Form AP-1 through AP-17 AP-1 through AP-17 various forms for locations

The U.S. Additional Protocol to the U.S. - International
Atomic Energy Agency (IAEA) Safeguards Agreement
Report Handbook
for Locations

1

Table of Contents
Section 1: Introduction
Background
Handbook Overview
Paperwork Reduction Act
Forms
Section 2: Reporting Requirements
Reportable Activities
Report Types
Figure 1: Additional Protocol Reporting Requirements Flow Diagram
Table 1: Deadline for Submission of Reports and Amendments
Section 3: U.S. Additional Protocol Report Forms and Instructions
Form AP-1: Certification
Form AP-2: Contact Information
Form AP-3: Nuclear Fuel Cycle Research and Development (Not Involving
Nuclear Material) With U.S. Government Involvement
Form AP-4: Nuclear Fuel Cycle Research and Development (Not Involving
Nuclear Material) Without U.S. Government Involvement
Form AP-5: Nuclear –Related Manufacturing, Assembly or Construction Activities
Form AP-6: Uranium Hard Rock Mine or Ore Beneficiation Plant
Form AP-7: Concentration Plant Operations
Form AP-8: Holdings of Impure Source Materials
Form AP-9: Imports and Exports of Impure Source Materials
Form AP-10: Holdings of IAEA Safeguards-Exempted Material
Form AP-11: Location of IAEA Safeguards-Terminated Waste Material
Form AP-12: Processing of IAEA Safeguards-Terminated Waste Material
Form AP-13: Export of Specified Equipment and Non-Nuclear Material Report
Form AP-14: Import of Specified Equipment and Non-Nuclear Material Confirmation
Report
Form AP-15: Supplemental Information Report
Form AP-16: Continuation Form
Form AP-17: No Changes Report
Supplements
Supplement 1: Glossary of Terms
Supplement 2: Nuclear Fuel Cycle-Related Manufacturing, Assembly and Construction
Activities
Supplement 3: List of Specified Equipment and Non-Nuclear Material for the Reporting
of Exports and Imports

2

SECTION 1: INTRODUCTION
Background
The United States signed an Additional Protocol (AP) to the Agreement Between the United
States of America and the International Atomic Energy Agency (IAEA) for the Application of
Safeguards in the United States, which requires reporting of certain aspects of the U.S. nuclear
fuel cycle, including: mining and concentration of nuclear ores; nuclear-related equipment
manufacturing, assembly, or construction; imports and exports of specified nuclear equipment
and non-nuclear material; imports, exports, and other activities involving certain source material
(i.e., source material that has not reached the composition and purity suitable for fuel fabrication
or for being isotopically enriched); certain nuclear fuel cycle-related research and development
activities not involving nuclear material; and other activities involving nuclear material not
currently subject to the U.S.-IAEA Safeguards Agreement. The requirements of the AP are
promulgated in the Department of Commerce (DOC) Additional Protocol Regulations (APR) –
Title 15 of the U.S. Code of Federal Regulations (15 CFR) Parts 781 – 799 and the Nuclear
Regulatory Commission (NRC) US-IAEA Safeguards Agreement Regulations -- 10 CFR Parts
75 and 110. The DOC Bureau of Industry and Security (BIS) operates the national database and
will collect reports from NRC- and DOC- regulated persons.

Handbook Overview
This Report Handbook for Locations should be used in conjunction with the DOC APR and 10
CFR Part 75 and 110 to complete DOC/NRC Forms AP-1 through AP-17. Locations on sites of
U.S. facilities selected by the IAEA from the U.S. Eligible Facilities List are required to report
information pursuant to the AP using DOC/NRC Forms AP-A through AP-Q that are covered in
a separate Report Handbook for Sites.
Section 2 of this Handbook provides a brief overview of anticipated reporting requirements. A
flow chart is provided to assist in understanding the requirements for the different types of
reports. Table 1, “Deadlines for Submission of Reports and Amendments,” lists the different
types of reports, the forms to be included in each report, and the deadlines for submission of
these reports to BIS.
Section 3 of this Handbook provides all of the report forms with detailed instructions for
completing each form on the reverse side of the form. The number of forms each location
submits will depend on the type of report being submitted and the activities that are relevant to
the reporting location. Based on the type of report being submitted, each location with
reportable activities is required to submit Forms AP-1 and AP-2, and the relevant activity-based
forms that are applicable for each location (e.g., a person that manufactures zirconium tubes
would submit Forms AP-1, AP-2, and AP-5).
There are also three supplements to this Handbook.
Supplement 1 is a Glossary of Definitions and Terms and serves to define key words that
are used in the Handbook as well as in the report forms.

3

Supplement 2 provides a list of the Nuclear Fuel Cycle-Related Manufacturing,
Assembly and Construction Activities that are reported on Form AP-5. These activities
and related definitions are defined in further detail in Supplement 2 of this Handbook.
Supplement 3 provides a detailed List of Specified Equipment and Non-Nuclear Material,
for the reporting of Exports (AP-13) and Imports (AP-14).

Paperwork Reduction Act
Notwithstanding any other provision of law, no person is required to, nor shall any person be
subject to a penalty for failure to comply with a collection of information, subject to the
Paperwork Reduction Act (PRA), unless that collection of information displays a currently valid
OMB Control Number. This rule proposes a collection of information subject to the
requirements of the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.). The information
collection contained in this proposed rule is part of a joint information collection by the Bureau
of Industry and Security (BIS), in accordance with the proposed Additional Protocol Regulations
(APR) (15 CFR Parts 781-799), and the Nuclear Regulatory Commission (NRC), in accordance
with amendments to its regulations in 10 CFR Part 75 and 10 CFR Part 110. BIS has submitted
this proposed collection to the Office of Management and Budget for approval. A total of
approximately 129 respondents are expected to be subject to the information collection
requirements set forth in these BIS and NRC rules. These information collection requirements
are expected to involve an estimated 844 total burden hours per annum at a total estimated cost
of $43,205 per annum.
BIS will use the information contained in reports submitted by U.S. persons to compile the U.S.
Declaration as required by the Additional Protocol.

Forms
Report forms required by the APR may be downloaded from the Internet at www.ap.gov. You
also may obtain these forms by contacting: Treaty Compliance Division, Bureau of Industry and
Security, U.S. Department of Commerce, Attn: Forms Request, 14th Street and
Pennsylvania Avenue, N.W., Room 4515, Washington, DC 20230, Telephone: (202) 4821001.

SECTION 2: REPORTING REQUIREMENTS
Reportable activities
To ensure U.S. Government compliance with its commitments under the AP, locations are
required to report information on the following activities if they were conducted at their location
during the previous calendar year:

4

1.
2.
3.
4.
5.

Certain nuclear fuel cycle-related research and development activities (Forms AP-3 &
AP-4);
Activities involving the manufacturing, assembly and construction of certain nuclear
fuel cycle-related equipment and materials (Form AP-5);
Mining and ore processing activities for uranium and thorium (Forms AP-6 & AP-7);
Possession, import and export of impure source material; (Forms AP-8 &AP-9) and
Possession of nuclear material on which IAEA Safeguards have been exempted or
terminated (Forms AP-10, AP-11, AP-12);

BIS or the NRC may request certain persons to provide information on:
1.

2.

The import of certain nuclear fuel cycle-related equipment and materials (as defined
in Supplement 3 of the Handbook) if the IAEA requests this information from the
U.S. Government in its verification of export information provided by another State
Party (Form AP-14); or
Clarification or amplification of information submitted in a report to BIS, or
provision of information about any location on which the IAEA requests information
(Form AP-15).

5

Report Types
The following types of reports may be required:
INITIAL REPORT:
You must submit an Initial Report to BIS by January 31st, if you commenced nuclear fuel
cycle-related activities during the previous calendar year, and have not previously
reported activities to BIS.
ANNUAL REPORTING:
You must submit either an ANNUAL UPDATE REPORT or a NO CHANGES REPORT
by January 31st, if, at any time during the previous calendar year, you continued to
engage in nuclear fuel cycle-related activities at a location for which you submitted an
Initial Report.
ANNUAL UPDATE REPORT:
You must submit an Annual Update Report (DOC/NRC Forms AP-1, AP-2, and
required activity forms) by January 31st if you have updates or changes to report
concerning your location or your location’s activities during the previous calendar
year. When preparing the Annual Update Report, you must complete the same
report forms that you used for submitting your Initial Report on these activities.
Additional report forms will be required if your location engaged in any new
reportable activities.
NO CHANGES REPORT:
If all of the information, including contact information and other administrative
information on AP-1 and AP-2, provided in your most recently submitted report
has not changed, you may submit a No Changes Report (Form AP-17) in lieu of
an Annual Update Report.
AMENDED REPORT:
Changes to previously submitted information must be submitted on an Amended
Report. Corrections to information regarding a reportable activity and corrections
or changes to company information (e.g., corrections to address, changes in
contact information, etc.) must be submitted using the same AP Forms used
previously and the corrections must be submitted within 30 calendar days after the
information has changed or the error identified. Amendments to previously
reported information resulting from an IAEA complementary access must be
submitted using the same AP Forms used previously and the corrections must be
submitted within 30 calendar days after the date of the complementary access.
Any amended AP Forms should be accompanied with a cover letter addressing
the specific change made. If additional information is requested during a
complementary access, beyond what is submitted as part of the annual update,
Form AP-15 should be used unless a preferred alternative is agree upon by either
the Department of Commerce or the Nuclear Regulatory Commission.

2

PROCESSING OF IAEA SAFEGUARDS-TERMINATED WASTE MATERIAL
REPORT:
Information on and dates of processing of waste material on which IAEA safeguards was
terminated must be submitted to BIS at least 210 days before the processing of the waste
begins (AP-1, AP-2, and AP-12).
EXPORT OF EQUIPMENT & NON-NUCLEAR MATERIALS REPORT:
If you export any of the items listed in Supplement No. 3 to this Handbook, you must
submit an Export Report to BIS no later than 15 days following the end of the calendar
quarter in which the items were exported – therefore, Export Reports must be submitted
to BIS no later than January 15th, April 15th, July 15th, and/or October 15th each year.
IMPORT OF EQUIPMENT & NON-NUCLEAR MATERIALS CONFIRMATION
REPORT:
Within 30 working days of receiving notice from BIS or the NRC with a request for
information pertaining to the import of specific materials or equipment, submit an Import
of Equipment & Non-nuclear Materials Confirmation Report (Forms AP-1, AP-2, and
AP-14) to BIS.
SUPPLEMENTAL INFORMATION REPORT: If you are contacted by BIS or the NRC
with a request for new or additional information about activities conducted at your
location, you must submit a Supplemental Information Report to BIS within 15 working
days of receiving the request (Forms AP-1, AP-2, and AP-15).

Additional Protocol Reporting Requirements Flow Diagram
Figure 1, Additional Protocol Reporting Requirements Flow Diagram, provides information to
assist you in determining the reports and forms that you may need to submit.

Reporting Deadlines
Table 1, Deadlines For Submission of Reports And Amendments, provides information on the
reporting deadlines.

3

Figure 1: Additional Protocol Reporting Requirements Flow Diagram

4

Additional Protocol (AP) Reporting Requirements

Processing of IAEA
Safeguards-Terminated
Waste Report

Annual Update
Report

Initial Report

Export
Confirmation
Report

Import
Confirmation
Report

Supplemental
Information Report

no
Do you have new information to
report, or has the information you
must report changed since your
most recently submitted report?

No Changes
Report
Submit Forms AP-1,
AP-2 and AP-14

yes
Submit Form AP-1 and
Form AP-2

Submit Form AP-17

Submit Forms AP-1, AP-2 and
AP-12

Are you engaged in nuclear fuel
cycle-related research and development
(R&D) activities (not involving nuclear
material) with U.S. Government
involvement? If yes, submit Form AP-3.
Are you engaged in nuclear fuel
cycle-related R&D activities (not
involving nuclear material) without U.S.
Government involvement? If yes, submit
Form AP-4.
Do you conduct any of the nuclear
related manufacturing, assembly or
construction activities listed in
Supplement 2 of the Handbook? If yes,
submit Form AP-5.

AP-Related Activities

Do you operate a uranium hard rock mine
and/or an ore beneficiation plant? If yes,
submit Form AP-6.

Do you operate a uranium or thorium
concentration plant? If yes, submit Form
AP-7.

Do you have holdings of impure source
material in excess of 1 metric ton? If yes,
submit Form AP-8.
Have you imported or exported any
impure source material this year? If yes,
submit Form AP-9.
Do you have any IAEA
Safeguards-Exempted or
Safeguards-Terminated material? If yes,
submit Forms AP-10 or AP-11, as
appropriate.

5

Submit Forms AP-1,
AP-2 and AP-13

Submit Forms AP-1,
AP-2 and AP-15

If additional space is required on
any AP report forms, submit Form
AP-16 (Continuation Form)

Table 1: DEADLINES FOR SUBMISSION OF REPORTS AND AMENDMENTS
REPORTS

APPLICABLE
FORMS

DUE DATES

Initial Report

Forms AP-1, AP-2 and
relevant nuclear fuel cyclerelated activity forms
Forms AP-1, AP-2 and
required nuclear fuel cyclerelated activity forms.
Form AP-17

January 31st if you commenced nuclear fuel cycle-related activities
during the previous calendar year and have not previously reported
activities to BIS.
January 31st of the year following any calendar year in which the
activities took place and there were changes to any previously reported
activities or information.
January 31st of the year following any calendar year in which the
activities took place and there were no changes to any previously
reported activities or information.
Within 15 calendar days of receiving notice from BIS or NRC with a
request for information or additional information about activities
conducted at a location at your address.
At least 210 days before processing begins on the IAEA safeguardsterminated waste material.

Annual Update
Report
No Changes
Report
Supplemental
Information
Report
Processing of
IAEA
SafeguardsTerminated
Waste Material
Report
Export of
Specified
Equipment and
Non-Nuclear
Materials
Report
Import of
Specified
Equipment and
Non-Nuclear
Materials
Confirmation
Report
Amended
Report

Forms AP-1, AP-2 and AP15, and any additional
forms, as instructed
Forms AP-1, AP-2, and AP12

AP-1, AP-2, and AP-13

Within 15 days from the end of each calendar quarter.
 April 15 (for January 1- March 31)
 July 15 (for April 1 – June 30)
 October 15 (for July 1 – September 30)
 January 15 (for October 1 – December 31)

Forms AP-1, AP-2 and AP14

Within 30 calendar days of receiving notice from BIS or NRC with a
request for information pertaining to the import of specific materials or
equipment.

