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pdfNUREG/BR-0006, Rev. 7
Instructions for
Completing Nuclear
Material Transaction
Reports
(DOE/NRC Forms 741 and 740M)
Effective Date: January 1, 2009
Office of Nuclear Material Safety and Safeguards
NUREG/BR-0006, Rev. 7
Instructions for
Completing Nuclear
Material Transaction
Reports
(DOE/NRC Forms 741 and 740M)
Effective Date: January 1, 2009
Manuscript Completed: June 2008
Date Published: June 2008
Prepared by
C. Graves
B.G. Horn, NRC Project Manager
Office of Nuclear Material Safety and Safeguards
ABSTRACT
U.S. Nuclear Regulatory Commission (NRC) regulations require licensees who ship, receive, or
adjust their physical inventory of source or special nuclear material (SNM) to document and
report such activities. The reports are submitted using U.S. Department of Energy (DOE)/NRC
Form 741. Licensees may need to provide additional information on some imports or exports of
source or SNM. The additional information is reported using DOE/NRC Form 740M. This
NUREG contains instructions for preparing these forms.
Paperwork Reduction Act Statement
The information collections contained in this NUREG are covered by DOE/NRC Forms 741 and
740M, which the Office of Management and Budget (OMB) approved under approval
numbers 3150-0003 and 3150-0057.
Public Protection Notification
If a means used to impose an information collection does not display a currently valid OMB
control number, the NRC may not conduct or sponsor, and a person is not required to respond
to, the information collection.
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NUREG/BR-0006, Rev. 7
NUREG/BR-0006, Rev. 7
iv
CONTENTS
Abstract.........................................................................................................................................iii
Abbreviations ...............................................................................................................................vii
1
2
Introduction ............................................................................................................................. 1
1.1
Material Transaction Reports ......................................................................................... 1
1.2
Regulatory Authority....................................................................................................... 2
1.3
Reporting/Distribution Requirements ............................................................................. 3
1.4
Methods for Preparing and Submitting Data to the Nuclear Materials Management and
Safeguards System ........................................................................................................ 4
1.5
Documentation and Distribution ..................................................................................... 4
General Instructions ................................................................................................................ 7
2.1
Instructions for Completing DOE/NRC Form 741 Reports ............................................. 7
2.1.1 Reporting Shipper's Data ...................................................................................... 7
2.1.2 Reporting Receiver's Data................................................................................... 18
2.2
Preparation of DOE/NRC Form 741 in Computer-Readable Format ........................... 20
2.3
Distribution of DOE/NRC Form 741 ............................................................................. 20
2.3.1 Shipper ................................................................................................................ 20
2.3.2 Receiver .............................................................................................................. 20
3
4
Instructions for Onsite Gains and Losses (M Action Code) .................................................. 23
3.1
Instructions for Completing DOE/NRC Form 741......................................................... 23
3.2
Preparation of DOE/NRC Form 741 in Computer-Readable Format ........................... 25
3.3
Distribution of DOE/NRC Form 741 .......................................................................25
Instructions for Correcting a DOE/NRC Form 741
(C, D, and M Action Codes or Z Process Code) ................................................................... 26
4.1
Originator ..................................................................................................................... 26
4.2
Receiver ....................................................................................................................... 27
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NUREG/BR-0006, Rev. 7
CONTENTS (Continued)
4.3
Use of the Z Process Code .......................................................................................... 27
4.4
Distribution of Corrections to DOE/NRC Form 741 ...................................................... 27
5
Instructions for Completing DOE/NRC Form 740M .............................................................. 29
6
DOE Reporting Requirements for Proprietary Interests of the Government ......................... 31
7
References............................................................................................................................ 33
Appendices
A
Composition Codes ......................................................................................................AB1
B
Inventory Change Type Codes for Completing
Blocks 26c and 27c of DOE/NRC Form 741.................................................................BB1
C
Example Documentation of Shipper and Receiver Data
(Blocks 26 and 27) ........................................................................................................CB1
D
Glossary ........................................................................................................................DB1
E
DOE/NRC Form 740M, “Concise Note,” (Blank) and DOE/NRC Form 741,
“Nuclear Material Transaction Report” (Blank)..............................................................EB1
F
Supplemental Instructions for Completing Blocks 17, 18, 19, 20, and 21 on
DOE/NRC Form 741 ..................................................................................................... FB1
NUREG/BR-0006, Rev. 7
vi
ABBREVIATIONS
ANSI
American National Standards Institute
BI
beginning inventory
CFR
Code of Federal Regulations
DOE
U.S. Department of Energy
EI
EURATOM
ending inventory
European Atomic Energy Commission
FA
facility attachment
g
gram
HEU
highly enriched uranium
IAEA
ICR
ICT
ID
International Atomic Energy Agency
inventory change report
inventory change type
inventory difference
kg
KMP
kilogram
key measurement point
LEU
low-enriched uranium
MBA
MBR
MT
material balance area
material balance report
material type
NMMSS
NRC
Nuclear Materials Management and Safeguards System
U.S. Nuclear Regulatory Commission
OMB
OMP
Office of Management and Budget
other measurement point
Pu
plutonium
RA
RIS
rounding adjustment
reporting identification symbol
SAMS
SNM
SRD
Safeguards Management Software
special nuclear material
shipper-receiver difference
vii
NUREG/BR-0006, Rev. 7
ABBREVIATIONS (CONTINUED)
TFA
transitional facility attachment
U
UF6
UK
uranium
uranium hexafluoride
United Kingdom
WR
former Soviet Union weapons material
NUREG/BR-0006, Rev. 7
viii
U.S. NUCLEAR REGULATORY COMMISSION INSTRUCTIONS FOR
COMPLETING NUCLEAR MATERIAL TRANSACTION REPORTS
DOE/NRC Form 741, “Nuclear Material Transaction Report,” and
DOE/NRC Form 740M, “Concise Note”
1 Introduction
The U.S. Nuclear Regulatory Commission (NRC) and the U.S. Department of Energy (DOE)
jointly use the Nuclear Materials Management and Safeguards System (NMMSS). This system
is the U.S. national database used by DOE and the NRC for tracking certain nuclear material.
Common reporting forms and formats are used to minimize the reporting burden on licensees 1
required to provide nuclear material data to one or both agencies in accordance with current
regulations or contractual obligations. In this manner, licensees can file one report to meet the
reporting requirements of both the NRC and DOE. Compliance with specific reporting
requirements is monitored by the agency that requires the specific data. NRC regulations
require that licensees submit the reports in computer-readable form. A licensee may use any
blank blocks on the paper DOE/NRC forms for other business purposes.
DOE requires all NRC licensees to report to the NMMSS all receipts, transfers, and inventories
of U.S. Government-owned, -loaned, or -leased material in their possession. Reports to the
NMMSS for all U.S. Government-owned, -loaned, or -leased material must follow the
U.S. Government’s reporting requirements as specified in DOE Orders Series 470 (DOE
Order 470.4, “Safeguards and Security Program,” and DOE M 470.4-6, “Nuclear Material
Control and Accountability”).
1.1 Material Transaction Reports
DOE/NRC Form 741, “Nuclear Material Transaction Report,” is the means for submitting
transaction data to the NMMSS. DOE/NRC Form 741 must be completed in accordance with
the instructions in this NUREG and must be submitted in computer-readable format. NMMSS
Report D-24, “Personal Computer Data Input for NRC Licensees,” gives instructions for creating
the computer-readable submittal.
Licensees use DOE/NRC Form 741 to report physical transfers of nuclear materials between
facilities. The report is also used to convey information on transactions such as inventory
corrections that otherwise increase or decrease obligation balances or nuclear material
categories within a facility.
The NMMSS relies heavily on the quality of the data reported by the facilities involved in nuclear
activities. The data submitted to the NMMSS are subject to evaluation according to the
restrictions placed on nuclear activity by the policies of various governing agencies of the United
1
The term “licensee” here denotes an NRC or Agreement State licensee or an NRC certificate holder.
1
NUREG/BR-0006, Rev. 7
States. The NMMSS accepts the data after they are verified as acceptable within the
restrictions of the system.
NRC licensees must provide a DOE/NRC Form 741 to the NMMSS in a computer-readable
format following the instructions in this NUREG and NMMSS Report D-24. Both the shipper and
the receiver are required to submit DOE/NRC Form 741. The receiver should confirm that the
quantity received is consistent with the shipper’s report. When statistically significant shipperreceiver differences (SRDs), as defined in Title 10, Section 74.31, “Nuclear Material Control and
Accounting for Special Nuclear Material of Low Strategic Significance,” of the Code of Federal
Regulations (10 CFR 74.31),10 CFR 74.43, “Internal Controls, Inventory, and Records,” or
10 CFR 74.59, “Quality Assurance and Accounting Requirements,” are identified, they must be
resolved and their root causes corrected. The regulatory intent is to require material control and
accounting systems to promptly detect and resolve all significant SRDs. Comparisons of
shippers’ and receivers’ reports are necessary both to confirm the acceptability of shippers’ and
receivers’ values for establishing the book accounting amounts for received material and to
detect unacceptable shippers= or receivers= values. Comparisons typically involve item
verification, seal integrity, gross weights, nondestructive assay measurements (if appropriate),
and destructive measurements (if appropriate).
1.2 Regulatory Authority
Title 10 of the Code of Federal Regulations sets forth reporting requirements for specified
activities.
For reporting transactions for special nuclear material (SNM), NRC regulations 10 CFR 72.78,
10 CFR 74.15, 10 CFR 75.34, 10 CFR 76.113, 10 CFR 76.115, 10 CFR 76.117, and
10 CFR 150.16 require, in part, that each licensee who transfers or receives SNM of any origin
must complete, in computer-readable format, a DOE/NRC Form 741. This should be done in
accordance with instructions in this NUREG whenever the licensee or certificate holder transfers
or receives a quantity of SNM of 1 gram or more contained uranium (U)235, U233, or plutonium.
Reporting for plutonium (Pu)238 is to the nearest one-tenth of a gram of the Pu238 isotope.
For reporting transactions for source material, NRC regulations 10 CFR 40.64, “Reports,” and
10 CFR 150.16, “Submission to Commission of Nuclear Material Transfer Reports,” state, in
part, that except as specified within those sections, each licensee must complete and distribute
a DOE/NRC Form 741 when the licensee in any manner transfers, receives, or adjusts the
inventory of source material of foreign obligations by 1 kilogram or more or imports or exports
1 kilogram or more of uranium or thorium source material. In addition, a licensee who uses
1 kilogram or more of any uranium or thorium source material in enrichment services,
downblending uranium that has an initial enrichment of the U235 isotope of 10 percent or more,
or in the fabrication of mixed-oxide fuels. The licensee must complete DOE/NRC Form 741 in
computer-readable format in accordance with instructions in this NUREG and in NMMSS
Report D-24. Optionally, if using XML format, licensees may report source material to three
decimal places; however, both the shipper and receiver must report at the kilogram unit, unless
they both agree to report at the three-decimal unit. If using three-decimal reporting, then the
reporting unit is to the nearest thousandth of a kilogram. For example, both the shipper and
receiver may report 1655 grams as 1.655 kilograms. However, for consistency, the licensee
must continue to report to the same decimal place for that material type. When reporting source
NUREG/BR-0006, Rev. 7
2
material to three decimal places, both the detail and obligation weight must be reported to the
same decimal place.
