locations outside facility attachment.

30 31 26k1. BASIS Enter the appropriate code from the list provided in the locations outside facility 32 attachment.

10 Report as Pu-238 as material type 83 if the contained Pu-238 is greater than 10 percent of total plutonium by weight; otherwise, report as plutonium.

NUREG/BR-0006, Rev. 9 G-8

1 26k2. OTHER MEASUREMENT POINT (OMP)Enter the appropriate code from the list 2 provided in the locations outside facility attachment.

3 4 26k3. MEASUREMENT METHODEnter the appropriate code from the list provided in the 5 locations outside facility attachment.

6 7 26l. GROSS WEIGHTLeave blank.

8 9 26m. NET WEIGHTLeave blank.

10 11 26n. ELEMENT WEIGHTEnter the weight of the contained SNM or source material rounded 12 to the quantities reported below.

13 Material Reporting Units on Form 741 Plutonium or uranium Nearest whole gram enriched in U-235 or U-233 Pu-238 Nearest gram or 1/10 gram Source material Nearest kilogram 14 15 If the quantity to be entered is equal to or greater than 0.5 of the reporting unit, round up 16 the quantity to the next whole reporting unit. If the quantity to be entered is less than 0.5 17 of the reporting unit, round down the quantity to the next whole reporting unit.

18 19 Possessors with greater than 0.0 kilogram but less than 0.5 kilogram of source material 20 or greater than 0.0 gram but less than 0.5 gram of SNM, either of which are rounded to a 21 zero value when reported, shall provide a DOE/NRC Form 740M that includes the actual 22 weights.

23 24 26o. ELEMENT LIMIT OF ERRORLeave blank.

25 26 26p. WEIGHT % ISOTOPEEnter the weight percent of the isotope U-235 contained in either 27 enriched uranium or depleted uranium. Make no entry for U-235 in natural uranium. If 28 plutonium, enter the weight percent of the isotope plutonium(Pu)-240. If Pu-238, enter 29 the weight percent of the isotope Pu-238. Report weight percent to at least two but not 30 more than four decimal places, depending on the accuracy of the measurement method 31 (for example, XX.XXXX%). For U-233, enter the parts per million of U-232. For 32 depleted uranium with an enrichment of 0.5 percent or less, if enrichment is unknown, 33 enter 0.3%. This column does not apply for normal uranium or thorium. Use separate 34 lines to report material of different enrichments. This block (26p) does not apply to 35 thorium. Use separate lines to report material of different enrichments.

36 37 26q. ISOTOPE WEIGHTEnter the isotope weight. For enriched uranium or U-233, enter the 38 weight to the nearest gram of U-235 or U-233, as appropriate. If plutonium, enter the sum 39 of Pu-239 and Pu-241 to the nearest gram. If Pu-238, enter the weight of the isotope 40 Pu-238 to the nearest one-tenth of a gram. If natural or depleted uranium, enter the 41 weight to the nearest gram of U-235. Make no entry for source material.

G-9 NUREG/BR-0006, Rev. 9

1 If the quantity to be entered is equal to or greater than 0.5 of the reporting unit, round up 2 the quantity to the next whole reporting unit. If the quantity to be entered is less than 0.5 3 of the reporting unit, round down the quantity to the next whole reporting unit.

4 Possessors are to provide a DOE/NRC Form 740M that includes the actual isotope 5 weights.

6 7 26r. ISOTOPE LIMIT OF ERRORLeave blank.

8 9 26s. SIGNATURE OF AUTHORIZED OFFICIAL AND DATE SIGNEDIf submitted on paper, 10 an authorized representative of the licensee must sign and date the report. Otherwise, 11 no entry is required.

12 13 Each licensee must establish internal procedures to ensure that the information provided 14 in the report is accurate and that only authorized licensee staff has prepared and issued 15 the report.

16 17 Proprietary information must be included when necessary to provide an adequate 18 response. An application to withhold such information from public disclosure may be 19 made and will be dispositioned in accordance with the provisions of 10 CFR 2.390, 20 Public Inspections, Exemptions, Requests for Withholding. If any of this information is 21 of particular sensitivity, a request may be made that such information not be transmitted 22 to IAEA. Such a request must refer to and conform with 10 CFR 75.13.

23 24 27. RECEIVERS DATAEnter the receivers data in block 27. Possessors of nuclear 25 material outside facilities that receive imports from outside the U.S. Caribbean territories 26 must provide an entry in both the SHIPPERS DATA (field 26) and the RECEIVERS 27 DATA (field 27.) Information in this field is needed to facilitate a match between the 28 shipper and receiver reporting to the NMMSS. Enter shipper and receiver measurement 29 data on DOE/NRC Form 741 for each batch of material.

30 31 A batch is a portion of nuclear material that is handled as a unit, for accounting purposes, 32 at a possessors location and whose composition and quantity are defined by a single set 33 of specifications or measurements. The batch may be in bulk form or contained in a 34 number of separate items. Material being transferred may be listed on one line of 35 DOE/NRC Form 741 if the material is all of the same material type, composition, 36 ownership, and weight percent of isotope (except as noted in the next paragraph). List 37 material differing in any of these data elements on separate lines.

38 39 Two or more lines may be necessary to describe a single batch (e.g., depleted uranium in 40 shielding). If a batch consists of several types of nuclear material, use several 41 consecutive lines to describe the batch. Repeat the batch name on all lines used to 42 describe a single batch. In block 27e, also repeat the number of items on all lines with 43 the same batch name.