Form AP-1, AP-2 and any
relevant nuclear fuel cyclerelated activity forms





30 calendar days after identification of a correction to
information regarding a reportable activity.
30 calendar days after change in company information.
30 calendar days after receipt of a post-complementary access
letter from BIS or NRC.

4

(This page intentionally left blank)

Section 3: U.S. Additional Protocol Report Forms and Instructions

(This page intentionally left blank)

FORM APPROVED: OMB NO. 0694-0135

U..S. DEPARTMENT OF COMMERCE
Bureau of Industry and Security

Date Received
(Leave Blank)

U.S. NUCLEAR REGULATORY COMMISSION
Office of Nuclear Materials Safety and Safeguards

ADDITIONAL PROTOCOL REPORT
FORM AP-1: CERTIFICATION
Provide the information requested below in Questions 1.1 through 1.6.
1.1 Company or Organization Name:
1.2

Mailing Address:
City:

1.3

State:

Zip Code:

Name of Report Point of Contact (R-POC):
R-POC’s Telephone Number:

ext.

R-POC’s Fax Number:
R-POC’s E-mail Address:
Type of Report (Check only one box)
 INITIAL REPORT: For Reporting Year (YYYY): ______________________
1.4

 ANNUAL UPDATE REPORT: For Reporting Year (YYYY): ______________________
 PROCESSING OF IAEA SAFEGUARDS-TERMINATED WASTE MATERIAL REPORT
 EXPORT OF SPECIFIED EQUIPMENT & NON-NUCLEAR MATERIALS REPORT
 IMPORT OF SPECIFIED EQUIPMENT & NON-NUCLEAR MATERIALS CONFIRMATION
REPORT
 SUPPLEMENTAL INFORMATION REPORT
 AMENDED REPORT: For Reporting Year (YYYY): ______________________
Forms Submitted (State the number of forms (non-zero) for each of the following)

1.5

AP-2: ___ AP-3: ___ AP-4: ___ AP-5: ___ AP-6: ___ AP-7: ___ AP-8: ___ AP-9: ___
AP-10: ___ AP-11: ___ AP-12: ___ AP-13: ___ AP-14: ___ AP-15: ___ AP-16: ____
CERTIFICATION

1.6

I hereby certify that I have reviewed the attached documents and that, to the best of my knowledge
and belief, the submitted information is true and complete.

Name and Title of Responsible Official (type or print):

Signature:

Date Signed (MM-DD-YYYY):

FORM AP-1: Certification
Reporting requirements are set forth in 15 CFR Part 783 of the
U.S. Department of Commerce (DOC) Regulations and 10 CFR
Parts 75 and 110 of the U.S. Nuclear Regulatory Commission
(NRC) Regulations.
INSTRUCTIONS:
This form must be submitted for the following types of reports:
Initial, Annual Update, Processing of IAEA SafeguardsTerminated Material, Export, Import Confirmation, Supplemental
Information, or Amended. A separate certification form must be
submitted for each location with reportable activities.
Questions 1.1 and 1.2 Company or Organization Name and
Mailing Address: Provide the name of your company or
organization and the mailing address to which all general mailings
will be sent.
Question 1.3 Name of Report Point of Contact (R-POC) and Other
Requested Information: Designate a R-POC. The R-POC should
be a person whom BIS or NRC may contact for the purposes of (1)
clarification of information provided in the report; and (2) for
general information. The R-POC need not be the person who
prepares the forms or certifies the report, but should be familiar
with the content of the reports.
Question 1.4 Type of Report: Check the box to indicate the type
of report that is being submitted and indicate the date or year for
which the information applies (as applicable). If submitting an
Amended Report, check the box for Amended Report and the
boxes for the reports for which you are submitting amendments.
INITIAL REPORT:
You must submit an Initial Report if your location begins a
reportable activity under the APR or NRC regulations. This report
is necessary to establish information on your company (e.g.,
address and point of contacts) and information on your reportable
activity. If you have already submitted an initial report and are
adding a new activity at your location, you should submit the
information using the Annual Update Report.
ANNUAL UPDATE REPORT: You must submit either an
Annual Update Report or a No Changes Report by January 31st, if,
during the previous calendar year, you continued to engage in
nuclear fuel cycle-related activities at a location for which you
submitted an Initial Report. Submit an Annual Update Report if
you have updates or changes to report concerning your location or
your location’s activities during the previous calendar year. When
preparing your Annual Update Report, you must complete the
same report forms that you used for submitting your Initial Report
on these activities. Additional report forms are required if your
location engaged in new reportable activities.

FORM APPROVED: OMB NO. 0694-0135

AMENDED REPORT: You must submit an Amended Report to
change or correct information in the last submitted report.
PROCESSING
OF
IAEA
SAFEGUARDS-TERMINATED
WASTE MATERIAL REPORT: You must submit this form to
provide information, location, and dates for/of processing of waste
material on which IAEA safeguards was terminated.
EXPORT OF EQUIPMENT & NON-NUCLEAR
MATERIALS REPORT: You must submit this report
quarterly to report the export of any item listed in Supplement
3 of this Handbook. Quarterly reports are due to BIS by April
15, July 15, October 15, and January 15.
IMPORT OF EQUIPMENT & NON-NUCLEAR MATERIALS
CONFIRMATION REPORT: You must submit this report if you
receive a notice from BIS or NRC requesting import information.
SUPPLEMENTAL INFORMATION REPORT:
If you are
contacted by BIS or NRC with a request for new or additional
information about activities conducted at your location, you must
submit a Supplemental Information Report.
Question 1.5 Forms Submitted: In the blank next to the form
name state the number of each form included in the report. All
reports must include Forms AP-1 and AP-2, with the
exception of a No Changes Report, which includes only Form
AP-17. Submit the applicable forms for each reportable
activity conducted at your location:
Form
AP-2
AP-3
AP-4
AP-5
AP-6
AP-7
AP-8
AP-9
AP-10
AP-11
AP-12
AP-13
AP-14
AP-15
AP-16

Reportable Activities
Contact Information
R&D with U.S. Government Involvement
R&D without U.S. Government Involvement
Manufacturing, Assembly, Construction Activities
Uranium Hard Rock Mine & Beneficiation Operations
Concentration Plant Operations
Holdings of Impure Source Materials
Imports and Exports of Impure Source Materials
Holdings of IAEA Safeguards-Exempted Material
Location of IAEA Safeguards-Terminated Waste Material
Processing of IAEA Safeguards-Terminated Waste Material
Export of Equipment & Non-Nuclear Materials Report
Import of Equipment & Non-Nuclear Materials Confirmation
Report
Supplemental Information Report
Continuation Form

Question 1.6 Certification: The report must be signed and
dated by a company or organization official who certifies the
accuracy and completeness of the information submitted. The
signature block must contain an original signature.

Date Received
(Leave Blank)

U.S. DEPARTMENT OF COMMERCE
Bureau of Industry and Security
U.S. NUCLEAR REGULATORY COMMISSION
Office of Nuclear Material Safety and Safeguards

ADDITIONAL PROTOCOL REPORT
FORM AP-2: CONTACT INFORMATION
Submit this form to report information about the location where reportable activities are conducted. You
must submit this form for an Initial, Annual Update, Processing of IAEA Safeguards-Terminated Waste,
Import Confirmation, Supplemental Information or Amended Report.
2.1
Location Name and Reporting Code (once assigned):
2.2

2.3

Location Information Reporting Status:
 New information
 Information with no changes
Owner or Operator Name:
Telephone Number (24 hour):

2.4

2.5

 Information with changes

Fax Number (24 hour):

Street Address:
City:
State:
Zip Code:
Provide the geographic coordinates for the location where the reportable activity(ies)
take place.
a. Latitude (Deg/Min/Sec/N):
b. Longitude (Deg/Min/Sec/W):

Designate an Access Point of Contact (A-POC) and at least one Alternate A-POC for complementary access
notifications involving this address.

2.6

Name of A-POC:
A-POC’s Primary Telephone Number:

ext.

A-POC’s Alternate Telephone Number:

ext.

A-POC’s Fax Number:
A-POC’s E-mail Address:
Name of Alternate A-POC:
2.7

2.8

2.9

Alt. A-POC’s Primary Telephone Number:

ext.

Alt. A-POC’s Alternate Telephone Number:
Alt. A-POC’s Fax Number:
Alt. A-POC’s E-mail Address:

ext.

Check this box if this location contains an area subject to an NRC or an NRC
Agreement State license or is otherwise subject to inspection under NRC
regulations (10 CFR).
Check this box if a Continuation Form (Form AP-16) has been used to
provide additional information for any of the above questions.

FORM AP-2: Contact Information

Reporting requirements are set forth in 15
CFR Part 783 of the U.S. Department of
Commerce (DOC) Regulations and 10 CFR
Parts 75 and 110 of the U.S. Nuclear
Regulatory Commission (NRC) Regulations.
INSTRUCTIONS:
This form must be submitted for the
following types of reports: Initial, Annual
Update,
Processing
of
SafeguardsTerminated Material, Export, Import
Confirmation, Supplemental Information or
Amended.
Question 2.1 Location Name and Reporting
Code: Provide the name of your location. A
unique reporting code will be assigned and
reported to each reportable location by BIS
once an Initial Report has been submitted.
The Reporting Code must appear on all
future forms pertaining to the location.
Question 2.2 Address Information Status:
Indicate the information status by checking
the appropriate box (i.e., “New Information”
to report information for the first time,
“Information with no changes” or
“Information with changes” if a report for
this activity was previously submitted).
Question 2.3 Owner Name and Contact
Information: Provide the name, telephone
number and fax number of the owner or
operator for this location. The telephone
number provided should be a number that is
answered by a live operator or individual on
a 24-hour basis and the fax number must be
for a machine that is checked regularly on a
24-hour basis. Please do not provide
numbers that are answered by an answering
service or by voice-mail. BIS or NRC must
be able to notify the owner or operator
immediately upon receipt of an IAEA
request for complementary access.
Question 2.4 Address: Provide a street
address for the main gate, visitor control

center or main office entrance (where the
reportable activity is taking place) that
would be sufficient to permit an IAEA
inspector to find this location should the
IAEA request a complementary access. DO
NOT PROVIDE A POST OFFICE BOX.
Use Form AP-16 as a continuation form, as
necessary.
Question 2.5 Latitude and Longitude:
Provide the latitude and longitude for the
center of the location using the following
formats:
Latitude:
00(degree)/00(minutes)/00(seconds)/N
Longitude:
00(degree)/00(minutes)/00(seconds)/W
Questions 2.6 and 2.7 Designation of an
Access Point of Contact (A-POC) and an
Alternate A-POC: Designate an A-POC and
an Alternate A-POC for complementary
access notifications involving this address.
The A-POC should have sufficient authority
to facilitate IAEA complementary access.
The primary or alternate telephone number
provided for each individual must be
numbers that are answered either by a live
operator or by the individual on a 24-hour
basis. This number should not be answered
by an answering service or by voice-mail.
BIS or NRC must be able to notify the APOC or Alternate A-POC upon receipt of an
IAEA request for complementary access.
Use Form AP-16 as a continuation form for
any additional Alternate A-POCs.
Question 2.8 NRC Licensee: Check the box
if this location contains an area subject to an
NRC or an NRC Agreement State license or
is otherwise subject to inspection under the
NRC regulations (10 CFR).
Question 2.9 Continuation Form: Check
this box if a Continuation Form, Form AP16, has been used to provide additional
information for any of the above questions.

FORM APPROVED: OMB NO. 0694-0135
Date Received
(Leave Blank)

U.S. DEPARTMENT OF COMMERCE
Bureau of Industry and Security
U.S. NUCLEAR REGULATORY COMMISSION
Office of Nuclear Materials Safety and Safeguards

ADDITIONAL PROTOCOL REPORT
FORM AP-3: NUCLEAR FUEL CYCLE-RELATED RESEARCH &
DEVELOPMENT (NOT INVOLVING NUCLEAR MATERIAL) WITH
U.S. GOVERNMENT INVOLVEMENT
Submit a separate form for each research & development (R&D) project at your site that is funded,
specifically authorized or controlled by, or carried out on behalf of the government of the United States.
3.1
Reporting Code (once assigned):
3.2
3.3

3.4

3.5

3.6

3.7

3.8

3.9

Project Number or ID:
Project Title:

Activity Reporting Status:
 New Activity
 Activity with no changes
 Activity with changes
 Ceased Activity
Identify building name(s)/number(s) and any additional information that more
precisely defines where the reported activity occurs (e.g. room numbers):
Project Time Line: Start Date:_______ (Estimated) Project End Date:______________
Project Category (Fuel Cycle Stage):

Conversion of Nuclear Materials

Enrichment of Nuclear Materials:
Aerodynamic
Chemical/Ion Exchange
Electromagnetic
Gas Centrifuge
Gaseous Diffusion
Laser
Plasma Separation

Nuclear Fuel Fabrication

Critical Facilities

Nuclear Reactors

Spent Fuel Management Installations
 Reprocessing of Nuclear Fuel
 Processing of Intermediate or High-Level Waste Containing Pu, U-233 or HEU
Project Level (Check only one box):
Theoretical Analysis
Experiment
Demonstration
Feasibility Study

Briefly Describe the R&D Activities:

Conceptual Design
Prototype

Proof of Concept

FORM APPROVED: OMB NO. 0694-0135

FORM AP-3 (CONT.): NUCLEAR FUEL CYCLE-RELATED RESEARCH &
DEVELOPMENT (NOT INVOLVING NUCLEAR MATERIAL) WITH U.S.
GOVERNMENT INVOLVEMENT
Briefly State the Project Objective:
3.10

Principal U.S. Government Agency Involved:

Department/Agency:
Nature of Involvement:
3.11

Street Address:
City:

State:

Zip Code:

Point of Contact (POC):
POC’s Telephone Number:

POC’s Fax Number:

Provide the name and location of all other sponsors and/or collaborators, both domestic and foreign, for this
R&D project. If applicable, provide additional information on Form AP-16.