For reporting transactions for source material or SNM in accordance with an agreement with the
International Atomic Energy Agency (IAEA), NRC regulation 10 CFR 75.31, “General
Requirements,” requires licensees to complete and distribute DOE/NRC Form 741 for all source
material or SNM inventory changes, including shipments, receipts, onsite gains and losses, and
any other inventory adjustments. These reports must be in computer-readable format and must
be based on the records kept in accordance with 10 CFR 75.22, 10 CFR 75.31, 10 CFR 75.32,
10 CFR 75.33, 10 CFR 75.34, and 10 CFR 75.35.
Licensees can comply with these reporting requirements by completing DOE/NRC Form 741
and transmitting it in computer-readable format following the guidance in this NUREG and in
NMMSS Report D-24.
In addition, the submission of DOE/NRC Form 741 is normally required as a matter of contract
or lease administration for all Government-owned nuclear material transferred (see DOE Orders
Series 470 (DOE Order 470.4 and DOE M 470.4-6)).
1.3 Reporting/Distribution Requirements
Reports are required whenever nuclear material in the types and amounts stated in the
preceding section moves between locations or operations that have been assigned different
reporting identification symbols (RISs) and whenever SNM and source material inventories
change. The nuclear material change data (including burnup, production, measured discards,
category changes, and decay) must be documented and reported to the NMMSS before or at
the same time as the physical inventory taking, unless the NRC has authorized another
arrangement.
The shipper initiates a DOE/NRC Form 741. If the licensee is involved in a transfer of material
with a party that is not required to prepare a DOE/NRC Form 741, the licensee must prepare
and submit both the shipper’s and the receiver’s section of DOE/NRC Form 741. The most
common situation is when a domestic facility is involved in export/import activities. The
domestic facility must obtain the information necessary to complete DOE/NRC Form 741 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 SRD is identified between the U.S.
shipper and foreign receiver (as defined in 10 CFR 74.31, 10 CFR 74.43, or 10 CFR 74.59 for
SNM, or if there is an indication of loss, theft, or diversion of quantities of source material
delineated in 10 CFR 40.64(c)(1)), the shipper is required to document the foreign party’s 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/receipt of materials.
Reports of physical shipments between RISs must document the actual movement of material.
In addition, any reportable information associated with the material must also be reported. In
particular, the obligation of material by a foreign entity must follow the physical movement of
material between RISs. The transfer of obligations between RISs with no physical movement of
material is reported by using action codes X and Y.
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NUREG/BR-0006, Rev. 7
1.4 Methods for Preparing and Submitting Data to the Nuclear Materials
Management and Safeguards System
The Safeguards Management Software (SAMS) is a miniature version of the NMMSS. This
software allows the user to import and export data, make edit checks, generate various reports,
and create material balance, inventory data, and transaction data. It has the capability to export
data into the required NMMSS predefined computer-readable format outlined in NMMSS
Report D-24. The SAMS program may be obtained from the NMMSS operator free of charge.
Licensees can submit data to the NMMSS via the following three methods:
(1)
Telephonic Transfers
A licensee may submit DOE/NRC Form 741 electronically by using a modem. To
establish an electronic connection with the NMMSS, licensees must contact the NMMSS
security officer to request the establishment of a connection with the direct link. If the
facility is a valid facility for the type of link requested (classified or unclassified), then the
security officer will provide the requester with the appropriate forms to complete.
Upon receipt of the completed forms, the security officer will create a user identification
and password and establish an account for the facility. The user identification and
password will then be forwarded to the user facility along with a password
acknowledgment form. The licensee will sign the acknowledgment form and return it to
the security officer, who will then activate the user identification and password.
(2)
Data Submittals on Computer Media
NMMSS Report D-24 provides instructions on packaging, data format requirements,
acceptable media types, and the mailing address for the submittal of data on computer
media.
(3)
New and Modified Methods of Transferring Electronic Data
The NRC may authorize new and modified methods of transferring electronic DOE/NRC
Form 741 data to the NMMSS. Licensees may confirm authorization to use additional
methods for the transfer of these data by contacting the NMMSS operator.
1.5 Documentation and Distribution
The completed DOE/NRC Form 741, in computer-readable format, must be submitted to the
NMMSS operator. Licensees can confirm the address and mechanism for providing data to the
NMMSS by calling the NMMSS operator. Specific submission instructions depend on whether
the DOE/NRC Form 741 is classified or unclassified information. Sections 2.3, 3.3, and 4.4 of
this NUREG contain additional distribution information.
Any DOE/NRC Form 741 that is classified must be documented and handled in accordance with
all pertinent security requirements. All other submissions that are not classified are considered
to be proprietary material control and accounting information and may be requested to be
withheld as defined by 10 CFR 2.390, “Public Inspections, Exemptions, Requests for
NUREG/BR-0006, Rev. 7
4
Withholding.” Each person who is to receive a copy of the report must be verified as a qualified
recipient before distribution. Licensees should confirm the address before sending documents
to the NMMSS or other recipients. They should also formally provide classification guidance to
the NMMSS operator after a decision to classify, declassify, or make any change in previously
submitted guidance. To submit Safeguards Information, licensees should use Form 740M,
“Concise Note,” stating that the submission is Safeguards Information and should be handled in
accordance with 10 CFR 73.21, “Requirements for the Protection of Safeguards Information.”
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NUREG/BR-0006, Rev. 7
NUREG/BR-0006, Rev. 7
6
2 GENERAL INSTRUCTIONS
2.1 Instructions for Completing DOE/NRC Form 741 Reports
If the DOE/NRC Form 741 report is documenting an onsite gain or loss, the licensee should
review the instructions for block 6 (ACTION CODE) and the special instructions for the M action
code in Section 3 of this NUREG before completing the form.
The numbered instructions below correspond to the numbered blocks on the paper copy of
DOE/NRC Form 741. Each shipper of reportable quantities of SNM or source material (refer to
blocks 26n and 26q) must send a DOE/NRC Form 741 report to the NMMSS operator and a
copy to the receiver’s business address no later than the close of business the next working
day.
In the case of spent fuel shipments, in accordance with 10 CFR 73.37, “Requirements for
Physical Protection of Irradiated Reactor Fuel in Transit,” the date of shipment is Safeguards
Information until 10 days after the shipment or the last shipment in a series of shipments is
received. Therefore, DOE/NRC Form 741 should be identified as Safeguards Information, and
a Concise Note Form 740M must be submitted stating that the submission is Safeguards
Information and should be handled in accordance with 10 CFR 73.21. Concise Note
Form 740M should also contain other pertinent information such as whether this is a single
shipment or part of a series and the shipment number and total within the series.
For disposals, the burial site operator must prepare and transmit DOE/NRC Form 741 to the
NMMSS to document receipt and disposal. NRC regulations stipulate that the DOE/NRC
Form 741 reports be submitted in computer-readable format. NMMSS Report D-24 gives the
electronic formats for DOE/NRC Form 741.
2.1.1 Reporting Shipper=s Data
Licensees should complete DOE/NRC Form 741 in accordance with the following instructions:
1.
SHIPPER’S RIS 2 —Enter the shipper’s RIS.
2.
RECEIVER’S RIS 2 —Enter the receiver’s RIS.
3.
TRANSACTION NUMBER—Enter a number for the same shipper-receiver combination.
Numbers in the series must be consecutive (i.e., no skipped numbers).
4.
CORRECTION NUMBER—This block is used to identify a transaction that is an
adjustment to a previously issued DOE/NRC Form 741. Leave this block blank for an
original submission of a DOE/NRC Form 741. Use consecutive numbers, starting with 1,
for adjustments. Refer to NMMSS Report D-24 for field sizes. For corrections requiring
2
NMMSS Reports D-2, D-3, and D-15 document RISs.
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NUREG/BR-0006, Rev. 7
changes only to NMMSS data (and not to the other party’s data), use letters (A, B, etc.)
instead of numbers. See Section 4 of this NUREG.
5.
PROCESS CODE—Enter process code A, C, D, or Z.
•
A refers to the initial entry of data.
•
C refers to the replacement of data. With the concurrence of the other party to
the transaction, up to an entire data set may be replaced at any time before the
close of the NMMSS processing period in which the initial submittal was made.
•
D refers to the deletion of data. An entire data set may be deleted at any time
before the close of the NMMSS processing period in which the initial submittal
was made, with the concurrence of the other party to the transaction.
•
Z refers to the receiver’s acceptance of other party’s correction. This processing
code can be used only with action code D. Receivers reporting in accordance
with 10 CFR Part 75, “Safeguards on Nuclear Material—Implementation of
U.S./IAEA Agreement,” may not use the Z code.
6.
ACTION CODE—This block is used to identify the type of transaction being reported on
DOE/NRC Form 741 as specified in 6a and 6b below.
6a.
SHIPPER—Enter one of the following action codes:
A
The shipper is reporting a transaction that has taken place between the stated
parties.
C
The shipper is adjusting the initial DOE/NRC Form 741 for the shipment or a
previous adjustment to the same initial report, acknowledging an adjustment
originated by the receiver, or accepting and agreeing with the receiver’s
adjustment to DOE/NRC Form 741. See Section 4 of this NUREG.
M
The shipper is reporting a one-party transaction or an adjustment to a one-party
transaction (e.g., an onsite gain or loss of material as the result of burnup,
production, measured discards, category changes, etc.). DOE/NRC Form 742,
“Material Balance Report,” shows such inventory changes. See Section 3 of this
NUREG.
R
The shipper is identifying a one-party transaction to delete an obligated amount
of material from the facility=s inventory. This code is applicable only to former
Soviet Union weapons (WR) material after the fresh low-enriched uranium (LEU)
is irradiated in a reactor core. Use of this code implies a removal of WR material;
therefore, the value should be entered as a positive number.
X
The shipper is reporting a transfer of obligation that involves no physical
movement of material. No obligation transfers of WR material are permitted. No
shipper (block 26) or receiver (block 27) detail data need be entered.
NUREG/BR-0006, Rev. 7
8
6b.
RECEIVER—Enter one of the following action codes:
B
The receiver is reporting that a shipment has been received and that the weights
reported by the shipper on DOE/NRC Form 741 were accepted as final receipt
values.
E
The receiver is reporting that a shipment was received, that independent
measurements were made, and that the values resulting from the independent
measurements are being reported.
D
The receiver is adjusting the initial DOE/NRC Form 741 that documented the
receipt of a shipment or a previous adjustment to the same initial report, or
acknowledging an adjustment originated by the shipper, or accepting and
agreeing with the shipper’s adjustment to DOE/NRC Form 741. See Section 4 of
this NUREG.
M
The receiver is reporting a one-party transaction or an adjustment to a one-party
transaction (i.e., an onsite gain or loss of material as the result of burnup,
production, measured discards, etc.). DOE/NRC Form 742 shows such
inventory changes. See Section 3 of this NUREG.
N
The receiver is reporting physical receipt of a shipment but will delay the quantity
determinations for the shipment of material for more than 10 days but no more
than 60 days for source and LEU, or no more than 45 days for highly enriched
uranium (HEU). At the end of this time, the receiver will prepare a DOE/NRC
Form 741 with a B or E action code to report the receiver’s quantity
determinations. Use of this code (N) requires no entry of detailed data (block 27)
by the receiver.
Y
The receiver is reporting an acceptance of transfer of obligation that involves no
physical movement of material. No shipper (block 26) or receiver (block 27)
detailed data need be entered.
7.
DOCUMENTATION—This block is for paper-copy submissions only. Enter the number
of pages if the submission is classified.
8.
SHIPPER—Leave blank.
9.
RECEIVER—Leave blank.
10.
NUMBER OF DATA LINES—After completing block 26 (SHIPPER’S DATA), or block 27
(RECEIVER’S DATA), enter the total number of detail lines in block 26 or 27. The
shipper and receiver must report the same number of entries, and the material types
must agree line for line.