44 45 The above general rules for grouping or batching material for reporting purposes also 46 apply to licensees reporting imports or exports in accordance with 10 CFR Part 40, 47 Domestic Licensing of Source Material, or 10 CFR Part 74, Material Control and 48 Accounting of Special Nuclear Material. Batch names are optional for other transactions 49 reported in accordance with 10 CFR Part 40 or 10 CFR Part 74.

50 51 27a. BACK-REFERENCE NUMBERMust match the shippers value. See block 26a.

NUREG/BR-0006, Rev. 9 G-10

1 27b. LINE NUMBERMust match the shippers value. See block 26b.

2 3 27c. TYPE OF INVENTORY CHANGEMust match the shippers value. See block 26c.

4 5 27d. BATCH NAMESee block 26d.

6 7 27e. NO. OF ITEMSSee block 26e.

8 9 27f. PROJECT NUMBERSee block 26f.

10 11 27g. MATERIAL TYPEMust match the shippers value. See block 26g.

12 13 27h. COMPOSITION/FACILITY CODESee block 26h.

14 15 27i. OWNER CODEDescribes the material ownership at the time it comes into the 16 receivers possession. See block 26i.

17 18 27j. KEY MEASUREMENT POINTSee block 26j.

19 20 27k. MEASUREMENT IDENTIFICATIONSee block 26k.

21 22 27l. GROSS WEIGHTSee block 26l.

23 24 27m. NET WEIGHTSee block 26m.

25 26 27n. ELEMENT WEIGHTSee block 26n.

27 28 27o. ELEMENT LIMIT OF ERRORSee block 26o.

29 30 27p. WEIGHT % ISOTOPESee block 26p.

31 32 27q. ISOTOPE WEIGHTSee block 26q.

33 34 27r. ISOTOPE LIMIT OF ERRORSee block 26r.

35 36 27s. SIGNATURE OF AUTHORIZED OFFICIAL AND DATE SIGNEDSee block 26s.

37 38 G-2.2. Preparation of DOE/NRC Form 741 in Computer-Readable Format 39 40 NMMSS Report D-24, Personal Computer Data Input for NRC Licensees, provides instructions 41 for preparing DOE/NRC Form 741 in computer-readable format as required for submittals.

42 43 G-2.3 Distribution DOE/NRC Form 741 44 45 Each shipper of reportable quantities of SNM or source material must dispatch a DOE/NRC 46 Form 741, as described below, no later than the close of business the next working day after the 47 shipment. Burials are reported when shipped. The burial site operator must prepare a 48 DOE/NRC Form 741 and transmit it to the NMMSS to document receipt and disposal.

49 50 Each receiver of reportable quantities of SNM or source material must dispatch a DOE/NRC 51 Form 741, as described below, no later than 10 working days after receipt of the shipment.

G-11 NUREG/BR-0006, Rev. 9

1 When submitting safeguards information, a concise note (DOE/NRC Form 740M) must be 2 submitted stating that the submission is safeguards information and should be handled in 3 accordance with 10 CFR 73.21, Protection of Safeguards Information: Performance 4 Requirements.

5 6 The completed DOE/NRC Form 741 is distributed as follows:

7 8

Submit one copy in computer-readable format to the NMMSS. See Section 1.5 of this 9 NUREG for information on the documentation and distribution of classified and 10 unclassified reports.

11 12

Retain one copy for the file.

13 14

Provide a copy to another possessor of nuclear material outside facilities within the 15 U.S. Caribbean territories.

16 17 There is no requirement to provide a copy of the DOE/NRC Form 741 to shippers or receivers of 18 nuclear material outside the U.S. Caribbean territories.

19 20 G-2.4 Instructions for Onsite Gains and Losses 21 22 When using action code M, possessors of nuclear material outside facilities should complete and 23 distribute DOE/NRC Form 741 in accordance with the instructions contained in Chapter 3 of this 24 NUREG.

25 26 G-2.5 Instructions for Correcting a DOE/NRC Form 741 27 28 When correcting a DOE/NRC Form 741, possessors of nuclear material outside facilities should 29 follow instructions in accordance with Chapter 4 of this NUREG.

30 31 The revised DOE/NRC Form 741 is distributed as follows:

32 33

Submit one copy in computer-readable format to the NMMSS.

34 35

Retain one copy for the file.

36 37

Provide a copy to another possessor of nuclear material outside facilities within the 38 U.S. Caribbean territories.

39 40 There is no requirement to provide a copy of the revised DOE/NRC Form 741 to shippers or 41 receivers of nuclear material outside the U.S. Caribbean territories.

42 43 G-2.6 Instructions for Completing a DOE/NRC Form 740M 44 45 A DOE/NRC Form 740M shall be used to explain circumstances under which concise notes must 46 be submitted to IAEA.

47 48 Possessors of nuclear material outside facilities should follow the instructions in Chapter 5 of this 49 NUREG to complete numbered blocks 1-10 of DOE/NRC Form 740M.

NUREG/BR-0006, Rev. 9 G-12

1 DOE/NRC Form 740M should be put into computer-readable format following the guidance in 2 NMMSS Report D-24.

3 4 Copies of DOE/NRC Form 740M must be attached to, and distributed with, DOE/NRC 5 Forms 741, 742, or 742C, Physical Inventory Listing, as appropriate.

G-13 NUREG/BR-0006, Rev. 9