Organization Name:
3.12.1

Street Address:
City:

State/Province:

Country:

State/Province:

Country:

State/Province:

Country:

Organization Name:
3.12.2

Street Address:
City:
Organization Name:

3.12.3

Street Address:
City:

3.13

3.14

 Check this box if the activity occurs within a location subject to an NRC or an
NRC Agreement State license or is otherwise subject to inspection under NRC
regulations (10 CFR).
 Check this box if a Continuation Form (AP-16) has been used to provide
additional information for any of the above questions.

FORM AP-3: Nuclear Fuel Cycle-Related R&D (Not Involving Nuclear Material) With
U.S. Government Involvement
Reporting requirements are set forth in 15 CFR
Part 783 of the U.S. Department of Commerce
(DOC) Regulations and 10 CFR Parts 75 and
110 of the U.S. Nuclear Regulatory Commission
(NRC) Regulations.
INSTRUCTIONS:
Submit a separate Form AP-3 for each
reportable nuclear fuel cycle-related R&D
activity not involving nuclear material at your
location that is funded by, authorized by,
controlled by, or carried out on behalf of the
U.S. Government. Reportable R&D includes
technology development, safety related studies
and computer modeling that extends knowledge
resulting from theoretical or basic scientific
research into a nuclear fuel cycle-related
application are reportable activities. Reportable
R&D activities do not include theoretical or
basic scientific research; industrial radioisotope
applications; medical, hydrological, and
agricultural
applications;
health
and
environmental
effects;
or
improved
maintenance.
Question 3.1 Reporting Code:
A unique
reporting code will be assigned and reported to
each reportable location by BIS once an Initial
Report has been submitted. The Reporting Code
must appear on all future forms pertaining to the
location after it is assigned.
Questions 3.2 and 3.3 Project Number or ID
and Project Title: Provide the R&D project
number or ID assigned by the project sponsor or
organization conducting the activity, and the
R&D project title.
Question 3.4 Activity Reporting Status:
Indicate the current reporting status by checking
the appropriate box (i.e., “New Activity” to
report an activity for the first time, “Activity
with changes” or “Activity with no changes” if a
report for this activity was previously submitted,
or “Ceased Activity” for an activity that ended
during the reporting year and will not be
reported in future years). If the information
previously reported for this specific activity has
not changed, you are not required to complete
the rest of this form, instead check the “Activity
with no changes” box and submit along with

Forms AP-1, AP-2 and any other required
activity forms.
Question 3.5 Place Where Activity Occurs:
Identify building name(s)/number(s) and any
additional information that may more precisely
define where the reported activity occurs (e.g.
room numbers). If many rooms are used, you
may describe areas within the building (e.g. 1st
floor of the north wing).
Question 3.6 Project Start and End Dates:
Provide start and end dates for this project.
Question 3.7 Project Category (Fuel Cycle
Stage): Indicate the appropriate fuel cycle stage
category and, if applicable, sub-category
pertaining to this particular project by checking
the appropriate box. Each fuel cycle stage
category and subcategory identifies reportable
R&D activities. If there is a question about
whether or not certain information is reportable,
contact BIS or the NRC for clarification.
Question 3.8 Project Level: Indicate the project
level that best describes the stage of
development of the technology in the R&D
project by checking the appropriate box.
Question 3.9 Description of R&D Activities:
Briefly describe the work that is being
performed (e.g., design and testing of an
induction-coil nuclear fuel pellet sintering oven).
Where the work is part of a larger program,
please identify that larger program.
Question 3.10 Project Objective: Briefly
describe the objective of the R&D project in the
space provided (e.g., design of a sintering oven
that meets a variety of specified temperature
control requirements).

Question 3.11 Principal U.S. Government
Agency Involved: Identify the primary U.S.
Government department or agency that this
R&D project is funded by, authorized by,
controlled by, or conducted on behalf of, its
address and contact information for a point
of contact at the department or agency.

FORM AP-3: Nuclear Fuel Cycle-Related R&D (Not Involving Nuclear Material)
With U.S. Government Involvement (Continued)

Questions 3.12.x Non-U.S. Government
sponsors: Provide the name and address of
all non-U.S. Government sponsors and
collaborators (both foreign and domestic) of
the program, including any foreign
governments or organizations.
If the
location is wholly or partially owned by a
foreign
organization,
that
foreign
organization should also be listed. Use Form
AP-16 as a continuation form for additional
non-U.S. Government Sponsors and
collaborators.

Question 3.13 NRC License: Check the box
if this activity occurs within a location
subject to an NRC or an NRC Agreement
State license or is otherwise subject to
inspection under NRC Regulations (10
CFR).
Question 3.14 Continuation Form: Check
this box if a Continuation Form, Form AP16, has been used to provide additional
information for any of the questions on
Form AP-3.

FORM APPROVED: OMB NO. 0694-0135

U.S. DEPARTMENT OF COMMERCE
Bureau of Industry and Security

Date Received
(Leave Blank)

U.S. NUCLEAR REGULATORY COMMISSION
Office of Nuclear Materials Safety and Safeguards

ADDITIONAL PROTOCOL REPORT
FORM AP-4: NUCLEAR FUEL CYCLE-RELATED RESEARCH &
DEVELOPMENT (NOT INVOLVING NUCLEAR MATERIAL)
WITHOUT U.S. GOVERNMENT INVOLVMENT
Submit a separate form for each R&D project at your site that is not funded, specifically authorized or
controlled by, or carried out on behalf of the government of the United States.
4.1
Reporting Code (once assigned):
4.2
4.3

4.4

4.5

4.6

4.7

4.8

Project Number or ID:
Project Title:

Activity Reporting Status
 New activity
 Activity with no changes
 Activity with changes
 Ceased Activity
Identify building name(s)/number(s) and any additional information that more
precisely defines where the reported activity occurs(e.g. room numbers):
Project Time Line: Start Date:____________ (Estimated) End Date: _____________
Project Category (Fuel Cycle Stage):
Enrichment of Nuclear Materials:
Aerodynamic
Chemical/Ion Exchange
Electromagnetic
Gas Centrifuge
Gaseous Diffusion
Laser
Plasma Separation
Reprocessing of Nuclear Fuel
Processing of Intermediate or High-Level Waste Containing Pu, U-233 or HEU
Project Level (Check only one box):
Theoretical Analysis
Demonstration

Experiment
Feasibility Study

Briefly Describe the R&D Activities:
4.9

Conceptual Design
Prototype

Proof of Concept

FORM APPROVED: OMB NO. 0694-0135

FORM AP-4 (CONT.): NUCLEAR FUEL CYCLE-RELATED RESEARCH AND
DEVELOPMENT (NOT INVOLVING NUCLEAR
MATERIAL) WITHOUT U.S. GOVERNMENT INVOLVEMENT
4.10

Briefly State the Project Objective:

Provide the name and location of all sponsors and/or collaborators, both domestic and foreign, for this R&D
project. If applicable, provide additional information on Form AP-16

Organization Name:
4.11.1

Street Address:
City:

State/Province:

Country:

State/Province:

Country:

State/Province:

Country:

Organization Name:
4.11.2

Street Address:
City:
Organization Name:

4.11.3

Street Address:
City:

4.12

4.13

Check this box if the activity occurs within a location subject to an NRC or
NRC Agreement State license or is otherwise subject to inspection under NRC
Regulations (10 CFR).
Check this box if a Continuation Form (Form AP-16) has been used to provide
additional information for any of the above questions.

FORM AP-4: Nuclear Fuel Cycle-Related R&D (Not Involving Nuclear Material) Without
U.S. Government Involvement
Reporting requirements are set forth in 15 CFR
Part 783 of the U.S. Department of Commerce
(DOC) Regulations and 10 CFR Parts 75 and
110 of the U.S. Nuclear Regulatory Commission
(NRC) Regulations.
INSTRUCTIONS:
Submit a separate Form AP-4 for each
reportable nuclear fuel cycle-related R&D
activity not involving nuclear material at your
location that is not funded by, authorized by,
controlled by, or carried out on behalf of the
U.S. Government. Reportable R&D activities
include those related to enrichment of nuclear
materials, reprocessing of nuclear fuel, and
processing of intermediate or high-level waste
containing Pu, U-233 or HEU, that extend
knowledge resulting from theoretical or basic
scientific research into a nuclear fuel cyclerelated application. Reportable R&D activities
do not include theoretical or basic scientific
research; industrial radioisotope applications;
medical,
hydrological,
and
agricultural
applications; health and environmental effects;
or improved maintenance.
Question 4.1 Reporting Code:
A unique
reporting code will be assigned and reported to
each location by BIS once an Initial Report has
been submitted. The Reporting Code must
appear on all future forms pertaining to the
location after it is assigned.
Questions 4.2 and 4.3 Project Number or ID
and Project Title: Provide the R&D project
number or ID assigned by the project sponsor or
organization conducting the activity, and the
R&D project title.
Question 4.4 Activity Reporting Status:
Indicate the current reporting status by checking
the appropriate box (i.e., “New Activity” to
report an activity for the first time, “Activity
with changes” or “Activity with no changes” if a
report for this activity was previously submitted,
or “Ceased Activity” for an activity that ended
during the reporting year and will not be
reported in future years). If the information
previously reported for this specific activity has
not changed, you are not required to complete
the rest of the form, instead check the “Activity
with no changes” box and submit along with

Forms AP-1, AP-2 and any other required
activity forms.
Question 4.5 Place Where Activity Take Place:
Identify building name(s)/number(s) and any
additional information that more precisely
defines where the activity occurs (e.g. room
numbers). If many rooms are used, you may
describe areas within the building (e.g. 1st floor
of the north wing).
Question 4.6 Project Time Line: Provide start
and projected end dates for this project.
Question 4.7 Project Category (Fuel Cycle
Stage): Indicate the appropriate fuel cycle stage
category and, if applicable, sub-category
pertaining to this particular project by checking
the appropriate box. Each fuel cycle stage
category and subcategory identifies reportable
R&D activities. If there is a question about
whether or not certain information is reportable,
contact BIS or NRC for clarification.
Question 4.8 Project Level: Indicate the project
level that best describes the stage of
development of the technology in the R&D
project by checking the appropriate box.
Question 4.9 Description of R&D Activities:
Briefly describe the work that is being
performed (e.g. design and testing of an
induction-coil nuclear fuel pellet sintering oven).
Where the work is part of a larger program,
please identify that larger program.
Question 4.10 Project Objective:
Briefly
describe the objective of the R&D project in the
space provided (e.g., design of a sintering oven
that meets a variety of specified temperature
control requirements).

FORM AP-4 Nuclear Fuel Cycle-Related Research and Development (Not Involving
Nuclear Material) without U.S. Government Involvement (Continued)

Questions 4.11.x Non-U.S. Government
Sponsors: Provide the name and address
of all non-U.S. Government sponsors
and collaborators (both foreign and
domestic) of the program, including any
foreign governments or organizations. If
this location is wholly or partially owned
by a foreign organization, that foreign
organization should also be listed. If this
R&D project is funded by, authorized
by, controlled by, or carried out on
behalf of the U.S. Government, use
Form AP-3 to report this project instead
of this form (Form AP-4). Use Form AP16 as a continuation form for additional

non-U.S. Government
collaborators.

sponsors

and

Question 4.12 NRC License: Check the box
if this activity occurs within a location
subject to a NRC or a NRC Agreement State
license or is otherwise subject to inspection
under NRC Regulations (10 CFR).
Question 4.13 Continuation Form: Check
this box if a Continuation Form, Form AP16, has been used to provide additional
information for any of the questions on
Form AP-4.

FORM APPROVED: OMB NO. 0694-0135
Date Received
(Leave Blank)

U.S. DEPARTMENT OF COMMERCE
Bureau of Industry and Security
U.S. NUCLEAR REGULATORY COMMISSION
Office of Nuclear Material Safety and Safeguards

ADDITIONAL PROTOCOL REPORT
FORM AP-5: NUCLEAR-RELATED MANUFACTURING,
ASSEMBLY OR CONSTRUCTION ACTIVITIES
Submit a separate form for each nuclear-related manufacturing, assembly or construction activity at your
location.
5.1
5.2

Reporting Code (once assigned):
Activity Code (select the proper code from the chart below):

Activity Code
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15

5.3

5.4

5.5

5.6

5.7

Nuclear-Related Manufacturing and Assembly Activities
Manufacture of certain centrifuge rotor tubes or the assembly of gas centrifuges
Manufacture of certain diffusion barriers
Manufacture or assembly of certain laser-based systems
Manufacture or assembly of certain electromagnetic isotope separators
Manufacture or assembly of certain columns or extraction equipment
Manufacture of certain aerodynamic separation nozzles or vortex tubes
Manufacture or assembly of certain uranium plasma generation systems
Manufacture of certain zirconium tubes
Manufacture or upgrading of heavy water or upgrading of deuterium
Manufacture of nuclear grade graphite
Manufacture of flasks (e.g., transport or storage containers) for irradiated fuel
Manufacture of reactor control rods
Manufacture of certain critically safe tanks and vessels
Manufacture of irradiated fuel element chopping machines
Construction of certain types of hot cells

Activity Reporting Status:
 New activity
 Activity with no changes
 Activity with changes
 Ceased activity
Identify building name(s)/numbers(s) and any additional information that may more
precisely define where the reported activity occurs (e.g. room numbers):

Approximate annual production for the
past calendar year:

 Items

 Kg

Check this box if the activity occurs within a location subject to an NRC or
NRC Agreement State license or is otherwise subject to inspection under NRC
Regulations (10 CFR).
Check this box if a Continuation Form (Form AP-16) has been used to provide
additional information for any of the above questions.