11.
NATURE OF TRANSACTION— Leave blank.
12.
SHIPPED FOR ACCOUNT OF—Leave blank.
9
NUREG/BR-0006, Rev. 7
13.
SHIPPED TO ACCOUNT OF—Leave blank.
14.
TRANSFER AUTHORITY—Leave blank.
15.
EXPORT OR IMPORT TRANSFERS—For all export or import transfers, enter the NRC
export or import license number under which SNM or source material is being
transferred. Where transfers are authorized by an NRC general license, enter GEN-LIC.
In some cases, the transfer may be exempt from licensing, such as exports of IAEA
safeguards samples; then enter LIC-EXEMPT. If several batches authorized by
separate licenses are combined into one shipment, a separate DOE/NRC Form 741
must be completed for the portion associated with each import/export license.
16.
MATERIAL TYPE AND DESCRIPTION—Leave blank.
17.
LINE NUMBER—Enter a sequential line number beginning with the number 1. Refer to
the NMMSS Report D-24 for field sizes.
18.
COUNTRY OF OBLIGATION—Enter the two-character country or entity designation
from Table 1 in Appendix F for the line numbers entered in block 17. See Appendix F to
this NUREG for further instructions.
19.
MATERIAL TYPE—Enter the material type to which the obligation is attached. Refer to
Table 2 in Appendix F. The only material types to be reported are 10, 20, 50, 70, 81,
and 88.
20.
OBLIGATED ELEMENT WEIGHT—Enter the weight of the obligated amount of the
element. Refer to NMMSS Report D-24 for field sizes. See Appendix F for further
instructions. Positive or negative values should be entered to appropriately account for
material addition or removal, respectively. Reports with an action code of A, B, E, R, X,
or Y must be reported with a positive weight. All others can be reported with a positive
or negative weight. The sum of obligated material for a material type cannot exceed the
sum of the weight value listed in the detail lines.
21.
OBLIGATED ISOTOPE WEIGHT—FOR ENRICHED URANIUM ONLY—Enter the
weight of the obligated amount of the isotope. Refer to NMMSS Report D-24 for field
sizes. For in-place activity, positive or negative values should be entered to
appropriately account for material addition or removal, respectively. Reports with an
action code of A, B, E, R, X, or Y must be reported with a positive weight. All others can
be reported with a positive or negative weight. The sum of obligated material for a
material type cannot exceed the sum of the weight value listed in the detail lines.
22.
ACTION DATE—Follow the instructions below for blocks 22a through 22e.
22a.
SHIPMENT (entry required by shipper)—Enter the date the nuclear material is shipped.
22b.
SHIPPER’S CORRECTION (entry required by shipper)—If the document is an
acknowledgment of or a correction to a previously issued transaction report, enter the
date the correction is recorded or the acknowledgment made, as appropriate. However,
dates on acknowledgments must not precede the action date listed on the receiver’s
correction. Additionally, be aware that if a date preceding the current unreconciled
NUREG/BR-0006, Rev. 7
10
period is used, the effect of the correction will be reflected in the current period, not the
prior period(s) covered by postdated documents.
22c.
RECEIPT (entry required by receiver)—Enter the date the nuclear material is received.
22d.
RECEIVER’S MEASUREMENT (entry required by receiver)—This entry is required only
if the receiver’s action code is E. Enter the date the nuclear material is measured by the
receiver.
22e.
RECEIVER’S CORRECTION (entry required by receiver)—If the document is an
acknowledgment or a correction to a previously issued transaction report, enter the date
the correction is recorded or the acknowledgment made, as appropriate. However,
dates on acknowledgments must not precede the action date listed on the receiver=s
correction. Additionally, be aware that if a date preceding the current unreconciled period
is used, the effect of the correction will be reflected in the current period, not the prior
period(s) covered by postdated documents.
Note that in the case of all imports (and for some exports, see Section 1.3), licensees
must complete a separate DOE/NRC Form 741 to document the foreign party action,
including action dates in blocks 22a and 22c, as applicable.
23a.
MISCELLANEOUS—Leave blank.
23b.
CONCISE NOTE ATTACHED— Leave blank.
23c.
UK REPORTABLE—Facilities reporting material transfers involving facilities in the
United Kingdom must indicate in this block whether the shipment is reportable or
nonreportable to IAEA. Check YES for reportable or NO for nonreportable.
Note that typically all licensee shipments to/from the United Kingdom are reportable.
24.
TOTAL GROSS WEIGHT—Enter the total gross weight of the shipment rounded to the
nearest kilogram. An approximate or estimated gross weight rounded to the nearest
kilogram is acceptable. Make no entry for M action code transactions, receipts,
obligation transfers, and correction documents.
25.
TOTAL VOLUME (WASTE TRANSFERS ONLY)—For transfers of nuclear material to
nuclear waste sites (i.e., receiver RIS begins with the letter V), enter the volume of the
material to be buried, stated in cubic feet rounded to the nearest cubic foot. An entry in
block 25 is not required for transfers to nuclear laundry services.
26.
SHIPPER’S DATA—Enter the shipper’s data in block 26. Enter the receiver’s data in
block 27. Receivers should review the additional instructions for block 27 before
completing the form.
Shipper and receiver measurement data are entered on DOE/NRC Form 741 for each
batch of material. For licensees reporting pursuant to the requirements of
10 CFR Part 75, or if the transfer is an import or an export, a batch is a portion of nuclear
material that is handled as a unit for accounting purposes at a key measurement point
(KMP) and whose composition and quantity are defined by a single set of specifications
11
NUREG/BR-0006, Rev. 7
or measurements. The batch may be in bulk form or contained in a number of separate
items. If the shipment is an export or is being reported pursuant to 10 CFR Part 75, fuel
assemblies or loose rods or fuel pins must be listed separately with the identifying label
serving as a unique batch name. Fuel assemblies can be reported as “average”
enrichment as long as the appropriate accounts (material types 10, 20, 81, etc.) are
properly adjusted. Material being transferred may be listed on one line of DOE/NRC
Form 741 if the material is all of the same material type, composition, ownership, and
weight percent of isotope (except as noted in the next paragraph). Material differing in
any of these data elements must be listed on separate lines.
Two or more lines may be necessary to describe a single batch (e.g., spent fuel
assemblies, mixed-oxide fuel). If a batch consists of several types of nuclear material,
several consecutive lines should be used to describe the batch. The batch name should
be repeated on all lines used to describe a single batch. In block 26e, the number of
items is also repeated on all lines with the same batch name.
The above general rules for grouping or batching material for reporting purposes are
also applicable to licensees reporting imports or exports pursuant to 10 CFR Part 40,
“Domestic Licensing of Source Material,” 10 CFR Part 74, “Material Control and
Accounting of Special Nuclear Material,” or 10 CFR Part 75. Batch names are optional
for other transactions reported pursuant to 10 CFR Part 40 or 10 CFR Part 74.
26a.
BACK REFERENCE NUMBER—Enter the appropriate back-reference number
adjustments to previously completed DOE/NRC Form 741 documents.
Licensees must enter the back-reference numbers for action codes C and D and for
action code M when reporting adjustments. Licensees must report both the backreference change digit and the back-reference line number.
The back-reference change digit represents the change digit of the document being
corrected for a nullifying entry and the change digit of the document now being
completed for a correcting entry. For example, if the DOE/NRC Form 741 being
corrected is the original, or if the line being entered represents an addition only, enter 0
(zero).
The back-reference line number represents the line number of the line being corrected
for a nullifying entry and the line number of the corresponding nullifying line for a
correction entry. If the line being entered represents an addition only or represents a net
change, enter zeros.
26b.
LINE NUMBER—In providing detailed measurement data, enter a line number beginning
with 1 for the first line of detailed shipper’s data and increase the line number by one for
each additional line of detailed shipper’s data entered on the form. When two or more
lines of measurement data refer to a single batch, repeat the unique batch name for
each line of the batch data. For example, repeat the batch name when different material
types of multienrichment fuel rods are entered on separate lines or when uranium
hexafluoride (UF6) product material and UF6 heel material in a cylinder are reported on
separate lines.
NUREG/BR-0006, Rev. 7
12
26c.
TYPE OF INVENTORY CHANGE—All changes to inventory that meet the reporting
criteria must be reported on DOE/NRC Form 741.
Appendix B explains the inventory change type (ICT) codes and indicates whether they
are to be entered in block 26c. Enrichment facilities may use the two-digit numerical
value for indicating a change type or proceed as directed by the NRC. When shipping to
a V RIS, the shipper must use ICT code 74. A measured discard can be documented as
an onsite transfer, discard to a pond/lagoon, or transferred to a holding area.
Discharges to lagoon and movement to holding areas are documented with a suffix
attached to the RIS:
•
Use L when material is discarded into a pond or lagoon.
•
Use H when material is transferred to a holding area (refer to the term “holding
account” in the glossary in Appendix D) at the facility pending possible shipment
offsite for disposal
Note that use of a holding or lagoon account requires establishment of account and prior
approval by the NRC.
The shipper should enter its RIS in block 1 (SHIPPER’S RIS) and the same RIS in the
block 2 (RECEIVER’S RIS), but append an L or H to the receiver’s RIS as appropriate.
For example, if a facility with RIS XYZ discards material to a lagoon, the transaction on
DOE/NRC Form 741 would be from XYZ to XYZL.
26d.
IDENTIFICATION (ITEM/BATCH NAME)—Enter a name or number, or a combination of
both, that identifies the batch of material being shipped. If the licensee is reporting
pursuant to 10 CFR Part 75, or if the transfer is an import or export, the shipper or
receiver enters a name that identifies a unique portion of nuclear material handled as a
unit for accounting purposes. For fuel pins and rods, the batch name should be the
identification numbers of the fuel pin or rod.
In the case of an import, the receiver must use the same batch name as the shipper,
provided that the shipper’s batch name conforms to the above specifications. If it does
not, submit a concise note in accordance with the instructions (Section 5) explaining the
difference. When two or more lines of measurement data refer to a single batch, repeat
the unique batch name for each line of the batch data. For example, repeat the batch
name when different material types of multienrichment fuel rods are entered on separate
lines or when UF6 product material and UF6 heel material in a cylinder are reported on
separate lines.
26e.
NUMBER OF ITEMS—Enter the number of similar items of which the line entry consists
(e.g., cylinders, packs, drums, bird cages, bottles, tank vessels). When reporting fuel
pins, rods, or plates, report the number of separate fuel pins, rods, or plates involved.
When reporting fuel assemblies, report the number of complete assemblies represented
on the line entry. In the case of transfer of bulk material, enter the number 1. Leave
blank if an M action code is used.
26f.
PROJECT NUMBER—Leave blank.
13
NUREG/BR-0006, Rev. 7
26g.
26h.
MATERIAL TYPE—Enter the appropriate SNM or source material type code from the list
below.
U.S. Code
(Domestic transfers)
IAEA Code
(Imports/Exports)
Description
10
D
Depleted uranium
20
EG
Enriched uranium
50
P
Plutonium
70
EK
U233
81
N
Normal uranium
83 3
Pu
Pu238
88
T
Thorium
89
To be obtained
from IAEA
Uranium in cascade
COMPOSITION/FACILITY CODE—Enter the appropriate code describing the physical
form (unencapsulated, encapsulated, etc.) and the chemical form of the material. See
Appendix A.
If the installation has been notified by letter from the NRC, as provided in 10 CFR 75.11,
“Installation Information,” that it has been identified under the U.S./IAEA Safeguards
Agreement, enter the appropriate code from the list developed during the formulation
and negotiation of the facility attachment (FA) or transitional facility attachment (TFA)
provided pursuant to 10 CFR 75.8, “Facility Attachments.”