FORM AP-5: Nuclear-Related Manufacturing, Assembly or Construction Activities

Reporting requirements are set forth in 15
CFR Part 783 of the U.S. Department of
Commerce (DOC) Regulations and 10 CFR
Parts 75 and 110 of the U.S. Nuclear
Regulatory Commission (NRC) Regulations.
INSTRUCTIONS:
Submit a separate Form AP-5 for each
nuclear-related manufacturing, assembly or
construction activity that occurs at this
location. These activities are listed and
further defined in the Supplement 2 of the
Additional Protocol Handbook.
Question 5.1 Reporting Code: A unique
reporting code will be assigned and reported
to each location by BIS once an Initial
Report has been submitted. The Reporting
Code must appear on all future forms
pertaining to the location after it is assigned.
Question 5.2 Activity Code: Review the 15
activities listed in the chart, and enter the
proper code for your activity.
These
activities are further defined in Supplement
2 of the Reporting Handbook.
Question 5.3 Activity Reporting Status:
Indicate the current reporting status by
checking the appropriate box (i.e., “New
Activity” to report an activity for the first
time, “Activity with changes” or “Activity
with no changes” if a report for this activity
was previously submitted, or “Ceased
activity” for an activity that ended during
the reporting year and will not be reported in
future years). If the information previously
reported for this specific activity has not
changed, you are not required to complete
the rest of this form, instead check the
“Activity with no changes” box and submit

along with Forms AP-1, AP-2 and any other
required activity forms.
Question 5.4 Place Where Activity Occurs:
Identify building name(s)/number(s), and
any additional information that may more
precisely define where the reported activity
occurs (e.g. room numbers). If many rooms
are used, you may describe areas within the
building (e.g. 1st floor of the north wing).
Questions 5.5 List of Manufacturing,
Assembly or Construction Activities and
Codes: Provide the approximate annual
production of the manufacturing/ assembly/
construction process associated with the
Activity Code you entered for Question 5.2
in either units (e.g., items) or weight (i.e.,
kilograms), whichever is more meaningful,
rounded to the nearest ten if the amount is
10 or more items or kilograms (e.g., 27 to
30, 148 to 150, 1525 to 1500, 15782 to
16000, etc.). If the amount is less than 10
items or kilograms report that exact number
(e.g., 2, 4, 9, etc.). Check the appropriate
box to indicate items or weight as the unit of
measure for the production number being
reported. If several manufacturing, assembly
or construction activities are conducted at
this address, submit a separate Form AP-5
for each activity.
Question 5.6 NRC License: Check the box
if this activity occurs within a location
subject to a NRC or an NRC Agreement
State license or is otherwise subject to
inspection under NRC regulations (10CFR).
Question 5.7 Continuation Form: Check
this box if a Continuation Form, Form AP16, has been used to provide additional
information for any of the above questions.

FORM APPROVED: OMB NO. 0694-0135

U.S. DEPARTMENT OF COMMERCE
Bureau of Industry and Security

Date Received
(Leave Blank)

U.S. NUCLEAR REGULATORY COMMISSION
Office of Nuclear Material Safety and Safeguards

ADDITIONAL PROTOCOL REPORT
FORM AP-6: URANIUM HARD-ROCK MINE
OR ORE BENEFICIATION PLANT
Submit a separate form for each uranium hard rock mine or ore beneficiation plant.
(NOTE: Provide information on In Situ/Leach Mines on Form AP-7):
6.1
6.2

Reporting Code (once assigned):
Activity Reporting Status:
 New activity
 Activity with no changes
 Activity with changes
 Ceased activity
Type of Operation

6.3

-pit / Surface Mine
nderground Mine

Operational Status:
6.4

Operating
Closed-down
Decommissioned

6.5

Annual Elemental Uranium Production Capacity (in metric tons):

Actual Annual Production (in metric tons):
6.6

Check this box if a Continuation Form (Form AP-16) has been used to provide
additional information for any of the above questions.

FORM AP-6: Uranium Mine or Ore Beneficiation Plant

Reporting requirements are set forth in 15
CFR Part 783 of the U.S. Department of
Commerce (DOC) Regulations.
INSTRUCTIONS:
Submit a separate Form AP-6 for each mine
or ore beneficiation plant at your location
where uranium ore is or was extracted or is
physically concentrated. In-situ leach mines
should be reported using Form AP-7. A
separate report form package should be
submitted for each location.
Question 6.1 Reporting Code: A unique
reporting code will be assigned and reported
to each location by BIS once an Initial
Report has been submitted. The Reporting
Code must appear on all future forms
pertaining to the location after it is assigned.
Question 6.2 Activity Reporting Status:
Indicate the current reporting status by
checking the appropriate box (i.e., “New
Activity” to report an activity for the first
time, “Activity with changes” or “Activity
with no changes” if a report for this activity
was previously submitted, or “Ceased
activity” for an activity that ended during
the reporting year and will not be reported in
future years). If the information previously
reported for this specific activity has not
changed, you are not required to complete
the rest of this form, instead check the
“Activity with no changes” box and submit
along with Forms AP-1, AP-2 and any other
required activity forms.

Question 6.3 Type of Operation: Check the
appropriate box to indicate the type of
operation for each mine or plant where
uranium is/was extracted, uranium was
produced as a by-product, or where uranium
is concentrated.
Question 6.4 Operational Status: Check the
appropriate box to indicate the current
operational status of the mine: “Operating”
for mine or plant producing ore in any
quantity, “Closed-down” for mine or plant
not operating but not fully decommissioned,
and “Decommissioned”.
Note: “Decommissioned” mine or plant is
reported only once.
Question 6.5 Mine Production: Provide the
design-basis annual production capacity for
elemental uranium or thorium at the mine in
metric tons, rounded to the nearest ten if the
amount is 10 metric tons or more (e.g., 27 to
30, 148 to 150, 1525 to 1500, 15782 to
16000, etc.). If the amount is less than 10
metric tons report that exact number (e.g., 2,
4, 9, etc.). Also provide the actual annual
production during the reporting period,
rounded to the nearest ten percent. Closeddown mines and plants have a production
capacity and annual production quantity of
zero.
Question 6.6 Continuation Form: Check
this box if a Continuation Form, Form AP16, has been used to provide additional
information for any of the above questions.

FORM APPROVED: OMB NO. 0694-0135

U.S. DEPARTMENT OF COMMERCE
Bureau of Industry and Security

Date Received
(Leave Blank)

U.S. NUCLEAR REGULATORY COMMISSION
Office of Nuclear Material Safety and Safeguards

ADDITIONAL PROTOCOL REPORT
FORM AP-7: CONCENTRATION PLANT OPERATIONS
Submit a separate form for each concentration plant.
7.1
7.2

7.3

Reporting Code (once assigned):
Activity Reporting Status:
 New activity
 Activity with no changes
 Activity with changes
 Ceased activity (Closed-down)
Identify building name(s)/numbers(s) and any additional information that may more
precisely define where the reported activity occurs (e.g. room numbers) :
Concentration Plant Type:

7.4

-product plant
-situ Leach Mine

Operational Status:
Operating
7.5

Closed-down
Decommissioned
7.6

Annual Elemental Uranium Production Capacity (in metric tons):
Actual Annual Production (in metric tons):

7.7

Annual Elemental Thorium Production Capacity (in metric tons):
Actual Annual Production (in metric tons):

7.8

Check this box if a Continuation Form (Form AP-16) has been used to provide
additional information for any of the above questions.

FORM AP-7: Concentration Plant Operations
Reporting requirements are set forth in 10
CFR Parts 75 and 110 of the U.S. Nuclear
Regulatory Commission (NRC) Regulations.
INSTRUCTIONS:
Submit a separate Form AP-7 for each insitu leach mine and concentration plant at
your location where uranium and/or thorium
is processed or produced. A concentration
plant is where uranium and/or thorium are
chemically concentrated from ore or byproduct materials into a form for further
processing.
Question 7.1 Reporting Code: A unique
reporting code will be assigned and reported
to each location by BIS once an Initial
Report has been submitted. The Reporting
Code must appear on all future forms
pertaining to the location after it is assigned.
Question 7.2 Activity Reporting Status:
Indicate the current reporting status by
checking the appropriate box (i.e., “New
Activity” to report an activity for the first
time, “Activity with changes” or “Activity
with no changes” if a report for this activity
was previously submitted, or “Ceased
activity” for an activity that ended during
the reporting year and will not be reported in
future years). If the information previously
reported for this specific activity has not
changed, you are not required to complete
the rest of this form, instead check the
“Activity with no changes” box and submit
along with Forms AP-1, AP-2 and any other
required activity forms.
Question 7.3 Building information:
Identify building name(s)/number(s) and any
additional information that may more
precisely define where the reported activity
occurs (e.g. room numbers). If many rooms
are used, you may describe areas within the
building (e.g. 1st floor of the north wing).
Satellite extraction facilities should be
reported separately from centralized

processing facilities.
Question 7.4 Concentration Plant Type:
For each concentration plant where
elemental uranium or thorium is chemically
processed or produced, check the
appropriate box to indicate whether it is a
conventional mill, a phosphate or other byproduct plant, or an in-situ leach mine. If
none of these options is applicable for your
concentration plant, select the box labeled
“Other Concentration Plant,” and identify
your concentration plant type in the space
provided.
Question 7.5 Operational Status: Check the
appropriate box to indicate the current
operational status of the concentration plant:
“Operating” for plant producing ore in any
quantity, “Closed-down” for plant not
operating but not fully decommissioned, and
“Decommissioned”.
Note: “Decommissioned” plant is reported
only once.

Questions 7.6 and 7.7 Production Capacity:
Provide the design-basis annual production
capacity of elemental uranium and/or
thorium at the concentration plant in metric
tons, rounded to the nearest ten if the
amount is ten metric tons or more (e.g., 27
to 30, 142 to 140, 1525 to 1500, 15782 to
16000, etc.). If the amount is less than 10
metric tons report that exact number (e.g., 2,
5, 9, etc.). Also provide the actual annual
production during the reporting period,
rounded to the nearest ten percent. Closeddown plants have a production capacity and
annual production quantity of zero.
Question 7.8 Continuation Form: Check
this box if a Continuation Form, Form AP16, has been used to provide additional
information for any of the above questions.

FORM APPROVED: OMB NO. 0694-0135
Date Received
(Leave Blank)

U.S. DEPARTMENT OF COMMERCE
Bureau of Industry and Security
U.S. NUCLEAR REGULATORY COMMISSION
Office of Nuclear Material Safety and Safeguards

ADDITIONAL PROTOCOL REPORT
FORM AP-8: HOLDINGS OF IMPURE SOURCE MATERIALS
8.1
8.2

Reporting Code (once assigned):
Activity Reporting Status:
 New activity
 Activity with no changes
 Activity with changes
 Ceased activity

If you possess one or more tons of impure uranium, thorium, or a combination of both, submit the following
for each chemical form of impure uranium or thorium at your address.
a. Chemical
b. Quantity on Hand
c. Use or Intended
d. Intended Use Description
Form:
(in metric tons):
Use:
Nuclear
Non-nuclear
8.3.1
e. Identify building name(s)/numbers(s) and any additional information that may more precisely define
where the impure uranium or thorium is held (e.g. room numbers):

a. Chemical
Form:

b. Quantity on Hand
(in metric tons):

c. Use or Intended
Use:
Nuclear
Non-nuclear

d. Intended Use Description

8.3.2
e. Identify building name(s)/numbers(s) and any additional information that may more precisely define
where the impure uranium or thorium is held (e.g. room numbers):

a. Chemical
Form:

b. Quantity on Hand
(in metric tons):

c. Use or Intended
Use:
Nuclear
Non-nuclear

d. Intended Use Description

8.3.3
e Identify building name(s)/numbers(s) and any additional information that may more precisely define
where the impure uranium or thorium is held (e.g. room numbers):

a. Chemical
Form:

b. Quantity on Hand
(in metric tons):

c. Use or Intended
Use:
Nuclear
Non-nuclear

d. Intended Use Description

8.3.4
e. Identify building name(s)/numbers(s) and any additional information that may more precisely define
where the impure uranium or thorium is held (e.g. room numbers):

8.4

Check this box if a Continuation Form (Form AP-16) has been used to provide
additional information for any of the above questions.

FORM AP-8: Holdings of Impure Source Materials
Reporting requirements are set forth in 10 CFR
Parts 75 and 110 of the U.S. Nuclear Regulatory
Commission (NRC) Regulations.
INSTRUCTIONS:
Submit Form AP-8 if one or more metric tons of
uranium, thorium, or a combination of both,
which have not reached the composition and
purity suitable for fuel fabrication or for being
isotopically enriched, is present at your location.
Impure source material includes ore concentrates
produced by concentration plants (e.g., uranium
mills, in-situ leach mines, ore by-product plants,
etc.), intermediate products resulting from
further processing of this material, or any other
materials resulting from ore processing with a
concentration greater than 0.05% uranium or
thorium. There is no requirement to report
information on impure source material once it is
in a non-nuclear end-use form.
Question 8.1 Reporting Code: A unique
reporting code will be assigned and reported to
each location by BIS once an Initial Report has
been submitted. The Reporting Code must
appear on all future forms pertaining to the
location after it is assigned.
Question 8.2 Activity Reporting Status:
Indicate the current reporting status by checking
the appropriate box (i.e., “New Activity” to
report an activity for the first time, “Activity
with changes” or “Activity with no changes” if a
report for this activity was previously submitted,
or “Ceased activity” for an activity that ended
during the reporting year and will not be
reported in future years). If the information
previously reported for this specific activity has
not changed, you are not required to complete
the rest of this form, instead check the “Activity
with no changes” box and submit along with
Forms AP-1, AP-2 and any other required
activity forms.
Questions 8.3.x Source Material Information:
Complete a separate Question 8.3.x for each
chemical form of source material.

a) Chemical Form: Provide the chemical
name or molecular formula for the
source material (e.g., ThO2, ammonium
diuranate, U3O8, or uranyl carbonate,
etc.).
b) Quantity on Hand (MT): Provide the
quantity of source material (in metric
tons of elemental U or Th) present at
your location as of the date specified in
the
notification
of
reporting
requirements letter received from NRC,
if you are submitting as Initial Report. If
submitting an Initial Report after the
collection date or an Annual Update
Report, provide the quantity of source
material present at your location as of
the preceding December 31 in metric
tons.
c) Use or Intended Use: Check the box to
indicate whether the end-use of the
source material is or will be nuclear or
non-nuclear.
d) Intended Use Description: Provide a
brief description of the end-use of the
source material, whether nuclear or nonnuclear (e.g., ceramics, electronic
components, conversion for uranium
enrichment, etc.).
e) Place Where Activity Occurs: Identify
building name(s)/ number(s), and, any
additional information that may more
precisely define where the impure
uranium or thorium is held (e.g. room
numbers). If many rooms are used, you
may describe areas within the building
(e.g. 1st floor of the north wing).
Question 8.4 Continuation Form: Check this
box if a Continuation Form, Form AP-16, has
been used to provide additional information for
any of the above questions.

FORM APPROVED: OMB NO. 0694-0135

U.S. DEPARTMENT OF COMMERCE
Bureau of Industry and Security

Date Received
(Leave Blank)

U.S. NUCLEAR REGULATORY COMMISSION
Office of Nuclear Material Safety and Safeguards

ADDITIONAL PROTOCOL REPORT
FORM AP-9: IMPORTS AND EXPORTS OF IMPURE SOURCE
MATERIAL
Submit this form to report each import or export of one or more metric ton of impure source material for
non-nuclear end-use purposes.
9.1
Reporting Code (once assigned):
9.2.

Identify building name(s)/numbers(s) and any additional information that may more
precisely define where the imported impure uranium or thorium is held (e.g. room
numbers):

9.2.1

Identify Imports of Impure Source Material:
Chemical Form:

9.2.2

Date Imported (mm/dd/yyyy):

Quantity (in metric tons):
Exporting Country:

Intended Use:
Chemical Form:
9.2.3

Date Imported (mm/dd/yyyy):

Quantity (in metric tons):
Exporting Country:

Intended Use:
9.3

Identify Exports of Impure Source Material:
Chemical Form:

9.3.1

Date Exported (mm/dd/yyyy):

Quantity (in metric tons):
Importing Country:

Intended Use:
Chemical Form:
9.3.2

Date Exported (mm/dd/yyyy):

Quantity (in metric tons):
Importing Country:

Intended Use:
9.4

Check this box if a Continuation Form (Form AP-16) has been used to provide
additional information for any of the above questions.

FORM AP-9: IMPORTS AND EXPORTS OF IMPURE SOURCE MATERIAL

Reporting requirements are set forth in 10
CFR Parts 75 and 110 of the U.S. Nuclear
Regulatory Commission (NRC) Regulations.
INSTRUCTIONS:
Submit Form AP-9 for each import or export
of one or more metric tons of impure
uranium or thorium, which has not reached
the composition and purity suitable for fuel
fabrication or for being isotopically
enriched, that is to be used for non-nuclear
end-use purposes. The provision of this
information does not require detailed
nuclear material accountancy.
Question 9.1 Reporting Code: A unique
reporting code will be assigned and reported
to each location by BIS once an Initial
Report has been submitted. The Reporting
Code must appear on all future forms
pertaining to the location after it is assigned.
Question 9.2.1 Place Where Activity
Occurs:
Identify
building
name(s)
/number(s), and any additional information
that may more precisely define where the
material is or was located (e.g. room
numbers). If many rooms are used, you may
describe areas within the building (e.g. 1st
floor of the north wing).
Questions 9.2.x Information on Imported
Impure Source Material:
Provide the
chemical name or molecular formula and the
quantity imported (in metric tons U or Th)
of the imported impure source material.
Also provide the date the material was
imported, the country from which the
material was imported, and the intended use
of the material. Information for each import

shipment of material separated by chemical
name/molecular formula (e.g., ThO2,
ammonium
diuranate,
U3O8,
uranyl
carbonate, etc.) and date of arrival at the
location should be entered in a separate
Question 9.2.x. Use Form AP-16 to provide
information on additional imports.
Questions 9.3.x Information on Exported
Impure Source Material:
Provide the
chemical name or molecular formula and the
quantity exported (in metric tons U or Th)
for the exported impure source material.
Also provide the date the material was
exported, the country to which the material
was exported, and the intended use of the
material.
Information for each export
shipment of material separated by chemical
name/molecular formula (e.g., ThO2,
ammonium
diuranate,
U3O8,
uranyl
carbonate, etc.) and date of export should be
entered in a separate Question 9.3.x. Use
Form AP-16 to provide information on
additional exports.
Question 9.4 Continuation Form: Check
this box if a Continuation Form, Form AP16, has been used to provide additional
information for any of the above questions.

FORM APPROVED: OMB NO. 0694-0135

U.S. DEPARTMENT OF COMMERCE
Bureau of Industry and Security

Date Received
(Leave Blank)

U.S. NUCLEAR REGULATORY COMMISSION
Office of Nuclear Material Safety and Safeguards

ADDITIONAL PROTOCOL REPORT
FORM AP-10: HOLDINGS OF IAEA SAFEGUARDS-EXEMPTED
MATERIAL
Submit a separate form to report quantities of each nuclear material held at your location that were exempted
under the U.S. – IAEA Safeguards Agreement.
10.1

10.2

10.3

Reporting Code (once assigned):
Activity Reporting Status:
 New activity
 Activity with no changes
 Activity with changes
 Ceased activity
Identify building name(s)/numbers(s) and any additional information that may more
precisely define where the safeguards-exempted materials are held (e.g. room
numbers):

IAEA Safeguards-Exempted Material on hand (Check one):
10.4



Thorium





Enriched Uranium - Isotope Percent:

Plutonium

 Natural or Depleted Uranium
U-233: ________ U-235: ________

Qty on Hand (g):
10.5

Intended Use:

Intended Use Description:

Nuclear
Non-nuclear
10.6

Check this box if a Continuation Form (Form AP-16) has been used to provide
additional information for any of the above questions.

FORM AP-10: Holdings of IAEA Safeguards-Exempted Material

Reporting requirements are set forth in 10
CFR Parts 75 and 110 of the U.S. Nuclear
Regulatory Commission (NRC) Regulations.
INSTRUCTIONS:
Submit a separate Form AP-10 to report
quantities of each nuclear material held at
your location that were exempted under the
U.S.-IAEA Safeguards Agreement. The
NRC will inform those licensees who
possess exempted quantities of nuclear
materials of their obligation to report their
holdings.
Question 10.1 Reporting Code: A unique
reporting code will be assigned and reported
to each location by BIS once an Initial
Report has been submitted. The Reporting
Code must appear on all future forms
pertaining to the location after it is assigned.
Question 10.2 Activity Reporting Status:
For each holding of safeguard-exempted
material indicate the current reporting status
by checking the appropriate box (i.e., “New
Activity” to report an activity for the first
time, “Activity with changes” or “Activity
with no changes” if a report for this activity
was previously submitted, or “Ceased
activity” for an activity that ended during
the reporting year and will not be reported in
future years). If the information previously
reported for this specific activity has not
changed, you are not required to complete
the rest of this form, instead check the
“Activity with no changes” box and submit
along with Forms AP-1, AP-2 and any other
required activity forms.

Question 10.3 Place Where Activity
Occurs:
Identify
building
name(s)/
number(s) and any additional information
that may more precisely define where the
IAEA Safeguards-Exempted materials are
held (e.g. room numbers). If many rooms are
used, you may describe areas within the
building (e.g. 1st floor of the north wing).
Question 10.4 IAEA Safeguards-Exempted
Material on Hand: Check the box beside the
nuclear material, if it is present at your
location as of or after the date specified in
the notification of reporting requirements
letter you received from the NRC. If you
have holdings of more than one type of
IAEA
Safeguards-Exempted
nuclear
material submit a separate form for each
material held at your location. If you have
holdings of enriched uranium, please
provide the isotope percentage of U-233 or
U-235 in the spaces provided. If multiple
enrichments of uranium are present, provide
the information on these materials on Form
AP-16.
Question 10.5 Quantity and Intended Use:
Provide the quantity of IAEA SafeguardsExempted nuclear material in grams,
indicate whether the intended end-use of the
material is nuclear or non-nuclear, and
provide a brief description of the end-use.
Question 10.6 Continuation Form: Check
this box if a Continuation Form, Form AP16, has been used to provide additional
information for any of the above questions.

FORM APPROVED: OMB NO. 0694-0135
Date Received
(Leave Blank)

U.S. DEPARTMENT OF COMMERCE
Bureau of Industry and Security
U.S. NUCLEAR REGULATORY COMMISSION
Office of Nuclear Material Safety and Safeguards

ADDITIONAL PROTOCOL REPORT
FORM AP-11: LOCATION OF IAEA SAFEGUARDS-TERMINATED
WASTE MATERIAL
Submit this form to report holdings of or changes in location of material on which IAEA Safeguards have
terminated. A separate form should be submitted for each type of material held or moved.
11.1

11.2

11.3

Reporting Code (once assigned):
Activity Reporting Status:
 New activity
 Activity with no changes
 Activity with changes
 Ceased activity
Identify building name(s)/numbers(s) and any additional information that may more
precisely define where the safeguards terminated waste material is held (e.g. room
numbers):
Waste Type Prior to Conditioning:

11.4

Conditioned Form:
Qty Pu (g):

11.5

Quantity:
Qty HEU (g):

Units:
Qty U-233 (g):

Prior Location
Identify building name(s)/number(s), and, if needed, room number(s) and any
additional information that may more precisely define the prior location of the
Safeguards-Terminated waste material:

OR
Identify the address of the prior location if previously located at a different address
11.6

Street Address:
City:

11.7

State:

Zip Code:

Check this box if a Continuation Form (Form AP-16) has been used to provide
additional information for any of the above questions.

FORM AP-11: Location of IAEA Safeguards-Terminated Waste Material

Reporting requirements are set forth in 10
CFR Parts 75 and 110 of the U.S. Nuclear
Regulatory Commission (NRC) Regulations.
INSTRUCTIONS:
Submit Form AP-11 to report holdings of or
changes in location of material on which
IAEA Safeguards have terminated.
If
reporting holdings of this type of material,
complete Questions 11.1 through 11.3. If
reporting a change of location in this type of
material, complete Questions 11.1 through
11.5. A separate Form AP-11 should be
submitted for each type of material that is
held or moved.
Question 11.1 Reporting Code: A unique
reporting code will be assigned and reported
to each location by BIS once an Initial
Report has been submitted. The Reporting
Code must appear on all future forms
pertaining to the location after it is assigned.
Question 11.2 Activity Reporting Status:
Indicate the current reporting status by
checking the appropriate box (i.e., “New
Activity” to report an activity for the first
time, “Activity with changes” or “Activity
with no changes” if a report for this activity
was previously submitted, or “Ceased
activity” for an activity that ended during
the reporting year and will not be reported in
future years). If the information previously
reported for this specific activity has not
changed, you are not required to complete
the rest of this form, instead check the
“Activity with no changes” box and submit
along with Forms AP-1, AP-2 and any other
required activity forms.
Question 11.3 Place Where Activity
Occurs:
Identify building name(s)/
number(s) and any additional information
that may more precisely define where the
reported activity occurs (e.g. room
numbers). If many rooms are used, you may
describe areas within the building (e.g. 1st
floor of the north wing).

Question 11.4 Description of IAEA
Safeguards-Terminated Waste Material:
Describe what type of waste the material,
currently at your location, was prior to
conversion to its IAEA SafeguardsTerminated form. Provide the form that this
conditioned material is in now (e.g., vitrified
waste, cemented waste, etc.), and the
quantity and units (e.g., canisters, drums,
etc.) of material present at your location.
Round to the nearest ten if the amount is
more than 10 but less than 1000 (e.g., 27 to
30, 148 to 150). Round to the nearest 2
significant figures if 1000 or more (e.g.,
1525 to 1500, 15782 to 16000, etc.). Also
provide the amount of plutonium, highly
enriched uranium, and/or U-233 present in
this material in grams.
Question 11.5 and 11.6 Prior Location of
IAEA
Safeguards-Terminated
Waste
Material:
If the IAEA SafeguardsTerminated Waste Material was previously
located in another building at your location,
provide the appropriate building information
in block 11.5 and leave the address in block
11.6 blank. If the material was previously
located at a different address, provide the
address for the prior location of this material
in the space provided in block 11.6.
Question 11.7 Continuation Form: Check
this box if a Continuation Form, Form AP16, has been used to provide additional
information for any of the above questions.

FORM APPROVED: OMB NO. 0694-0135
Date Received
(Leave Blank)

U.S. DEPARTMENT OF COMMERCE
Bureau of Industry and Security
U.S. NUCLEAR REGULATORY COMMISSION
Office of Nuclear Material Safety and Safeguards

ADDITIONAL PROTOCOL REPORT
FORM AP-12: PROCESSING OF IAEA SAFEGUARDS-TERMINATED
WASTE MATERIAL
Submit this form to provide notice of intent to process material on which IAEA Safeguards have terminated. This
form must be submitted at least 210 days prior to such processing.
12.1

12.2

12.3

Reporting Code (once assigned):
Activity reporting Status
 New Activity
 Activity with no changes
 Activity with changes
 Ceased Activity
Identify building name(s)/numbers(s) and any additional information that may more
precisely define where the safeguards terminated waste material is held (e.g. room
numbers):

Waste Type Prior to Conditioning:
12.4

Conditioned Form:
Qty Pu (g):

Quantity:
Qty HEU (g):

Units:
Qty U-233 (g):

Processing Dates (mm/dd/yyyy):
12.5

From:

To:

Processing Purpose:

12.6

Check this box if a Continuation Form (Form AP-16) has been used to provide
additional information for any of the above questions.

FORM AP-12: Processing of IAEA Safeguards-Terminated Waste Material

Reporting requirements are set forth in 10
CFR Parts 75 and 110 of the U.S. Nuclear
Regulatory Commission (NRC) Regulations.
INSTRUCTIONS:
Submit Form AP-12 to provide notice of
intent to further process material on which
IAEA Safeguards have terminated. This
form must be submitted at least 210 days
prior to such processing.
Question 12.1 Reporting Code: A unique
reporting code will be assigned and reported
to each location by BIS once an Initial
Report has been submitted. The Reporting
Code must appear on all future forms
pertaining to the location after it is assigned.
Question 12.2 Activity Reporting Status:
Indicate the current reporting status by
checking the appropriate box (i.e., “New
Activity” to report an activity for the first
time, “Activity with changes” or “Activity
with no changes” if a report for this activity
was previously submitted, or “Ceased
activity” for an activity that ended during
the reporting year and will not be reported in
future years). If the information previously
reported for this specific activity has not
changed, you are not required to complete
the rest of this form, instead check the
“Activity with no changes” box and submit
along with Forms AP-1, AP-2 and any other
required activity forms.
Question 12.3 Place Where Activity
Occurs:
Identify
building
name(s)/
number(s), and any additional information
that may more precisely define where the
Safeguards-Terminated waste material will
be processed (e.g. room numbers). If many
rooms are used, you may describe areas
within the building (e.g. 1st floor of the
north wing).
Question 12.4 Description of IAEA
Safeguards-Terminated waste material:

Describe what type of waste the material,
currently at your location, was prior to
conversion to its IAEA safeguardsterminated form. Provide the form that this
conditioned material is in now (e.g., vitrified
waste, cemented waste, etc.), and the
quantity and units (e.g., canisters, drums,
etc.) of material present at your location.
Round to the nearest ten if the amount is
more than 10 but less than 1000 (e.g., 27 to
30, 148 to 150). Round to the nearest 2
significant figures if 1000 or more (e.g.,
1525 to 1500, 15782 to 16000, etc.). Also
provide the amount of plutonium, highly
enriched uranium, and/or U-233 present in
this material in grams.
Question 12.5 Intended Dates for
Processing of Safeguards-Terminated Waste
Material: Provide the intended beginning
and ending dates for processing the IAEA
Safeguards-Terminated waste material in
mm/dd/yyyy format, and also describe the
purpose of this processing. Note that this
Firm AP-12 must be submitted to BIS at
least 210 days prior to the intended
processing start date.
Question 12.6 Continuation Form: Check
this box if a Continuation Form, Form AP16, has been used to provide additional
information for any of the above questions.