Note: In accordance with 10 CFR 75.11, any change in facility operations or processes
that would result in any changes in, additions to, or deletions from the list should be
communicated to the NRC in writing, to the extent provided in the license conditions, at
least 70 days in advance of the changes so that new composition codes can be
assigned.
26i.
OWNER CODE—This code identifies the ownership of the material at the time it was in
the shipper’s possession. Enter the appropriate code from the following.
G
J
U.S. Government-owned
Not U.S. Government-owned
Refer to the glossary in Appendix D to this document for further description of
U.S. Government-owned material.
3
Report as Pu238 if the contained Pu238 is greater than 10 percent of total plutonium by weight; otherwise,
report as plutonium.
NUREG/BR-0006, Rev. 7
14
26j.
KEY MEASUREMENT POINT (KMP)—This data element applies only to licensees
reporting pursuant to the requirements of 10 CFR Part 75. All other licensees must
leave this block blank. This block is for reporting on a facility where nuclear material is in
a form that may be measured to determine material flow or inventory. Codes for KMPs
are identified in the FAs or TFAs developed for those facilities described in the
instructions for block 26h.
26k.
MEASUREMENT IDENTIFICATION (see 26j)—This block applies only to licensees
reporting pursuant to the requirements of 10 CFR Part 75 and to those facilities identified
in the instructions for 26h. All other licensees must leave this block blank. This block
indicates where and when the material was measured. It consists of three parts.
26k1. BASIS—Enter the pertinent code from the following:
N
if the batch data are based on measurements made in an IAEA material balance
area (MBA) other than the reporting MBA
L
if the batch data are based on measurements made in another IAEA MBA and
have been previously reported by the reporting MBA in a DOE/NRC Form 741 or
a DOE/NRC Form 742C, “Physical Inventory Listing”
M
if the batch data are based on measurements made in the reporting IAEA MBA
and the data were not previously reported
T
if the batch data are based on measurements in the reporting IAEA MBA and
have been previously reported for that MBA on a DOE/NRC Form 741 or a
DOE/NRC Form 742C
26k2. OTHER MEASUREMENT POINT (OMP)—For batch data designated code M in
block 26k1, enter the code of the KMP where measurements were made if it is different
from the KMP indicated in block 26j. If it is the same, leave the block blank.
26k3. MEASUREMENT METHOD—If two or more measurement methods employed at the
same KMP have a different measurement uncertainty, enter the code for the
measurement method used, as identified in the FA.
26l.
GROSS WEIGHT—Enter the gross weight of the line entry in kilograms of material
shipped plus tare weight (packaging and shipping container).
26m.
NET WEIGHT—Enter the weight of the material shipped, excluding tare weight, in grams
for SNM and kilograms for source material.
26n.
ELEMENT WEIGHT—Enter the weight of the contained SNM or source material
rounded to the quantities reported below.
15
NUREG/BR-0006, Rev. 7
Material
Reporting Units
Plutonium or uranium
enriched in U235 or U233
nearest whole gram
Pu238
nearest 1/10 gram
Source material
nearest kilogram 4
If the quantity to be entered is equal to or greater than 0.5 of the reporting unit, the
quantity should be rounded up to the next whole reporting unit. If the quantity to be
entered is less than 0.5 of the reporting unit, the quantity should be rounded down to the
next whole reporting unit.
26o.
ELEMENT LIMIT OF ERROR—Limits of error need be reported only by licensees who
are authorized to possess at any time and location SNM in a quantity exceeding
1 effective kilogram and authorized to use SNM for activities other than those involved in
the operation of a nuclear reactor licensed pursuant to 10 CFR Part 50, “Domestic
Licensing of Production and Utilization Facilities”; who are involved in a waste disposal
operation; or who are authorized to possess sealed sources.
Complete when the total shipment contains more than 50 grams of U235, U233, or
plutonium, or any combination of these. Enter the limit of error for each element entry
using the same weight units as in block 26n, except where the line entry represents (1) a
sealed plutonium-beryllium source, (2) samples that have all been determined by other
means to contain less than 10 grams U235, U233, or plutonium, and (3) reactor-irradiated
fuels involved in research, development, and evaluation programs in facilities other than
irradiated-fuel reprocessing plants.
Limits of error are to be at the 95-percent confidence level, propagated by the
uncertainties of the weight measurement, the chemical analysis, and the sampling
method. Limits of error are not applicable to source material. Licensees making onsite
transfers between two different RISs or within the same RIS are exempt from supplying
limits of error data for the transfers. Transfers between a license-exempt operation and
a licensed operation at the same location are not considered onsite transfers, and limits
of error are required.
26p.
WEIGHT % ISOTOPE—Enter the weight percent of the isotope U235 if the uranium is
enriched or depleted in U235. If plutonium, enter the weight percent of the isotope Pu240.
If Pu238, enter the weight percent of the isotope Pu238. Report weight percent to at least
two, but not more than four, decimal places, depending on the accuracy of the
measurement method employed (for example, XX.XXXX%). For U233, enter the parts
per million of U232. This block does not apply to natural uranium and thorium. Use
separate lines to report material of different enrichments. The plutonium and U235
content of irradiated fuel must be determined and reported upon removal of the spent
4
Optionally, if the reporter is using XML format, source material may be reported to three decimal places.
When using three-decimal reporting to report source material, then the reporting unit is to the nearest
thousandth of a kilogram (i.e., 1655 grams will be reported as 1.655 kilograms).
NUREG/BR-0006, Rev. 7
16
fuel from the reactor core. Reactor operators may report the total nonfissile isotope
instead of Pu240 in this block for spent fuel if the computer codes the operator uses have
this limitation.
26q.
ISOTOPE WEIGHT—Enter the isotope weight. If enriched uranium or U233, enter weight
to the nearest gram of U235 or U233 as appropriate. If plutonium, enter the sum of Pu239
and Pu241 to the nearest gram. If Pu238, enter the weight of the isotope Pu238 to the
nearest one-tenth of a gram. For depleted uranium, enter the isotope weight to the
nearest kilogram. Make no entry for other source material.
If the quantity to be entered is equal to or greater than 0.5 of the reporting unit, the
quantity should be rounded up to the next whole reporting unit. If the quantity to be
entered is less than 0.5 of the reporting unit, the quantity should be rounded down to the
next whole reporting unit.
26r.
ISOTOPE LIMIT OF ERROR—Limits of error need be reported only by licensees who
are authorized to possess at any one time and location SNM in a quantity exceeding
1 effective kilogram and authorized to use such SNM for activities other than those
involved in the operation of a nuclear reactor licensed pursuant to 10 CFR Part 50, who
are involved in a waste disposal operation, or who are authorized to possess sealed
sources.
Complete when the total shipment contains more than 50 grams of U235, U233, or
plutonium, or any combination of these. Enter the limit of error for each isotope entry
using the same weight units as in block 26n, except where the line entry represents (1) a
sealed plutonium-beryllium source, (2) samples that have all been determined by other
means to contain less than 10 grams U235, U233, or plutonium, and (3) reactor-irradiated
fuels involved in research, development, and evaluation programs in facilities other than
irradiated-fuel reprocessing plants.
Limits of error are to be at the 95-percent confidence level, propagated by the
uncertainties of the weight measurement, the chemical analysis, and the sampling
method. Limits of error are not applicable to source material. Licensees making onsite
transfers between two different RISs or within the same RIS are exempt from supplying
limits of error data for the transfers. Transfers between a license-exempt operation and
a licensed operation at the same location are not considered onsite transfers, and limits
of error are required.
26s.
SIGNATURE OF AUTHORIZED OFFICIAL AND DATE SIGNED—If submitted on paper,
the report must be signed by an authorized representative of the licensee. Otherwise,
enter the date submitted. Each licensee must establish internal procedures to ensure
that the information provided in the report is accurate and that the report has been
prepared and issued only by authorized licensee personnel.
Proprietary information must be included when necessary to provide an adequate
response. An application to withhold such information from public disclosure may be
made and will be dispositioned in accordance with the provisions of 10 CFR 2.390. If
any of this information is of particular sensitivity, a request may be made that such
information not be transmitted to IAEA. Such a request must refer to and conform with
10 CFR 75.12, “Communication of Information to IAEA.”
17
NUREG/BR-0006, Rev. 7
2.1.2 Reporting Receiver’s Data
Each receiver of reportable quantities of SNM or source material must acknowledge receipt of
shipments in accordance with the following instructions:
$
If the receiver plans to accept the shipper’s measurement data without making
independent measurements (B action code), the receiver must, within 10 days of receipt
of the material, submit a DOE/NRC Form 741. There are two options for filling out the
form:
(1)
Complete blocks 1 through 25 and enter a zero (0) in block 10.
(2)
Complete blocks 1 through 25, enter the shipper’s values in block 26, and repeat
the shipper=s values in block 27.
Facilities reporting pursuant to 10 CFR Part 75 must use the second option. They
should dispatch the form in accordance with the instructions in Section 2.3.2.
$
$
If the receiver makes independent measurements (E action code), the receiver must do
the following within 10 days of receipt of the material:
(1)
Complete blocks 1 through 25, enter the shipper’s values in block 26, and
complete blocks 27a through 27s of DOE/NRC Form 741.
(2)
Dispatch the form in accordance with the instructions in Section 2.3.2.
If the receiver intends to make independent measurements within 60 days for source
material or LEU, or 45 days for HEU (N action code), unless the NRC authorizes an
exemption, the receiver shall do the following, within 10 days of receipt of the material:
(1)
Complete blocks 1 through 23
(2)
Dispatch the form in accordance with the instructions in Section 2.3.2.
(3)
After independent measurements are made, follow the instructions for reporting a
B or E action code. If measurements are delayed, complete them and report
them on DOE/NRC Form 741 within 60 days for source material and LEU and
within 45 days for HEU after the receipt of each shipment, except in the case of
receipts of scrap and irradiated material.
In the case of a scrap processor receiving several shipments of scrap that are
accumulated and processed together, the recovered quantity of material must be
prorated to the specific transmittal documents and line entries to maintain the one-to-one
correspondence between shipper’s and receiver’s data.
27.
RECEIVER’S DATA—Fill in the receiver’s data blocks as follows.
Enter shipper and receiver measurement data on DOE/NRC Form 741 for each batch of
material. For licensees reporting pursuant to 10 CFR Part 75 requirements or if the
NUREG/BR-0006, Rev. 7
18
transfer is an import or an export, a batch is a portion of nuclear material that is handled
as a unit for accounting purposes at a KMP and whose composition and quantity are
defined by a single set of specifications or measurements. The batch may be in bulk
form or contained in a number of separate items. If the shipment is an export or is being
reported pursuant to 10 CFR Part 75, list fuel assemblies or loose rods or fuel pins
separately with the identifying label serving as a unique batch name. Report fuel
assemblies as “average” enrichment as long as the appropriate accounts (material types
10, 20, 81, etc.) are properly adjusted. Material being transferred may be listed on one
line of DOE/NRC Form 741 if the material is all of the same material type, composition,
ownership, and weight percent of isotope (except as noted in the next paragraph). List
material differing in any of these data elements on separate lines.
Two or more lines may be necessary to describe a single batch (e.g., spent fuel
assemblies, mixed-oxide fuel). If a batch consists of several types of nuclear material,
use several consecutive lines to describe the batch. Repeat the batch name on all lines
used to describe a single batch. In block 27e, also repeat the number of items on all
lines with the same batch name.