FORM APPROVED: OMB NO. 0694-0135

U.S. DEPARTMENT OF COMMERCE
Bureau of Industry and Security

Date Received
(Leave Blank)

U.S. NUCLEAR REGULATORY COMMISSION
Office of Nuclear Materials Safety and Safeguards

ADDITIONAL PROTOCOL REPORT
FORM AP-13: EXPORT OF EQUIPMENT AND NON- NUCLEAR
MATERIAL
Submit a separate form for each export of specified equipment or non-nuclear material listed in Supplement
3 of this Handbook from your site.
13.1
Reporting Code (once assigned):
13.2

Annex II reference number:
Identify the Exported Item:
Item Dimensions:
Capacity (Volume):
Throughput:

13.3

Material of Construction:
Serial or Model Number(s):
Name and address of manufacturer:

Key Specifications of non-nuclear material:
Any additional information that will help identify the item:
13.4

 Items

Quantity exported:

 Kg

 Tons

Name of importing company or organization:

Street Address:

City:

13.5

Province:

Country:

Postal Code:

13.6

Date of Export (mm-dd-yyyy):

13.7

Check this box if a Continuation Form (Form AP-16) has been used to provide
additional information for any of the above questions.

FORM AP-13 Exports of Specified Equipment and Non-Nuclear Material
Reporting requirements are set forth in
15 CFR Part 783 of the U.S. Department
of Commerce (DOC) Regulations and 10
CFR Parts 75 and 110 of the U.S.
Nuclear Regulatory Commission (NRC)
Regulations.
INSTRUCTIONS:
Submit a separate Form AP-13 for each
export of specified equipment or nonnuclear material from your site. These
items are listed in Supplement 3 of this
handbook. The export report must be
submitted to the IAEA quarterly and are
due to BIS within 15 days from the end
of each calendar quarter. Export reports
are due by January 15th, April 15th, July
15th, and October 15th. In the event a
quarterly export report due date falls on
a federal holiday or a weekend the report
is then due to BIS the following business
day.
Question 13.1 Reporting Code: A
unique reporting code will be assigned
and reported to each location by BIS
once an Initial Report has been
submitted. The Reporting Code must
appear on all future forms pertaining to
the location after it is assigned.
Question 13.2 Annex II Reference
Number: Provide the full paragraph
number for the item being exported. For
example, the full paragraph number for
centrifuge rotor tubes would be 5.1.1(b).
All Annex II items and their
corresponding reference numbers are
listed in Supplement 3 to this Handbook.

Question 13.3 Identify Exported
Item(s): Provide, as appropriate, item
dimensions,
capacity
(volume),
throughput, material of construction,
identification or serial numbers, name
and address of the manufacturer, key
specifications of non-nuclear material,
and any other information that will help
identify the item(s) including units on all
measurements.
Question 13.4 Quantity Exported:
Provide the quantity of the item
exported. In the case of equipment, the
quantity should indicate the number of
items. In the case of exports of nonnuclear material, the quantity should be
the weight of the material in kilograms
or tons as appropriate.
Question 13.5 Name and Location of
Importer: Provide the name of the
importing company or organization and
the physical address where the item(s)
will be used.
Question 13.6 Date of Export: Provide
the date on which the export actually
occurred or the date when the export was
believed to have been made. A single
date, not a range of dates, should be
entered.
If the export cannot be
characterized by a single date, please
provide an explanation on Continuation
Form AP-16.
Question 13.7 Continuation Form:
Check this box if a Continuation Form,
Form AP-16, has been used to provide
additional information for any of the
above questions.

FORM APPROVED: OMB NO. 0694-0135

U.S. DEPARTMENT OF COMMERCE
Bureau of Industry and Security

Date Received
(Leave Blank)

U.S. NUCLEAR REGULATORY COMMISSION
Office of Nuclear Material Safety and Safeguards

ADDITIONAL PROTOCOL REPORT
FORM AP-14: IMPORT OF EQUIPMENT
AND NON-NUCLEAR MATERIALS
Submit this form in response to a request from BIS or NRC for confirmation of receipt of specified equipment or
non-nuclear material at your location.
14.1

Reporting Code (once assigned):

14.2

Identify building name(s)/numbers(s) and any additional information that may more
precisely define where the imported equipment or non-nuclear material is/was located
(e.g. room numbers):

14.3

Type of imported equipment or material and Annex II reference number:

14.4

Date Import Received (mm/dd/yyyy):

14.5

14.6

14.7

Check this box if this activity occurs within a location subject to an NRC or an
NRC Agreement State license or is otherwise subject to inspection under NRC
regulations (10CFR).
Response to IAEA Import Information Request:

Check this box if a Continuation Form (Form AP-16) has been used to provide
additional information for any of the above questions.

FORM AP-14: Import Confirmation Report of Equipment & Non-nuclear Materials

Reporting requirements are set forth in 15
CFR Part 783 of the U.S. Department of
Commerce (DOC) Regulations and 10 CFR
Parts 75 and 110 of the U.S. Nuclear
Regulatory Commission (NRC) Regulations.
INSTRUCTIONS:
Submit Form AP-14 if BIS or NRC requests
you to confirm receipt of specified
equipment or non-nuclear material at your
location pursuant to an IAEA request. This
information will help the IAEA to verify
that you received the equipment or nonnuclear material at your address that was
specified as an export in the declaration
from another country.
Question 14.1 Reporting Code: Provide the
Reporting Code, assigned by BIS, that was
reported to you after your Initial Report was
received. If you have not previously
reported information to BIS, a reporting
code will be assigned and provided to you
with the request for this information.
Question 14.2 Place Where Activity
Occurs:
Identify building name(s)/
number(s) and any additional information
that may more precisely define where the
specified imported equipment or nonnuclear material is/was located (e.g. room
numbers). If many rooms are used, you may
describe areas within the building (e.g. 1st
floor of the north wing).
Question 14.3 Type of Imported Equipment
or Material and Annex II Reference
Number: Provide a brief description of the
equipment or material imported and
reference the paragraph number from
Supplement 3 of this guidance that covers

the imported equipment or material.
Question 14.4 Date Import was Received:
Provide the date (in mm/dd/yyyy format) on
which the specified equipment or nonnuclear material was received at your
location. If the equipment or material in
question was never received at your
location, indicate so by entering “not
received” in the space provided.
Question 14.5 NRC License: Check the
box if this activity occurs within a location
subject to a NRC or an NRC Agreement
State license or is otherwise subject to
inspection under NRC regulations (10CFR).
Question 14.6 Response to IAEA Import
Information Request: Provide any further
information that responds to questions
submitted by the IAEA and that would
clarify/further confirm that the specified
equipment or material in question was or
was not received at your location. Use Form
AP-16 if additional space is needed.
Question 14.7 Continuation Form: Check
this box if a Continuation Form, Form AP16, has been used to provide additional
information for any of the above questions.

FORM APPROVED: OMB NO. 0694-0135

U.S. DEPARTMENT OF COMMERCE
Bureau of Industry and Security

Date Received
(Leave Blank)

U.S. NUCLEAR REGULATORY COMMISSION
Office of Nuclear Material Safety and Safeguards

ADDITIONAL PROTOCOL REPORT
FORM AP-15: SUPPLEMENTAL INFORMATION REPORT
Submit this form in response to a supplemental information request from BIS or NRC.
15.1

Reporting Code (once assigned):
Information Responding to the Request:

15.2

15.3

Check this box if a Continuation Form (Form AP-16) has been used to provide
additional information for the above question.

FORM AP-15: Supplemental Information Report

Reporting requirements are set forth in 15
CFR Part 783 of the U.S. Department of
Commerce (DOC) Regulations and 10 CFR
Parts 75 and 110 of the U.S. Nuclear
Regulatory Commission (NRC) Regulations.
INSTRUCTIONS:
Submit Form AP-15 in response to a DOC
or NRC request for supplemental
information on a reportable activity.
Information may also be requested about (1)
a location on an adjoining address outside
your location, which the IAEA suspects
might be functionally related to the nuclear
fuel cycle-related activities of your location
or (2) equipment or nuclear equipment that
is being exported from the United States. If
such a request occurs, BIS or NRC will
provide you with instructions on how to
report.

Question 15.1 Reporting Code: Provide the
site reporting code, assigned by BIS, that
was reported to you after your Initial Report
was received. If you have not previously
provided information to BIS, a reporting
Code will be assigned and provided to you
with the request for this information.
Question 15.2 Information Responding to
the Request: Provide a response to the
specific clarifying request made by the
IAEA that was forwarded to you either
through BIS or NRC.
Question 15.3 Continuation Form: Check
this box if a Continuation Form, Form AP16, has been used to provide additional
information for any of the above questions.

FORM APPROVED: OMB NO. 0694-0135

U.S. DEPARTMENT OF COMMERCE
Bureau of Industry and Security

Date Received
(Leave Blank)

U.S. NUCLEAR REGULATORY COMMISSION
Office of Nuclear Material Safety and Safeguards

ADDITIONAL PROTOCOL REPORT
FORM AP-16: CONTINUATION FORM
16.1

Reporting Code (once assigned):

16.2

Continuation Form for Form AP- __________, for Question Number____________:

FORM AP-16: Continuation Form
INSTRUCTIONS:
Submit Form AP-16 if you need additional
space to fully answer a question that was
asked on any of the previous AP report
forms. Submit a separate Form AP-16 if
you have more than one question that needs
additional space for answering.
Question 16.1 Reporting Code: A unique
reporting code will be assigned and reported
to each location by BIS once an Initial
Report has been submitted. The Reporting
Code must appear on all future forms

pertaining to the location after it is assigned.
Question 16.2 Continuation Form: Indicate
the AP Form and the question number for
which you are providing a continuation, and
include this information in the space
provided. Should you need even more
additional space, submit another Form AP16 with the same identifying information
provided for Questions 16.1 through 16.2.
Provide a separate Form AP-16 for each
separate question where additional space is
needed.

FORM APPROVED: OMB NO. 0694-0135

U.S. DEPARTMENT OF COMMERCE
Bureau of Industry and Security

Date Received
(Leave Blank)

U.S. NUCLEAR REGULATORY COMMISSION
Office of Nuclear Material Safety and Safeguards

ADDITIONAL PROTOCOL REPORT
FORM AP-17: NO CHANGES REPORT
This No Changes Report form may be used by your location to certify that all of the information reported in
your last submitted Initial, Annual Update, or Amended Report has not changed. If you did not submit an
Initial, Annual Update, Amended, or No Changes Report last year, you may not use this form.
17.1
Company or Organization Name:
17.2

Location Name and Reporting Code:

NOTE: The company name as well as the Reporting Code must be the same as those reported in Forms AP1 and AP-2 of the last submitted Initial, Annual Update or Amended Report

CERTIFICATION
I hereby certify that the information reported in last year’s Initial, Annual Update,
Amended, or No Changes Report is unchanged for the reporting year listed in Question
17.4 below. To the best of my knowledge and belief, the submitted information is true
and complete.
Name and title of responsible official (type or print):
17.3

Signature:

Date Signed (MM-DD-YYYY):
17.4

REPORTING YEAR (YYYY):

FORM AP-17: No Changes Report

Reporting requirements are set forth in 15
CFR Part 783 of the U.S. Department of
Commerce (DOC) Regulations and 10 CFR
Parts 75 and 110 of the U.S. Nuclear
Regulatory Commission (NRC) Regulations.
INSTRUCTIONS:
Submit this No Changes Report form in lieu
of an Annual Update Report to certify that
all of the information (including POC,
address and activity) reported in the last
submitted Initial, Annual Update, Amended
or No Changes Report for your location has
not changed. If you have not previously
submitted a report, you may not use this
form. A No Changes Report may only be
submitted if all previously reported
information (i.e., POC, address, activity) has
not changed).
Question 17.1 Company or Organization
Name: Provide the name of the company or
organization that controls activities for this
location. This should be the same company
or organization name that was provided on
Form AP-1 of your last submitted Initial,
Annual Update, or Amended Report.
Question 17.2 Location Name and
Reporting Code: This should be the same
location name and reporting code (first

provided to you by BIS after your Initial
Report was received) as listed on the Form
AP-2 of your last submitted Initial, Annual
Update, or Amended Report.
Question 17.3 Certification: The report
must be signed and dated by the owner, the
operator, or a senior management official
who certifies the accuracy and completeness
of the information submitted. The signature
block must contain an original signature.
Question 17.4 Report Information: Provide
the reporting year for which this No
Changes Report applies.