The above general rules for grouping or batching material for reporting purposes also
apply to licensees reporting imports or exports pursuant to 10 CFR Part 40 or
10 CFR Part 74. Batch names are optional for other transactions reported pursuant to
10 CFR Part 40 or 10 CFR Part 74.
27a.
BACK REFERENCE NUMBER—Must match the shipper’s value. See 26a.
27b.
LINE NUMBER—Must match the shipper’s value. See 26b.
27c.
TYPE OF INVENTORY CHANGE—Must match the shipper’s value. See 26c.
27d.
IDENTIFICATION (ITEM/BATCH NAME)—See 26d.
27e.
NO. OF ITEMS—See 26e.
27f.
PROJECT NUMBER—See 26f.
27g.
MATERIAL TYPE—Must match the shipper’s value. See 26g.
27h.
COMPOSITION/FACILITY CODE—See 26h.
27i.
OWNER CODE—Describes the material ownership at the time it comes into the
receiver’s possession. See 26i.
27j.
KEY MEASUREMENT POINT—See 26j.
27k.
MEASUREMENT IDENTIFICATION—See 26k.
27l.
GROSS WEIGHT—See 26l.
27m.
NET WEIGHT—See 26m.
19
NUREG/BR-0006, Rev. 7
27n.
ELEMENT WEIGHT—See 26n.
27o.
ELEMENT LIMIT OF ERROR—See 26o.
27p.
WEIGHT % ISOTOPE—See 26p.
27q.
ISOTOPE WEIGHT—See 26q.
27r.
ISOTOPE LIMIT OF ERROR—See 26r.
27s.
SIGNATURE OF AUTHORIZED OFFICIAL AND DATE SIGNED—See 26s.
2.2 Preparation of DOE/NRC Form 741 in Computer-Readable Format
NMMSS Report D-24 provides instructions for preparing DOE/NRC Form 741 in computerreadable format as required for submittals.
2.3 Distribution of DOE/NRC Form 741
2.3.1 Shipper
Each shipper of reportable quantities of SNM or source material must dispatch a DOE/NRC
Form 741, as described below, no later than the close of business the next working day after the
shipment. In the case of spent fuel shipments, in accordance with 10 CFR 73.37, the date of
shipment is Safeguards Information until 10 days after the shipment or the last shipment in a
series of shipments is received. Therefore, the DOE/NRC Form 741 should be identified as
Safeguards Information and handled according to 10 CFR 73.21.
When submitting Safeguards Information, a Concise Note Form 740M must be submitted
stating that the submission is Safeguards Information and should be handled in accordance with
10 CFR 73.21.
Burials are reported when shipped. The burial site operator must prepare a DOE/NRC
Form 741 and transmit it to the NMMSS to document receipt and disposal.
The completed DOE/NRC Form 741 is distributed as follows:
$
Provide a copy, in a mutually agreeable format, to the other party in the transaction.
$
Submit one copy in computer-readable format to the NMMSS. See Section 1.5 for
documentation and distribution of classified and unclassified reports.
$
Retain one copy for the file.
2.3.2 Receiver
The receiver should distribute the completed DOE/NRC Form 741 as follows:
$
Submit one copy in computer-readable format to the NMMSS. See Section 1.5 for
documentation and distribution of classified and unclassified reports.
NUREG/BR-0006, Rev. 7
20
$
Return one copy, in a mutually agreeable format, to the shipper.
$
Retain one copy for the file.
21
NUREG/BR-0006, Rev. 7
NUREG/BR-0006, Rev. 7
22
3 INSTRUCTIONS FOR ONSITE GAINS AND LOSSES
(M ACTION CODE)
3.1 Instructions for Completing DOE/NRC Form 741
When using action code M, the licensee should complete DOE/NRC Form 741 in accordance
with the following instructions:
1.
SHIPPER’S RIS—Enter the RIS.
2.
RECEIVER’S RIS—Same as in block 1.
3.
TRANSACTION NUMBER—See the instructions for block 3 in Section 2.1.1 or contact
the NMMSS operator for other options.
4.
CORRECTION NUMBER—See the instructions for block 4 in Section 2.1.1.
5.
PROCESSING CODE—See the instructions for block 5 in Section 2.1.1.
6.
ACTION CODE—Enter M in 6a or 6b or both.
7.
DOCUMENTATION—Enter the number of pages if the submission is classified. This
block is for paper-copy submissions only.
8.
NAME AND ADDRESS OF SHIPPER—Leave blank.
9.
NAME AND ADDRESS OF RECEIVER—Leave blank.
10.
NUMBER OF DATA LINES—Enter the total number of detail line entries on the form.
11.
NATURE OF TRANSACTION—Leave blank.
12.
SHIPPED FOR ACCOUNT OF—Leave blank.
13.
SHIPPED TO ACCOUNT OF—Leave blank.
14.
TRANSFER AUTHORITY—Leave blank.
15.
EXPORT OR IMPORT TRANSFERS—Leave blank.
16.
MATERIAL TYPE AND DESCRIPTION—Leave blank.
17.
LINE NUMBER—See the instructions in Section 2.1.1 for block 17.
18.
COUNTRY OF OBLIGATION—See the instructions in Section 2.1.1 for block 18.
19.
MATERIAL TYPE—See the instructions in Section 2.1.1 for block 19.
23
NUREG/BR-0006, Rev. 7
20.
OBLIGATED ELEMENT WEIGHT—See the instructions in Section 2.1.1 for block 20.
21.
OBLIGATED ISOTOPE WEIGHT—FOR ENRICHED URANIUM ONLY—See the
instructions in Section 2.1.1 for block 21.
22.
ACTION DATE—Enter the date of the activity in at least one of blocks 22a through 22e.
If more than one block is completed, all dates must be the same.
23.
MISCELLANEOUS—Leave blank.
24.
TOTAL GROSS WEIGHT—Leave blank.
25.
TOTAL VOLUME—Leave blank.
26.
SHIPPER’S DATA
26a.
BACK REFERENCE NUMBER—See the instructions in Section 2.1.1 for this block.
26b.
LINE NO.—See the instructions in Section 2.1.1 for this block.
26c.
TYPE OF INVENTORY CHANGE—See Section 2.1.1.
26d.
IDENTIFICATION (ITEM/BATCH NAME)—See Section 2.1.1.
26e.
NO. OF ITEMS—See Section 2.1.1.
26f.
PROJECT NUMBER—Leave blank.
26g.
MATERIAL TYPE—See Section 2.1.1.
26h.
COMPOSITION/FACILITY CODE—See Section 2.1.1.
26i.
OWNER CODE—See Section 2.1.1.
26j.
KEY MEASUREMENT POINT—See Section 2.1.1.
26k.
MEASUREMENT IDENTIFICATION—See Section 2.1.1.
26l.
GROSS WEIGHT—See Section 2.1.1.
26m.
NET WEIGHT—See Section 2.1.1.
NUREG/BR-0006, Rev. 7
24
26n.
ELEMENT WEIGHT—See Section 2.1.1.
26o.
ELEMENT LIMIT OF ERROR—See Section 2.1.1.
26p.
WEIGHT % ISOTOPE—Leave blank for ICT codes MF and EQ unless the material is
enriched uranium. For ICT codes LN and TN, report the same weight percent of isotope
as for the beginning of the inventory period. See the instructions in Section 2.1.1 for this
block.
26q.
ISOTOPE WEIGHT—See Section 2.1.1.
26r.
ISOTOPE LIMIT OF ERROR—Leave blank.
26s.
SIGNATURE OF AUTHORIZED OFFICIAL AND DATE SIGNED—See Section 2.1.1.
27.
RECEIVER’S DATA—See the instructions in Section 2.1.2 for block 27.
3.2 Preparation of DOE/NRC Form 741 in Computer-Readable Format
NMMSS Report D-24 provides instructions for preparing DOE/NRC Form 741 in computerreadable format as required for submittals.
3.3 Distribution of DOE/NRC Form 741
Distribution of the completed DOE/NRC Form 741 should be as follows:
$
Submit one copy in computer-readable format to the NMMSS. (See Section 1.5 for
documentation and distribution of classified and unclassified reports.)
$
Retain one copy for the file.
25
NUREG/BR-0006, Rev. 7
4 INSTRUCTIONS FOR CORRECTING A DOE/NRC FORM 741
(C, D, AND M ACTION CODES OR Z PROCESS CODE)
Adjustments are independent actions. Either the shipper or the receiver may initiate an
adjustment to a DOE/NRC Form 741 reporting the original shipment or receipt of material or an
adjustment to any previous adjustment to the original. The other party is required to
acknowledge that an adjustment was made but not required to make the same adjustment to its
records.
4.1 Originator
The originator of the “corrected copy” must do the following:
$
Complete blocks 1 through 25, as appropriate, referring to the copy of DOE/NRC
Form 741 being corrected.
$
Insert in block 26a or 27a of the “did-read” (Was) line, as appropriate, a back-reference
code. If the line of data has not been previously corrected, use a zero (0). If previously
corrected, the first digit is the correction number (block 4) from the DOE/NRC Form 741
being corrected. If the line of data has been corrected several times, use the most
recent correction number. The next two digits are the line number (block 26b or 27b) on
the DOE/NRC Form 741 being corrected. The “did-read” line can only reference a line
on the original document or a “should-read” line. No two or more “did-read” lines can
back-reference the same line.
$
Complete the “did-read” line, blocks 26b through j and n through r or 27b through j and n
through r, as appropriate, by duplicating the entire line being corrected from the
DOE/NRC Form 741 being corrected and indicating the opposite sign (positive or
negative) from the original one used in reporting the number of items (block e), element
weight (block n), element limit of error (block o), isotope weight (block q), and isotope
limit of error (block r).
$
Insert in block 26a or 27a of the “should-read” (Should-Be) line, as appropriate, a backreference code that references the corresponding “did-read” line. The first digit is the
correction number of the document being completed. The next two digits are the line
number of the corresponding “did-read” line. The “should-read” line can only reference a
“did-read” line. No two or more “should-read” lines can back-reference the same line.
Repeat this procedure until all lines requiring adjustment have been backed out and the correct
information has been entered.
The “did-read” and “should-read” for each line being adjusted should be paired
(i.e., consecutive).
One or more changes can be made to each line. Only incorrect lines should be included in a
correction report.
NUREG/BR-0006, Rev. 7
26
If adding a line to the original document, the back-reference should be (000) (block 26a or 27a),
and pairing is not done.
If a line previously reported is split into two or more lines, one of the “should-be” lines should
back-reference the “did-read” line, and all others should be considered new additions (000).
If a line is to be voided, use only a “did-read line” (no pairing). Appendix C provides examples
of an initial report and subsequent correction reports.
4.2 Receiver
Within 10 days, the facility receiving the corrected DOE/NRC Form 741 must do one of the
following:
$
Submit a DOE/NRC Form 741 acknowledging the adjustment (which will close a
transaction but will not affect the acknowledging party=s values).
$
Submit a DOE/NRC Form 741 accepting the adjustment or reporting the facility’s own
adjustment. This closes a transaction and applies the accepted or reported adjustment
to the acknowledging party=s values.
There is no requirement for both parties to make the same quantity adjustments. However, if
both parties choose to adjust on the same corrected DOE/NRC Form 741, they must both report
the same number of entries, and the material types must agree line for line.
4.3 Use of the Z Process Code
If the receiving party agrees to all changes for an action code C document, the receiving party
may use process code Z and action code D. A DOE/NRC Form 741 should be used to report
data in blocks 1, 2, 3, 4, and 22. The Z code should be entered in block 5b and action code D
entered in block 6b, and block 22 should be completed. A licensee reporting pursuant to
10 CFR Part 75 may not use the Z process code.
4.4 Distribution of Corrections to DOE/NRC Form 741
The originator should do the following:
$
Submit one copy, in a mutually agreeable format, to the other party in the transaction.
$
Submit one copy in computer-readable format to the NMMSS. (See Section 1.5 for
documentation and distribution of classified and unclassified reports.)
$
Retain one copy for the originating facility’s file.
Upon receipt of a correction, a licensee should distribute a completed DOE/NRC Form 741
reporting an acknowledgment, acceptance, or correction as follows:
27
NUREG/BR-0006, Rev. 7
$
Submit one copy to the NMMSS. (See Section 1.5 for documentation and distribution of
classified and unclassified reports.)
$
Return one copy to the originator.
$
Retain one copy for the facility’s file.
NUREG/BR-0006, Rev. 7
28
5 INSTRUCTIONS FOR COMPLETING
DOE/NRC FORM 740M
These instructions apply to all licensees who have been notified by letter from the NRC, as
provided in 10 CFR 75.11, that their installations have been identified under the U.S./IAEA
Safeguards Agreement. FAs or TFAs for such installations may specify circumstances under
which concise notes must be submitted to the IAEA as attachments to other reports. These
facilities should use DOE/NRC Form 740M to explain to the foreign state where the IAEArequired data items appear.
Licensees who are reporting what is determined to be Safeguards Information must submit a
concise note, as discussed in Section 1.5.
These instructions also apply to importers who for any reason cannot use the same batch name
as the shipper. If the shipper fails to supply a batch name, the importer should supply a batch
name and attach a concise note to that effect.
In some cases, it may be desirable to provide additional explanatory information with reports.
DOE/NRC Form 740M is used to submit this information. A DOE/NRC Form 740M may be
attached to DOE/NRC Form 741, to DOE/NRC Form 742, to DOE/NRC Form 742C, or to a
standalone concise note for facilities reporting under 10 CFR Part 75.
The numbered blocks of DOE/NRC Form 740M should be completed as follows:
1.
NAME AND ADDRESS—Leave blank.
2.
ATTACHMENT TO—Place an X in the appropriate box to indicate that this explanatory
information will be attached to a DOE/NRC Form 741
When attaching the concise note to DOE/NRC Form 742 or 742C, enter the number 1
for the first concise note attached to the particular DOE/NRC Form 742 or 742C. When
issuing an additional concise note for a particular DOE/NRC Form 742 or 742C, enter
the next sequential number (2–9) of the concise note.
3.
RIS—Enter the RIS to which the explanatory information in this report applies.
4.
REPORTING PERIOD—Complete this block only when the concise note is attached to a
DOE/NRC Form 742 or a DOE/NRC Form 742C. Enter the beginning and ending dates
of the reporting period as shown on Form 742.
5.
TRANSACTION DATA—Complete this block only when the concise note is attached to a
DOE/NRC Form 741 or if a standalone concise note is submitted. Copy the requested
data from DOE/NRC Form 741. All entries in this block must be identical to those on
DOE/NRC Form 741. Fill in the blocks as follows.
5A.
SHIPPER=S RIS—Enter the RIS of the shipper.
5B.
RECEIVER=S RIS—Enter the RIS of the receiver.
29
NUREG/BR-0006, Rev. 7
5C.
TRANSACTION NUMBER—Enter the unique transaction number.
5D.
CORRECTION NUMBER—If the DOE/NRC Form 741 is a correction to a previous
report, enter the correction number.
5E.
PROCESSING CODE—Insert the same code used in DOE/NRC Form 741.
5F.
ACTION CODE—If a Form 740M is used with a DOE/NRC Form 741, enter the same
action code as on the DOE/NRC Form 741, block 7; otherwise, enter action code M.
6.
REPORTING DATE—Complete this block if the concise note is attached to a DOE/NRC
Form 741 or 742C. Copy the date shown on DOE/NRC Form 741 or 742C.
7.
This block contains the actual explanatory data and other data necessary to link the
explanatory data to the part or parts of the report to which the data apply. Complete this
block as follows.
7A.
LINE NO.—Enter consecutive numbers beginning with 1 for each explanatory reference.
7B.
ENTRY REFERENCE—If the explanatory information entered on this line of the
DOE/NRC Form 740M applies to the entire DOE/NRC Form 741, 742, or 742C, enter
WHOLE REPORT. If the explanation applies to the data on a specific batch on a
DOE/NRC Form 741 or 742C, copy the batch name exactly as it appears on the
DOE/NRC Form 741 or 742C. If the explanation applies to a specific material balance
category on a DOE/NRC Form 742, enter the two-digit number of the material balance
category. Additionally, if the explanation applies to material balance categories 11, 30,
42, 43, or 51, enter the RIS shown on the relevant line of DOE/NRC Form 742. If the
explanation applies to categories 22 or 71, enter the two-character ICT as shown on the
relevant line of DOE/NRC Form 742. If the DOE/NRC Form 740M action code is M,
enter GENERAL.
7C.
TEXT OF CONCISE NOTE—Enter any 43 letters, numbers, or special characters per
line. Up to 99 lines of text may be used for any one explanation.
8.
SIGNATURE—An authorized representative of the licensee must sign DOE/NRC
Form 740M. See the instructions in Section 2.1.1 for block 26s.
9.
TITLE—Enter the title of the person signing the form.
10.
DATE—Enter the date the form is signed.
DOE/NRC Form 740M should be put into computer-readable format following the additional
guidance in NMMSS Report D-24.
Copies of Form 740M must be attached to, and distributed with, the DOE/NRC Form 741, 742,
or 742C to which the DOE/NRC Form 740M applies.
NUREG/BR-0006, Rev. 7
30
6 DOE REPORTING REQUIREMENTS FOR PROPRIETARY
INTERESTS OF THE GOVERNMENT
NRC licensees are responsible for routinely reporting to the NMMSS all DOE-owned, -loaned,
or -leased material in their possession as prescribed in DOE Orders Series 470 (DOE
Order 470.4 and DOE M 470.4-6).
31
NUREG/BR-0006, Rev. 7
NUREG/BR-0006, Rev. 7
32
7 REFERENCES
This report and its appendices reference the NMMSS documents listed below. To request
these documents, telephone the NMMSS operator.
NMMSS Report D-2, “The DOE Directory of Reporting Identification Symbols”
NMMSS Report D-3, “The NRC Directory of Reporting Identification Symbols”
NMMSS Report D-15, “International Nuclear Facilities Codes Manual”
NMMSS Report D-24, “Personal Computer Data Input for NRC Licensees”
NMMSS Report D-25, “Transaction Composition Code Reference List”
American National Standards Institute Report D-50A-109, “ANSI Codes”
33
NUREG/BR-0006, Rev. 7
34
NUREG/BR-0006, Rev. 7
APPENDIX A
COMPOSITION CODES
NUREG/BR-0006, Rev. 7
NUREG/BR-0006, Rev. 7
COMPOSITION CODES
The codes listed below are for use in completing blocks 26h or 27h on DOE/NRC Form 741,
“Nuclear Material Transaction Reports.” If an installation has been notified by letter from the
U.S. Nuclear Regulatory Commission (NRC), as provided in Title 10, Section 75.11, “Installation
Information,” of the Code of Federal Regulations (10 CFR 75.11), that it has been identified
under the U.S./International Atomic Energy Agency Safeguards Agreement, the licensee should
enter the appropriate code from the list developed during the formulation and negotiation of the
facility attachment or transitional facility attachment (after the document has been provided
under 10 CFR 75.8, “Facility Attachments”).
In accordance with 10 CFR 75.11, any change in facility operations or processes that would
result in any changes to, additions to, or deletions from the list should be communicated to the
NRC in writing, to the extent provided in the facility’s license conditions, at least 70 days in
advance of the changes so that new composition codes can be assigned.
For additional composition codes, see Nuclear Materials Management and Safeguards System
(NMMSS) Report D-25, “Transaction Composition Code Reference List,” and American National
Standards Institute (ANSI) Report D-50A-109, “ANSI Codes.”
UNENCAPSULATED (except scrap)
Code
032
U3O8 (oxide product)
048
UO3 (trioxide product)
770
Carbides
455
Other Oxides Product (for all oxides not otherwise identified)
064
Tetrafluorides (tetrafluoride product)
083
UF6 (hexafluoride product)
095
Enriching Process
102
Hexafluorides—in Enriching Process
103
Hexafluoride Product
107
Uranium in Cascades—Holdup
120
UF6 Feed
773
UF6 Heels
A-1
NUREG/BR-0006, Rev. 7
363
In Reactor Product
409
Nitrate Solutions Product
786
Acetate Solutions Product
701
Unalloyed Metal Product
702
Alloyed Metal Product
771
Samples and Standards
637
Sintered Products
UNENCAPSULATED SCRAP (for recovery)* +
375
Irradiated Recyclable Fuel
WASTE (for disposal)
Waste material should be described by an appropriate scrap category.*
ENCAPSULATED
291
Fabricated Fuel Elements (pins, rods, plates)
309
Fuel Assemblies (assembled items product)
481
Sealed Sources (fabricated sources product)
OTHER
776
Other Products
E04
Miscellaneous Noncombustibles (Uranium)
Note: Uranium/thorium and plutonium/uranium mixed-oxide fuels should be reported either as
fuel elements (code 291) or as fuel assemblies (code 309) as applicable.
Report the different material types in the mixed-oxide fuels on separate lines.
*
+
ANSI codes for plutonium scrap may be used in lieu of these codes.
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. 7
A-2
APPENDIX B
INVENTORY CHANGE TYPE CODES FOR COMPLETING
BLOCKS 26c AND 27c OF DOE/NRC FORM 741
NUREG/BR-0006, Rev. 7
NUREG/BR-0006, Rev. 7
INVENTORY CHANGE TYPE CODES FOR COMPLETING
BLOCKS 26c AND 27C OF DOE/NRC FORM 741
All inventory change type codes on transaction reports consist of two alphabetic or numeric
characters. The accounting entry type codes used on material balance reports (MBRs) consist of
two digits. In the following pages, the number(s) in parentheses following the alphabetic code
represent the MBR line to which the transaction entries correspond. The standard inventory
changes and other entry types are listed below. In transaction reports, all transactions and
operations are understood to be related to individual batches. In MBRs, corresponding the same
codes denote consolidated entries (i.e., the sums of all individual operations with the same code
over the material balance period). In addition, MBRs include entries related to inventory data and
adjustments not reported on transaction reports.
Gains or losses of material that occur based on the total inventory, or in which individual effects to
inventories by country of obligation code cannot be determined, should be reported as a loss to all
country obligation balances by applying a one to one ratio by percent of the country of obligation to
the amount of inventory affected to the amount of inventory change. For example, if decay is
reported for plutonium within a reactor and the plutonium balance represents several different
country of obligation balances, the following calculations would determine the amount of decay to
apply to each country of obligation code balance.
Element
1,202,239
998
Amount of inventory for which decay applies
Calculated decay for the period
Isotope
950,947
998
Balance by Country Obligation Code
OBLIGATION CODE
33
34
32
Total Pu Balance
ELEMENT
200,000
ISOTOPE
158,196
% Ratio to Total Inventory
200,000/1,202,239 = .166 x 100 = 17%
509,321
402,863
509,321/1,202,239 = .424 x 100 = 42%
492,918
1,202,239
389,888
950,947
492,918/1,202,239 = .410 x 100 = 41%
100%
Amount of decay to apply to each country of obligation code balance
33
998 x 17% = 169.66 rounded to the nearest gram = 170
34
998 x 42% = 419.16 rounded to the nearest gram = 419
32
998 x 41% = 409.18 rounded to the nearest gram = 409
998
The following should also be used for the isotope balances:
B-1
NUREG/BR-0006, Rev. 7
TRANS. MBR
CODE LINE
EXPLANATION
REQUIREMENT FOR
BLOCKS 26c AND 27c
RF
(11, 13, 30, 38, 39)
Nuclear material imported into the United
States (receipt foreign).