SUPPLEMENT 1
GLOSSARY OF TERMS
The following is an explanation of terms used in this Handbook.
Access Point of Contact (A-POC). The individual at a location who will be notified by BIS or
NRC immediately upon receipt of an IAEA request for complementary access to a location. The
BIS or NRC must be able to contact the A-POC or alternate A-POC on a 24-hour basis. The BIS
or NRC will conduct all interactions with the location for permitting and planning IAEA
complementary access through the A-POC or the alternate A-POC, in the event the A-POC is
unavailable.
Act (The). The United States Additional Protocol Implementation Act of 2006 (Public Law 109401, Title 2).
Additional Protocol (AP). The Protocol Additional to the Agreement Between the United States
of America and the International Atomic Energy Agency for the Application of Safeguards in the
United States of America, with Annexes, signed at Vienna on June 12, 1998 (Treaty Doc. 107097), known as the Additional Protocol.
Additional Protocol Regulations (APR). Those regulations contained in 15 CFR Parts 781 to
799 promulgated by the Department of Commerce and 10 CFR Parts 75 and 110 promulgated by
the NRC to implement and enforce the U.S. Additional Protocol.
Agreement State. Any State of the United States with which the Nuclear Regulatory
Commission (NRC) has entered into an effective agreement under Subsection 274b, of the
Atomic Energy Act of 1954, as amended (42 U.S.C. 2011 et seq.).
Bureau of Industry and Security (BIS). The Bureau of Industry and Security of the United
States Department of Commerce, including the Office of Export Administration and the Office
of Export Enforcement.
Complementary Access The exercise of the IAEA’s access rights as set forth in Articles 4 to 6
of the Additional Protocol.
Impure Source Material or Impure Uranium or Thorium. Uranium or thorium that has not
reached the composition and purity suitable for fuel fabrication or for being isotopically
enriched.
International Atomic Energy Agency (IAEA). The United Nations organization, headquartered
in Vienna, Austria, that serves as the official international verification authority for the
implementation of safeguards agreements concluded pursuant to the Treaty on the NonProliferation of Nuclear Weapons (NPT).
Location. Any geographic point or area declared or identified by the United States or specified
by the IAEA (see “location specified by the IAEA,” as defined in this section).

Location Specified by the IAEA. A location that is selected by the IAEA for the purpose of
assisting the IAEA to draw conclusions about the absence of undeclared nuclear material or
nuclear activities or to obtain information that the IAEA needs to amplify or clarify information
in the U.S. declaration.
NRC. The U.S. Nuclear Regulatory Commission.
NRC location. A location subject to a construction, operating, possession, or use license or
certificate with the NRC or an NRC Agreement State that is otherwise subject to inspection
under the NRC regulations (10 CFR). Also means a location where nuclear fuel cycle-related
activities are conducted inside the boundary of the controlled area or restricted area delineated on
an NRC or an NRC Agreement State license or other location subject to NRC inspections under
10 CFR.
NRC regulations. Those regulations promulgated by the U.S. Nuclear Regulatory Commission
contained in Title 10 of the Code of Federal Regulations (10 CFR). The regulations specific to
the Additional Protocol requirements are contained in 10 CFR Part 75.
Nuclear Fuel Cycle-Related Research and Development. Those activities that are specifically
related to any process or system development aspect of any of the following:
1) Conversion of nuclear material;
2) Enrichment of nuclear material;
3) Nuclear fuel fabrication;
4) Reactors;
5) Critical facilities;
6) Reprocessing of nuclear fuel; or
7) Processing (not including repackaging or conditioning not involving the separation of
elements, for storage or disposal) of intermediate or high-level waste containing
plutonium, high enriched uranium or uranium-233.
Nuclear Material. Any source material or any special fissionable material as follows.
(1) Source material means uranium containing the mixture of isotopes occurring
in nature; uranium depleted in the isotope 235; thorium; any of the foregoing
in the form of metal, alloy, chemical or concentrate. The term source material
shall not be interpreted as applying to ore or ore residue.
(2) Special fissionable material means plutonium 239; uranium 233; uranium
enriched in the isotopes 235 or 233; any material containing one or more of
the foregoing, but the term special fissionable material does not include source
material.

Operational Status of a Plant or Mine:
Operating
A plant or mine that produces ore materials.
Closed-down A plant or mine that is not operating but not fully decommissioned.
Decommissioned
A plant or mine that was decommissioned.
Person. Any individual, organization, corporation, partnership, firm, association, trust, estate,
public or private institution, any State or any political subdivision thereof, or any political entity

within a State, any foreign government or nation or any agency, instrumentality or political
subdivision of any such government or nation, or other entity located in the United States.
Reportable Location. A location that must submit an Initial Report, Annual Update Report, or
No Changes Report to BIS, in accordance with the provisions of either the APR or the NRC
regulations, is considered to be a “reportable location” with reportable activities.
Report Form. A form to be submitted to BIS reporting certain nuclear fuel-cycle related
activities.
Report Point of Contact (R-POC). A person whom BIS or NRC may contact for the purposes of
clarification of information provided in report(s) and for general information. The R-POC need
not be the person who prepares the forms or certifies the report(s), but should be familiar with
the content of the reports.
Reporting Code. A unique identification code used for each address where one or more nuclear
fuel cycle-related activities subject to the reporting requirements of the APR is located .
United States. The several States of the United States, the District of Columbia, and the
commonwealths, territories, and possessions of the United States, and includes all places under
the jurisdiction or control of the United States, including any of the places within the provisions
of paragraph (41) of section 40102 of Title 49 of the United States Code, any civil aircraft of the
United States or public aircraft, as such terms are defined in paragraphs (1) and (37),
respectively, of section 40102 of Title 49 of the United States Code, and any vessel of the United
States, as such term is defined in section 3(b) of the Maritime Drug Enforcement Act, as
amended (section 1903(b) of Title 46 App. of the United States Code).
Uranium Mines. Any of the following:
1) An area of land from which uranium ore is extracted in non-liquid form.
2) Private ways and roads appurtenant to such area; and
3) Lands, excavations, underground passageways, shafts, slopes, tunnels and workings,
structures, facilities, equipment, machines, tools, or other property including
impoundments, retention dams, and tailings ponds, on the surface or underground, used
in, or to be used in, or resulting from, the work of extracting such uranium ore from its
natural deposits in non-liquid form, or used in, or to be used in, the concentration of such
uranium ore, or the work of the uranium ore.
You. The term “you” or “your” means any person (see also definition of “person”). With regard
to the reporting requirements of the APR, “you” refers to persons that have an obligation to
report certain activities under the provisions of the APR.

SUPPLEMENT 2: NUCLEAR FUEL CYCLE-RELATED MANUFACTURING,
ASSEMBLY AND CONSTRUCTION ACTIVITIES
1)

The manufacture of centrifuge rotor tubes or the assembly of gas centrifuges.
Centrifuge rotor tubes means thin-walled cylinders as described in entry 5.1.1(b) of
Supplement 3.
Gas centrifuges means centrifuges as described in the Introductory Note to entry 5.1 of
Supplement 3.

2)

The manufacture of diffusion barriers.
Diffusion barriers means thin, porous filters as described in entry 5.3.1(a) of Supplement 3.

3)

The manufacture or assembly of laser-based systems.
Laser-based systems means systems incorporating those items as described in entry 5.7 of Supplement 3.

4)

The manufacture or assembly of electromagnetic isotope separators.
Electromagnetic isotope separators means those items referred to in entry 5.9.1 of Supplement 3 containing ion
sources as described in 5.9.1(a) of Supplement 3.

5)

The manufacture or assembly of columns or extraction equipment.
Columns or extraction equipment means those items as described in entries 5.6.1, 5.6.2,
5.6.3, 5.6.5, 5.6.6, 5.6.7 and 5.6.8 of Supplement 3.

6)

The manufacture of aerodynamic separation nozzles or vortex tubes.
Aerodynamic separation nozzles or vortex tubes means separation nozzles and vortex tubes as described
respectively in entries 5.5.1 and 5.5.2 of Supplement 3.

7)

The manufacture or assembly of uranium plasma generation systems.
Uranium plasma generation systems means systems for the generation of uranium plasma
as described in entry 5.8.3 of Supplement 3.

8)

The manufacture of zirconium tubes.
Zirconium tubes means tubes as described in entry 1.6 of Supplement 3.

9)

The manufacture or upgrading of heavy water or deuterium.
Heavy water or deuterium means deuterium, heavy water (deuterium oxide) and any other deuterium compound
in which the ratio of deuterium to hydrogen atoms exceeds 1:5000.

10)

The manufacture of nuclear grade graphite.
Nuclear grade graphite means graphite having a purity level better than 5 parts per million boron equivalent and
with a density greater than 1.50 g/cm3.

11)

The manufacture of flasks for irradiated fuel.
A flask for irradiated fuel means a vessel for the transportation and/or storage of irradiated fuel which provides
chemical, thermal and radiological protection, and dissipates decay heat during handling, transportation and
storage.

12)

The manufacture of reactor control rods.
Reactor control rods means rods as described in entry 1.4 of Supplement 3.

13)

The manufacture of criticality safe tanks and vessels.
Criticality safe tanks and vessels means those items as described in entries 3.2 and 3.4 of Supplement 3.

14)

The manufacture of irradiated fuel element chopping machines.
Irradiated fuel element chopping machines means equipment as described in entry 3.1 of Supplement 3.

15)

The construction of hot cells.
Hot cells means a cell or interconnected cells totaling at least 6 m3 in volume with shielding equal to or greater
than the equivalent of 0.5 m of concrete, with a density of 3.2g/cm3 or greater, outfitted with equipment for
remote operations.

SUPPLEMENT 3: LIST OF SPECIFIED EQUIPMENT AND NON-NUCLEAR MATERIAL FOR THE
REPORTING OF EXPORTS AND IMPORTS
1.

Reactors and equipment therefor

1.1

Complete nuclear reactors
Nuclear reactors capable of operation so as to maintain a controlled self-sustaining fission chain reaction,
excluding zero energy reactors, the latter being defined as reactors with a designed maximum rate of production
of plutonium not exceeding 100 grams per year.
EXPLANATORY NOTE
A “nuclear reactor” basically includes the items within or attached directly to the reactor vessel, the equipment
which controls the level of power in the core, and the components which normally contain or come in direct
contact with or control the primary coolant of the reactor core. It is not intended to exclude reactors which could
reasonably be capable of modification to produce significantly more than 100 grams of plutonium per year.
Reactors designed for sustained operation at significant power levels, regardless of their capacity for plutonium
production, are not considered as “zero energy reactors”.

1.2

Reactor pressure vessels
Metal vessels, as complete units or as major shop-fabricated parts therefor, which are especially designed or
prepared to contain the core of a nuclear reactor as defined in paragraph 1.1 above and are capable of
withstanding the operating pressure of the primary coolant.
EXPLANATORY NOTE
A top plate for a reactor pressure vessel is covered by item 1.2 as a major shop-fabricated part of a pressure
vessel. Reactor internals (e.g. support columns and plates for the core and other vessel internals, control rod
guide tubes, thermal shields, baffles, core grid plates, diffuser plates, etc.) are normally supplied by the reactor
supplier. In some cases, certain internal support components are included in the fabrication of the pressure
vessel. These items are sufficiently critical to the safety and reliability of the operation of the reactor (and,
therefore, to the guarantees and liability of the reactor supplier), so that their supply, outside the basic supply
arrangement for the reactor itself, would not be common practice. Therefore, although the separate supply of
these unique, especially designed and prepared, critical, large, and expensive items would not necessarily be
considered as falling outside the area of concern, such a mode of supply is considered unlikely.

1.3

Reactor fuel charging and discharging machines
Manipulative equipment especially designed or prepared for inserting or removing fuel in a nuclear reactor as
defined in paragraph 1.1 above capable of on-load operation or employing technically sophisticated positioning
or alignment features to allow complex off-load fueling operations such as those in which direct viewing of or
access to the fuel is not normally available.

1.4

Reactor control rods
Rods especially designed or prepared for the control of the reaction rate in a nuclear reactor as defined in
paragraph 1.1 above.
EXPLANATORY NOTE
This item includes, in addition to the neutron absorbing part, the support or suspension structures therefor if
supplied separately.

1.5

Reactor pressure tubes
Tubes which are especially designed or prepared to contain fuel elements and the primary coolant in a reactor as
defined in paragraph 1.1 above at an operating pressure in excess of 5.1 MPa (740 psi).

1.6

Zirconium tubes
Zirconium metal and alloys in the form of tubes or assemblies of tubes, and in quantities exceeding 500 kg in any
period of 12 months, especially designed or prepare for use in a reactor as defined in paragraph 1.1 above, and in
which the relation of hafnium to zirconium is less than 1:500 parts by weight.

1.7

Primary coolant pumps
Pumps especially designed or prepared for circulating the primary coolant for nuclear reactors as defined in
paragraph 1.1 above.

EXPLANATORY NOTE
Especially designed or prepared pumps may include elaborate sealed or multi-sealed systems to prevent leakage
of primary coolant, canned-driven pumps, and pumps with inertial mass systems. This definition encompasses
pumps certified to NC-1 or equivalent standards.
2.

Non-nuclear materials for reactors

2.1

Deuterium and heavy water
Deuterium, heavy water (deuterium oxide) and any other deuterium compound in which the ratio of deuterium to
hydrogen atoms exceeds 1:5000 for use in a nuclear reactor as defined in paragraph 1.1 above in quantities
exceeding 200 kg of deuterium atoms for any one recipient country in any period of 12 months.

2.2

Nuclear grade graphite
Graphite having a purity level better than 5 parts per million boron equivalent and with a density greater than
1.50 g/cm3 for use in a nuclear reactor as defined in paragraph 1.1 above in quantities exceeding 3 x 104 kg (30
metric tons) for any one recipient country in any period of 12 months.
NOTE
For the purpose of reporting, the Government will determine whether or not the exports of graphite meeting the
above specifications are for nuclear reactor use.

3.

Plants for the reprocessing of irradiated fuel elements, and equipment especially designed or prepared
therefor
INTRODUCTORY NOTE
Reprocessing irradiated nuclear fuel separates plutonium and uranium from intensely radioactive fission products
and other transuranic elements. Different technical processes can accomplish this separation. However, over the
years Purex has become the most commonly used and accepted process. Purex involves the dissolution of
irradiated nuclear fuel in nitric acid, followed by separation of the uranium, plutonium, and fission products by
solvent extraction using a mixture of tributyl phosphate in an organic diluent. Purex facilities have process
functions similar to each other, including: irradiated fuel element chopping, fuel dissolution, solvent extraction,
and process liquor storage. There may also be equipment for thermal denitration of uranium nitrate, conversion
of plutonium nitrate to oxide or metal, and treatment of fission product waste liquor to a form suitable for long
term storage or disposal. However the specific type and configuration of the equipment performing these
functions may differ between Purex facilities for several reasons, including the type and quantity of irradiated
nuclear fuel to be reprocessed and the intended disposition of the recovered materials, and the safety and
maintenance philosophy incorporated into the design of the facility. A “plant for the reprocessing of irradiated
fuel elements” includes the equipment and components which normally come in direct contact with and directly
control the irradiated fuel and the major nuclear material and fission product processing streams. These
processes, including the complete systems for plutonium conversion and plutonium metal production, may be
identified by the measures taken to avoid criticality (e.g. by geometry), radiation exposure (e.g. by shielding),
and toxicity hazards (e.g. by containment). Items of equipment that are considered to fall within the meaning of
the phrase “and equipment especially designed or prepared” for the reprocessing of irradiated fuel elements
include:

3.1

Irradiated fuel element chopping machines
INTRODUCTORY NOTE
This equipment breaches the cladding of the fuel to expose the irradiated nuclear material to dissolution.
Especially designed metal cutting shears are the most commonly employed, although advanced equipment, such
as lasers, may be used. Remotely operated equipment especially designed or prepared for use in a reprocessing
plant as identified above and intended to cut, chop or shear irradiated nuclear fuel assemblies, bundles or rods.