Make no entry
RD
(11, 13, 30, 38, 39)
Domestic receipt of nuclear material from
another domestic reporting identification
symbol (RIS) (receipt domestic).
Make no entry
RN
(11, 13, 30, 38, 39)
Domestic receipt of nuclear material from
activity not subject to 10 CFR Part 75.
Make no entry
NP
(21)
Production of fissionable material in a reactor
(Pu, U233).
Entry required by
licensee
DU
(76)
Reapplication of safeguards in nuclear
material previously exempted therefrom
pursuant to Article 38 of the US/IAEA
Safeguards Agreement after being exempted
based on use (licensees subject to
10 CFR Part 75 only).
Entry required only after
notification by the NRC
DQ
(76)
Reapplication of safeguards in nuclear
material previously exempted therefrom
pursuant to Article 38 of the Agreement after
being exempted based on quantity (licensees
subject to 10 CFR Part 75 only).
Entry required only after
notification by the NRC
SF
(42, 43, 51, 58, 59)
Export of nuclear material out of the United
States.
Make no entry
SD
(42, 43, 51, 58, 59)
Domestic transfer of nuclear material from
another domestic RIS.
Make no entry
SN
(42, 43, 51, 58, 59)
Domestic transfer of nuclear material from a
facility subject to 10 CFR Part 75 to a waste
management facility.
Entry required
SN
(42, 43, 51, 58, 59)
Domestic transfer of nuclear material from a
Make no entry
facility subject to 10 CFR Part 75 to a facility
other than a waste management facility.
Consumption of nuclear material because of its Entry required by
transformation into other elements or
licensee
isotope(s) as a result of nuclear reactions
(burnup).
LN*
(73)
*Note: When calculating weight percent isotope in the case of burnup or decay, report the
same weight percent isotope for decay and burnup as the weight percent of the beginning
inventory for the period.
NUREG/BR-0006, Rev. 7
B-2
TRANS. MBR
CODE LINE
TN*
(72)
EXPLANATION
Consumption of nuclear material because of
transformation into other elements or
isotope(s) as a result of nuclear reactions
(decay).
REQUIREMENT FOR
BLOCKS 26c AND 27c
Entry required by
licensee
*Note: When calculating weight percent isotope in the case of burnup or decay, report the
same weight percent isotope for decay and burnup as the weight percent isotope of the original
inventory for the period.
LD
(74)
Normal operational loss/measured discard;
(i.e., loss of a measured or estimated (on the
basis of measurement) quantity of nuclear
material from processing which has been
disposed of in such a way that it is not
suitable for further nuclear use).
Entry required by
licensee
TW
(74)
Transfer to the retained waste category of
measured nuclear material which is deemed
to be irrecoverable, to be stored at the
material balance area (MBA) and to be
deleted from the inventory of the MBA.
Entry required by
licensee
FW
(51)
Retransfer of material that has been stored at
the MBA as retained waste to the nuclear
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.
Entry required by
licensee
EU
(76)
Exemption of nuclear material from
safeguards pursuant to Article 36 of the
Agreement (licensees subject to
10 CFR Part 75 only).
Entry required only after
notification by the NRC
EQ
(76)
Exemption of nuclear material from
safeguards pursuant to Article 37 of the
Agreement (licensees subject to
10 CFR Part 75 only).
Entry required only after
notification by the NRC
TU
(76)
Termination of safeguards on nuclear
material pursuant to Articles 13 and 35 of the
Agreement (licensees subject to
10 CFR Part 75 only).
Entry required only after
notification by the NRC
LA
(75)
Irretrievable and inadvertent loss of a known
quantity of nuclear material as the result of
an operational accident.
Entry required by
licensee
B-3
NUREG/BR-0006, Rev. 7
TRANS. MBR
CODE LINE
GA
(75)
EXPLANATION
Nuclear material unexpectedly found to be
present in the MBA, except when detected in
the course of a physical inventory taking.
Gains should be reported as a negative
value.
REQUIREMENT FOR
BLOCKS 26c AND 27c
Entry required by
licensee
DI
(N/A)
The difference between the batch quantity
reported as received (always on shipper=s
data) and the quantity of the same batch as
measured by the operator of the receiving
MBA (licensees subject to 10 CFR Part 75
only).
Make no entry
RM
(N/A)
The quantity by which the batch mentioned in
the entry is diminished in cases of rebatching
(licensees subject to 10 CFR Part 75 only).
Licensee entry required,
if applicable
RP
(N/A)
The quantity of material added from another
batch to the batch mentioned in the entry
(licensees subject to 10 CFR Part 75 only).
Licensee entry required,
if applicable
EN
ED
NE
ND
DE
DN
EE
(22, 71)
Category Change—The quantity of uranium
that has changed category as a result of
blending, enrichment, depletion, or burnup.
The first letter denotes the original, the
second letter the resulting category
(E=enriched, N=natural (or normal),
D=depleted uranium, EE=change of
enrichment). The material type codes should
be those for both the original and the
resulting material. The weight data should be
provided both for the originating and for the
resulting category.
Entry required by
licensee
These entries should be consolidated into the
material balances for both categories. For
any of these changes, line pairing is required;
one line denotes the original material and the
other denotes the resulting material.
(22, 71)
MF
(77)
Enrichment facility 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
as directed by the NRC.
Inventory Difference—This should be
calculated as the difference between the
book inventory and the ending physical
NUREG/BR-0006, Rev. 7
B-4
Entry required by
licensee
TRANS. MBR
CODE LINE
EXPLANATION
REQUIREMENT FOR
BLOCKS 26c AND 27c
inventory. Reactors must not use this code.
PB
(N/A)
Beginning Physical Inventory—This should
be equal to the ending physical inventory of
the previous MBR relating to the same
material.
Entry required by
licensee
BA
(83)
The algebraic sum of the beginning physical
inventory and of the inventory changes over
the period, adjusted to take account of the
shipper-receiver differences.
Entry required by
licensee
PE
(N/A)
The sum of all measured and derived batch
quantities of nuclear material on hand on the
date of the physical inventory taking.
These entries should be consolidated.
Entry required by
licensee
RAXX
(N/A)
Applicable to licensees subject to
10 CFR Part 75 only. The quantity that must
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 the International Atomic
Energy Agency (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
inventory difference (ID) or material
unaccounted for (MF), the following formulas
should be used respectively:
Entry by licensee
required only if
applicable
RABA = PB + ICRMBR B DI B BA, and
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.
No rounding adjustment is needed for the
beginning physical inventory.
The rounding adjustment should be coded
B-5
NUREG/BR-0006, Rev. 7
TRANS. MBR
CODE LINE
EXPLANATION
REQUIREMENT FOR
BLOCKS 26c AND 27c
RAXX where XX stands for the code of the
entry to which the rounding adjustment
pertains (e.g., RALN means a rounding
adjustment to the consolidated entry on the
nuclear loss).
34
(30)
Receipts—Miscellaneous. Enter quantities of
material received in two-party transactions
where only receiver=s data or receipts of
quantities of material falling below the
reporting level are reported and now
cumulatively total 1 gram or more for SNM or
1 kilogram or more for 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 purchased by the facility for its own
account from in situ material that it had been
holding or material that the facility is
processing for another licensee.
54
(51)
Shipments—Miscellaneous. Enter quantities
of material shipped in two-party transactions
where only shipper’s 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 for 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.
Licensee entry required
65
Rounding Adjustment
Entry required by
licensee. Note: A
negative value adds to
the site inventory.
NUREG/BR-0006, Rev. 7
B-6
Licensee entry required
APPENDIX C
EXAMPLE DOCUMENTATION OF SHIPPER AND RECEIVER DATA
(BLOCKS 26 AND 27)
NUREG/BRB0006, Rev. 7
NUREG/BRB0006, Rev. 7
EXAMPLE DOCUMENTATION OF SHIPPER AND RECEIVER DATA
(BLOCKS 26 AND 27)
EXAMPLE 1a—INITIAL REPORT
On March 31, 2008, shipper YYY transferred to receiver XXX four fabricated fuel elements
containing the following:
Line
1
2
3
4
FAB FUEL ELE-1
FAB FUEL ELE-2
FAB FUEL ELE-3
FAB FUEL ELE-4
Element
377699 g
42114 g
377855 g
41992 g
Isotope
18111 g
1344 g
18122 g
1340 g
EXAMPLE 1b—RECEIVERS REPORT
On April 1, 2008, receiver XXX acknowledged receipt of the shipment and accepted the
shipper’s weights without further measurement.
EXAMPLE 1c —CORRECTION 1
On April 16, 2008, the shipper corrected the element weights for lines 1 and 4 to reflect the
adjusted element and isotope weights as well as obligated enriched uranium.
EXAMPLE 1d —RECEIVERS CORRECTION 1
On April 23, 2008, the receiver acknowledged receipt of the correction and reported the
corrections to NMMSS.
EXAMPLE 2m (ACTION CODE M)
On March 31, 2008, facility XXX reported on-site inventory adjustments of fission, decay and
production that changed their inventory of enriched uranium and plutonium.
Example 2m-a Correction (ACTION CODE M)
On March 31, 2007, facility XXX reported a correction to their on-site production of plutonium.
This change also changes the quantity of obligated plutonium at the facility.
EXAMPLE 3a—EXPORT OF A FUEL ASSEMBLY
On March 31, 2008, facility YYY reported the export of one fuel assembly to a foreign facility.
EXAMPLE 4a—INITIAL REPORT OF AN IMPORT
On March 31, 2008, facility XXX submitted a report documenting the shipment of three fuel
assemblies from a foreign facility YYY.
C-1
NUREG/BRB0006, Rev. 7
EXAMPLE 4b—RECEIVERS REPORT OF AN IMPORT
On March 31, 2008, facility XXX submitted a report documenting the receipt of three fuel
assemblies from a foreign facility YYY.
EXAMPLE 5a –INITIAL REPORT OF SHIPMENT TO BURIAL SITE
On March 31, 2008, facility XXX submitted a report documenting the shipment of uranium waste
to a burial site.
EXAMPLE 5b –RECEIVERS REPORT OF A SHIPMENT TO BURIAL SITE
On April 5, 2008, facility VVV submitted a report documenting the receipt of uranium waste to
the burial site.
List of Examples:
Example 1a: DOE/NRC Form 741—Initial report
Example 1b: DOE/NRC Form 741—Receivers report
Example 1c:
DOE/NRC Form 741—Correction 1 (shipper adjusting lines 1 and 4 of the initial
transaction)
Example 1d: DOE/NRC Form 741—Correction 1 (receiver adjusting lines 1 and 4 of the initial
transaction)
Example 2m: DOE/NRC Form 741— Initial report (action code M)
Example 2m-a:DOE/NRC Form 741—Correction 1 (action code M)
Example 3a: DOE/NRC Form 741—Initial report (export from the USA)
Example 4a: DOE/NRC Form 741—Initial report (shipment to the USA)
Example 4b: DOE/NRC Form 741—Receivers report (shipment to the USA)
Example 5a: DOE/NRC Form 741—Initial report (shipment to a burial site)
Example 5b: DOE/NRC Form 741—Receivers report (shipment to a burial site)
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APPENDIX D
GLOSSARY
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GLOSSARY
AccountabilityCThe determination of, and current record maintenance of, special nuclear
material and source material quantities associated with transfers, measured discards,
inventories, and inventory differences that might result from theft, diversion, or other unidentified
loss mechanisms.
Agreement StateCA State that has signed an agreement with the U.S. Nuclear Regulatory
Commission under which the State regulates the use of byproduct, source, and small quantities
of special nuclear material in that State.
Book inventoryCThe algebraic sum of the most recent physical inventory of the material balance
area and of all inventory changes that have occurred since the physical inventory was taken.
Concise noteCAdditional nuclear material transaction, material balance, or inventory data
supplied, in free text format, by facilities engaged in the import and/or export of nuclear
materials, by facilities selected under the provisions of the agreement between the United
States and the International Atomic Energy Agency (IAEA) for the application of safeguards in
the U.S./IAEA Safeguards Agreement, or by a facility that would like to transmit any additional
explanatory nuclear material information.
EURATOMCAs of January 2008, an organization consisting of the member countries Austria,
Belgium, Bulgaria, Cyprus, the Czech Republic, Denmark, Estonia, Finland, France, Germany,
Greece, Hungary, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, the Netherlands, Poland,
Portugal, Romania, the Slovak Republic, Slovenia, Spain, Sweden, and the United Kingdom.
Foreign obligated nuclear materialCSource material or special nuclear material that is subject to
the terms and conditions of an agreement that the U.S. Government has entered into with
another government or group of governments.
Highly enriched uranium (HEU)CUranium enriched to 20 percent or greater in the isotope
uranium-235.
Holding accountCTypically identified by four-character reporting identification symbols (RISs)
ending in the letter H assigned by the U.S. Nuclear Regulatory Commission. Some enrichment
facilities have holding accounts identified by three-character RISs beginning with the letter V.
Regardless of the RIS, these accounts usually acquired inventory from the shipment of licensed
material from the primary RIS in use at the licensee. Typically, a small number of licensees
have used these accounts for nuclear materials not expected to be immediately processed,
reprocessed, or disposed. However, the licensed nuclear materials in holding accounts are still
in the licensee’s possession and must be included in inventories reported to the Nuclear
Materials Management and Safeguards System.
Inventory difference (ID)CThe arithmetic difference between a book inventory and the
corresponding physical inventory that closes the material balance period. It is calculated by
subtracting the ending inventory (EI) and removals from inventory (R) from the beginning
inventory (BI) and additions to inventory (A) during the period between physical inventories.
Mathematically, ID can be expressed in the following way:
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ID = (BI + A - R) - EI
where (BI + A - R) is the book inventory.
Inventory reconciliationCThe adjustment of the book record quantity of both elements and fissile
isotopes to reflect the results of a physical inventory. In a broad sense, inventory reconciliation
involves the activities of calculating (1) the inventory difference (ID) for the material balance
period in question, (2) the uncertainty value associated with the ID, (3) the active inventory for
the period, and (4) any bias adjustment and/or prior period adjustment associated with the ID
value.
Low-enriched uranium (LEU)CUranium enriched below 20 percent in the isotope uranium-235.
Material balance periodCThe time span to which a material or physical inventory pertains.
Nuclear Materials Management and Safeguards System (NMMSS)CThe national database and
information system for select nuclear materials controlled by the U.S. Government. This system
was created to support national safeguards and management objectives in domestic and
international programs. The system stores data on nuclear material transactions and
inventories and produces a wide range of printed reports for use by the U.S. Department of
Energy and the U.S. Nuclear Regulatory Commission and their licensees. The system is used
to satisfy the nuclear materials information requirements of agreements between the United
States and foreign entities. In addition, the system provides the reporting interface between
facilities selected under the provisions of the U.S./International Atomic Energy Agency
Safeguards Agreement.
Physical inventoryCA physical determination of the quantity of nuclear material on hand at a
given time. The methods of physical inventory and the associated measurements vary,
depending on the material to be inventoried and the process involved. A book inventory
between physical inventory takings can be determined based on the physical inventory quantity
from the prior period together with all subsequent inventory changes associated with the
determination of that book inventory. The primary purpose of a physical inventory is to confirm
the absence of (or to detect) a loss, theft, or diversion of special nuclear material.
Report period—Period inclusive of defined dates (e.g., October 1, 2005, through September 30,
2006). Reports for a reporting period, such as inventory, material balance, and related
transactions reports, must assure that no dates are undocumented between the previous and
current submittals.
Reporting identification symbol (RIS)CA unique combination of three or four letters that is
assigned to each reporting organization by the U.S. Department of Energy or the U.S. Nuclear
Regulatory Commission for the purpose of identification in the Nuclear Materials Management
and Safeguards System database.
Shipper-receiver difference (SRD)CThe difference between what a shipper claims a shipment of
special nuclear material contained and what the receiver claims it received, in cases where both
the shipper’s and receiver’s values are based on measurement.
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Source materialCUranium or thorium, or any combination thereof, in any physical or chemical
form; or ores that contain by weight 0.05 percent or more of uranium, thorium, or any
combination thereof. Source material does not include special nuclear material.
Special nuclear material (SNM)CPlutonium, uranium-233, and uranium enriched in the
isotope 233 or 235.
U.S. Government ownedCNuclear material that, while used by a licensee as part of its activities,
is actually an asset owned by a Federal Government agency such as the U.S. Department of
Energy. These materials may be bulk materials, discrete radiation sources, or finished products.
Such materials may represent a lease or loan arrangement with a Government agency.
Government-owned materials are typically represented by the owner code G on shipping
information (i.e., DOE/NRC Form 741) and inventory documentation (i.e., DOE/NRC
Forms 742 and 742C). One way a licensee can make a determination that nuclear material in its
possession is Government owned is to review the licensee’s DOE/NRC Form 741 documentation
listing the original receipt of the material. If such material is Government owned, the owner
code G will appear on the licensee’s portion of the form.
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APPENDIX E
DOE/NRC FORM 740M, “CONCISE NOTE,” (BLANK) AND
DOE/NRC FORM 741, “NUCLEAR MATERIAL TRANSACTION REPORT”
(BLANK)
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APPENDIX F
SUPPLEMENTAL INSTRUCTIONS FOR COMPLETING
BLOCKS 17, 18, 19, 20, AND 21 ON DOE/NRC FORM 741
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SUPPLEMENTAL INSTRUCTIONS FOR COMPLETING
BLOCKS 17, 18, 19, 20, AND 21 ON DOE/NRC FORM 741
1. Introduction
Special procedures must be used to implement some of the reporting requirements of the
U.S. Bilateral Agreements for Peaceful Nuclear Cooperation. These Agreements for
Cooperation are one means to satisfy Section 123 of the Atomic Energy Act of 1954 and allow
the U.S. nuclear industry to trade with foreign countries/entities. The agreements require that the
United States track and report foreign obligated nuclear materials and nuclear material produced
from obligated material from these countries/entities. A foreign obligation is a commitment by
one government to another to treat nuclear materials, nonnuclear materials, and equipment and
components in a manner consistent with the agreement signed by the two governments.
In addition to these Agreements for Cooperation, the United States is also required (pursuant to
the U.S./Russian agreement concerning the disposition of highly enriched uranium extracted
from nuclear weapons) to track and report to Russia the imports, exports, and use of former
Soviet Union downblended highly enriched uranium. Although not a U.S. Bilateral Agreement for
Peaceful Nuclear Cooperation, this agreement contains similar reporting requirements and will
be tracked as such. Facilities that are importers and/or exporters of nuclear material should also
comply with the agreement.
The exchange of obligations can occur only between like materials (i.e., material type (MT) 10,
50, 70, 81, E-1, E-2, E-3, or E-4) within the following constraints:
$
No exchange of material from one MT to another is allowed unless the U.S. Government
provides written prior approval. For example, downblending of E-3 enriched uranium that
results in a lower category (i.e., E-3 of obligated material to become E-1 material)
requires written prior approval of the U.S. Government.
$
The obligated material must be exchanged for similar material unless the
U.S. Government provides written prior approval. For example, nonirradiated material
may not be swapped for irradiated nuclear material unless the U.S. Government provides
written prior approval.
$
Obligation exchanges involving a licensee of the U.S. Nuclear Regulatory Commission
(NRC) and an entity of the U.S. Department of Energy require the NRC’s written prior
approval.
$
Obligation exchanges between two parties must be for the same material quantities.
Additionally, the obligations exchanged must match (i.e., the obligation “shipped or
removed” by one participant is “received or added” by the second party to the
transaction).
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2. Imports
For U.S. facilities importing nuclear material with foreign obligations, the relevant obligation
information will be supplied by the appropriate Government agency. The notification will provide
the information necessary to complete blocks 17–21, if applicable:
•
For imports, the foreign obligation information can be (1) the country/entity from which the
nuclear material was shipped and/or (2) the country/entity attaching “third-party
obligations.” In most cases, for imports from a country that has made the entire shipment
subject to the agreement, the total import quantity will be obligated. If only a portion of
the shipment is subject to an agreement (third-party obligation), the documentation will
clearly specify that amount.
•
For the completion of blocks 17–21, the Government notification will supply (1) the
country/entity of obligation, (2) the MT, and (3) the amount obligated. (See Table 1 below
for country/entity codes. See Table 2 below for reportable obligated MTs and quantities.)
Table 1
Obligation Code
31
32
33
34
35
37
38
39
40
81
82
83
84
85
86
87
88
91
92
WR
Country/Entity
Australia
Canada
EURATOM
Japan
People’s Republic of China
Switzerland
Argentina
Brazil
Chile
Australia/Japan
Canada/Japan
EURATOM/Japan
Australia/EURATOM/Japan
Canada/EURATOM/Japan
China/Japan
Australia/Canada
Australia/EURATOM/Canada
Australia/EURATOM
Canada/EURATOM
Former Soviet Union Weapons
material
Note: For any other obligation codes, contact the Nuclear Materials Management and
Safeguards System (NMMSS) for further instructions.
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Table 2
Reportable MTs and Source and
Special Nuclear Material
Type
Normal uranium
Depleted uranium
Thorium
Plutonium
Enriched uranium
Uranium-233
•
Domestic Code
MT 81
MT 10
MT 88
MT 50
MT 20
MT 70
Licensees should complete the obligation information as follows:
Block 17: LINE NUMBER—The 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 OBLIGATION—For each line, enter the code in Table 1 that
represents the country/entity of obligation.
Block 19: MATERIAL TYPE—For each line, enter the domestic code in Table 2 that
represents the material obligated.
Block 20: OBLIGATED ELEMENT WEIGHT—For each line, enter the weight obligated in
the reportable quantity specified in Table 2. Positive or negative values should be
entered to appropriately account for material addition or removal, respectively.
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 higher
enrichment is authorized or approved by the U.S. Government.) Positive or negative
values should be entered to appropriately account for material addition or removal,
respectively.
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, the obligations on the material must be stated 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
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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 for the foreign facility for all imports of special nuclear material 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, Section 74.31, “Nuclear Material Control and
Accounting for Special Nuclear Material of Low Strategic Significance,” of the Code of
Federal Regulations (10 CFR 74.31), 10 CFR 74.43, “Internal Controls, Inventory, and
Records,” or 10 CFR 74.59, “Nuclear Material Control and Accounting for Special Nuclear
Material of Low Strategic Significance,” for special nuclear material, or if there is an
indication of loss, theft, or diversion of quantities of source material delineated in
10 CFR 40.64 (c)(1)), the shipper is required to document the foreign party’s 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/receipt of materials.
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| File Type | application/pdf |
| File Title | NUREG/BR-0006 |
| File Modified | 2008-07-15 |
| File Created | 2008-07-15 |