3.2

Dissolvers
INTRODUCTORY NOTE

Dissolvers normally receive the chopped-up spent fuel. In these critically safe vessels, the irradiated nuclear
material is dissolved in nitric acid and the remaining hulls removed from the process stream. Critically safe
tanks (e.g. small diameter, annular or slab tanks) especially designed or prepared for use in a reprocessing plant
as identified above, intended for dissolution of irradiated nuclear fuel and which are capable of withstanding hot,
highly corrosive liquid, and which can be remotely loaded and maintained.
3.3

Solvent extractors and solvent extraction equipment
INTRODUCTORY NOTE
Solvent extractors both receive the solution of irradiated fuel from the dissolvers and the organic solution which
separates the uranium, plutonium, and fission products. Solvent extraction equipment is normally designed to
meet strict operating parameters, such as long operating lifetimes with no maintenance requirements or
adaptability to easy replacement, simplicity of operation and control, and flexibility for variations in process
conditions. Especially designed or prepared solvent extractors such as packed or pulse columns, mixer settlers or
centrifugal contactors for use in a plant for the reprocessing of irradiated fuel. Solvent extractors must be
resistant to the corrosive effect of nitric acid. Solvent extractors are normally fabricated to extremely high
standards (including special welding and inspection and quality assurance and quality control techniques) out of
low carbon stainless steels, titanium, zirconium, or other high quality materials.

3.4

Chemical holding or storage vessels
INTRODUCTORY NOTE
Three main process liquor streams result from the solvent extraction step. Holding or storage vessels are used in
the further processing of all three streams, as follows:
(a)

The pure uranium nitrate solution is concentrated by evaporation and passed to a denitration process
where it is converted to uranium oxide. This oxide is re-used in the nuclear fuel cycle.

(b)

The intensely radioactive fission products solution is normally concentrated by evaporation and stored
as a liquor concentrate. This concentrate may be subsequently evaporated and converted to a form
suitable for storage or disposal.

(c)

The pure plutonium nitrate solution is concentrated and stored pending its transfer to further process
steps. In particular, holding or storage vessels for plutonium solutions are designed to avoid criticality
problems resulting from changes in concentration and form of this stream.

Especially designed or prepared holding or storage vessels for use in a plant for the reprocessing of irradiated
fuel. The holding or storage vessels must be resistant to the corrosive effect of nitric acid. The holding or
storage vessels are normally fabricated of materials such as low carbon stainless steels, titanium or zirconium, or
other high quality materials. Holding or storage vessels may be designed for remote operation and maintenance
and may have the following features for control of nuclear criticality:
(1)
walls or internal structures with a boron equivalent of at least two percent, or
(2)
a maximum diameter of 175 mm (7 in) for cylindrical vessels, or
(3)
a maximum width of 75 mm (3 in) for either a slab or annular vessel.
3.5

Plutonium nitrate to oxide conversion system
INTRODUCTORY NOTE
In most reprocessing facilities, this final process involves the conversion of the plutonium nitrate solution to
plutonium dioxide. The main functions involved in this process are: process feed storage and adjustment,
precipitation and solid-liquor separation, calcination, product handling, ventilation, waste management, and
process control. Complete systems especially designed or prepared for the conversion of plutonium nitrate to
plutonium oxide, in particular adapted so as to avoid criticality and radiation effects and to minimize toxicity
hazards.

3.6

Plutonium oxide to metal production system

INTRODUCTORY NOTE
This process, which could be related to a reprocessing facility, involves the fluorination of plutonium dioxide,
normally with highly corrosive hydrogen fluoride, to produce plutonium fluoride which is subsequently reduced
using high purity calcium metal to produce metallic plutonium and a calcium fluoride slag. The main functions
involved in this process are: fluorination (e.g. involving equipment fabricated or lined with a precious metal),
metal reduction (e.g. employing ceramic crucibles), slag recover, product handling, ventilation, waste
management and process control. Complete systems especially designed or prepared for the production of
plutonium metal, in particular adapted so as to avoid criticality and radiation effects and to minimize toxicity
hazards.
4.

Plants for the fabrication of fuel elements
A “plant for the fabrication of fuel elements” includes the equipment:
(a)

Which normally comes in direct contact with, or directly processes, or controls, the production flow of
nuclear material, or

(b)

Which seals the nuclear material within the cladding.

5.

Plants for the separation of isotopes of uranium and equipment, other than analytical instruments,
especially designed or prepared therefor
Items of equipment that are considered to fall within the meaning of the phrase “equipment, other than analytical
instruments, especially designed or prepared” for the separation of isotopes of uranium include:

5.1

Gas centrifuges and assemblies and components especially designed or prepared for use in gas centrifuges
INTRODUCTORY NOTE
The gas centrifuge normally consists of a thin-walled cylinder(s) of between 75 mm (3 in.) and 400 mm (16 in.)
diameter contained in a vacuum environment and spun at high peripheral speed of the order of 300 m/s or more
with its central axis vertical. In order to achieve high speed the materials of construction for the rotating
components have to be of a high strength to density ratio and the rotor assembly, and hence its individual
components, have to be manufactured to very close tolerances in order to minimize the unbalance. In contrast to
other centrifuges, the gas centrifuge for uranium enrichment is characterized by having within the rotor chamber
a rotating disc-shaped baffle(s) and a stationary tube arrangement for feeding and extracting the UF6 gas and
featuring at least 3 separate channels, of which 2 are connected to scoops extending from the rotor axis towards
the periphery of the rotor chamber. Also contained within the vacuum environment are a number of critical
items which do not rotate and which although they are especially designed are not difficult to fabricate nor are
they fabricated out of unique materials. A centrifuge facility however requires a large number of these
components, so that quantities can provide an important indication of end use.

5.1.1

Rotating components
(a)
Complete rotor assemblies:
Thin-walled cylinders, or a number of interconnected thin-walled cylinders, manufactured from one or more of
the high strength to density ratio materials described in the EXPLANATORY NOTE to this Section. If
interconnected, the cylinders are joined together by flexible bellows or rings as described in section 5.1.1(c)
following. The rotor is fitted with an internal baffle(s) and end caps, as described in section 5.1.1(d) and (e)
following, if in final form. However the complete assembly may be delivered only partly assembled.
(b)

Rotor tubes:

Especially designed or prepared thin-walled cylinders with thickness of 12 mm (0.5 in.) or less, a diameter of
between 75 mm (3 in.) and 400 mm (16 in.), and manufactured from one or more of the high strength to density
ratio materials described in the EXPLANATORY NOTE to this Section.
(c)

Rings or Bellows:

Components especially designed or prepared to give localized support to the rotor tube or to join together a
number of rotor tubes. The bellows is a short cylinder of wall thickness 3 mm (0.12 in.) or less, a diameter of
between 75 mm (3 in.) And 400 mm (16 in.), having a convolute, and manufactured from one of the high
strength to density ratio materials described in the EXPLANATORY NOTE to this Section.
(d)

Baffles:

Disc-shaped components of between 75 mm (3 in.) and 400 mm (16 in.) diameter especially designed or
prepared to be mounted inside the centrifuge rotor tube, in order to isolate the take-off chamber from the main
separation chamber and, in some cases, to assist the UF6 gas circulation within the main separation chamber of
the rotor tube, and manufactured from one of the high strength to density ratio materials described in the
EXPLANATORY NOTE to this Section.
(e)

Top Caps/Bottom Caps:

Disc-shaped components of between 75 mm (3 in.) and 400 mm (16 in.) diameter especially designed or
prepared to fit to the ends of the rotor tube, and so contain the UF6 within the rotor tube, and in some cases to
support, retain or contain as an integrated part an element of the upper bearing (top cap) or to carry the
rotating elements of the motor and lower bearing (bottom cap), and manufactured from one of the high
strength to density ratio materials described in the EXPLANATORY NOTE to this Section.
EXPLANATORY NOTE
The materials used for centrifuge rotating components are:

5.1.2

(a)

Maraging steel capable of an ultimate tensile strength of 2.05 x 109 N/m2 (300,000 psi) or more;

(b)

Aluminum alloy capable of an ultimate tensile strength of 0.46 x 10 9 N/m2 (67,000 psi) or more;

(c)

Filamentary materials suitable for use in composite structures and having a specific modulus of 12.3 x
106 m or greater and a specific ultimate tensile strength of 0.3 x 10 6 m or greater (‘Specific Modulus’ is
the Young’s Modulus in N/m2 divided by the specific weight in N/m3; ‘Specific Ultimate Tensile
Strength’ is the ultimate tensile strength in N/m2 divided by the specific weight in N/m3).

Static components
(a)
Magnetic suspension bearings:
Especially designed or prepared bearing assemblies consisting of an annular magnet suspended within a housing
containing a damping medium. The housing will be manufactured from a UF6-resistant material (see
EXPLANATORY NOTE to Section 5.2). The magnet couples with a pole piece or a second magnet fitted to the
top cap described in Section 5.1.1(e). The magnet may be ring-shaped with a relation between outer and inner
diameter smaller or equal to 1.6:1. The magnet may be in a form having an initial permeability of 0.15H/m
(120,000 in CGS units) or more, or a remanence of 98.5% or more, or an energy product of greater than 80kJ/m 3
(107 gauss-oersteds). In addition to the usual material properties, it is a prerequisite that the deviation of the
magnetic axes from the geometrical axes is limited to very small tolerances (lower than 0.1 mm or 0.004 in.) or
that homogeneity of the material of the magnet is specially called for.
(b)

Bearings/Dampers:

Especially designed or prepared bearing comprising a pivot/cup assembly mounted on a damper. The pivot is
normally a hardened steel shaft with a hemisphere at one end with a means of attachment to the bottom cap
described in section 5.1.1(e) at the other. The shaft may however have a hydrodynamic bearing attached. The
cup is pellet-shaped with a hemispherical indentation in one surface. These components are often supplied
separately to the damper.
(c)

Molecular pumps:

Especially designed or prepared cylinders having internally machined or extruded helical grooves and internally
machined bores. Typical dimensions are as follows: 75 mm (3 in.) to 400 mm (16 in.) internal diameter, 10 mm
(0.4 in.) or more wall thickness, with the length equal to or greater than the diameter. The grooves are typically
rectangular in cross-section and 2 mm (0.08 in.) or more in depth.
(d)

Motor stators:

Especially designed or prepared ring-shaped stators for high speed multiphase AC hysteresis (or reluctance)
motors for synchronous operation within a vacuum in the frequency range of 600 - 2000 Hz and a power range of
50 - 1000 VA. The stators consist of multi-phase windings on a laminated low loss iron core comprised of thin
layers typically 2.0 mm (0.08 in.) thick or less.
(e)

Centrifuge housing/recipients:

Components especially designed or prepared to contain the rotor tube assembly of a gas centrifuge. The housing
consists of a rigid cylinder of wall thickness up to 30 mm (1.2 in.) with precision machined ends to locate the
bearings and with one or more flanges for mounting. The machined ends are parallel to each other and
perpendicular to the cylinder’s longitudinal axis to within 0.05 degrees or less. The housing may also be a
honeycomb type structure to accommodate several rotor tubes. The housings are made of or protected by
materials resistant to corrosion by UF6.
(f)

Scoops:

Especially designed or prepared tubes of up to 12 mm (0.5 in.) internal diameter for the extraction of UF6 gas
from within the rotor tube by a Pitot tube action (that is, with an aperture facing into the circumferential gas flow
within the rotor tube, for example by bending the end of a radially disposed tube) and capable of being fixed to
the central gas extraction system. The tubes are made of or protected by materials resistant to corrosion by UF 6.
5.2

Especially designed or prepared auxiliary systems, equipment and components for gas centrifuge
enrichment plants
INTRODUCTORY NOTE
The auxiliary systems, equipment and components for a gas centrifuge enrichment plant are the systems of plant
needed to feed UF6 to the centrifuges, to link the individual centrifuges to each other to form cascades (or stages)
to allow for progressively higher enrichments and to extract the ‘product’ and ‘tails’ UF6 from the centrifuges,
together with the equipment required to drive the centrifuges or to control the plant. Normally UF6 is evaporated
from the solid using heated autoclaves and is distributed in gaseous form to the centrifuges by way of cascade
header pipework. The ‘product’ and ‘tails’ UF6 gaseous streams flowing from the centrifuges are also passed by
way of cascade header pipework to cold traps (operating at about 203 K(-70N C)) where they are condensed prior
to onward transfer into suitable containers for transportation or storage. Because an enrichment plant consists of
many thousands of centrifuges arranged in cascades there are many kilometers of cascade header pipework,
incorporating thousands of welds with a substantial amount of repetition of layout. The equipment, components
and piping systems are fabricated to very high vacuum and cleanliness standards.

5.2.1

Feed systems/product and tails withdrawal systems
Especially designed or prepared process systems including:
Feed autoclaves (or stations), used for passing UF6 to the centrifuge cascades at up to 100 kPa
(15 psi) and at a rate of 1 kg/h or more;
Desublimers (or cold traps) used to remove UF6 from the cascades at up to 3 kPa (0.5 psi) pressure.
The desublimers are capable of being chilled to 203 K (-70N C) and heated to 343 K (70N C);
‘Product’ and ‘Tails’ stations used for trapping UF6 into containers.

This plant, equipment and pipework is wholly made of or lined with UF6-resistant materials (see
EXPLANATORY NOTE to this section) and is fabricated to very high vacuum and cleanliness standards.
5.2.2

Machine header piping systems
Especially designed or prepared piping systems and header systems for handling UF 6 within the centrifuge
cascades. The piping network is normally of the ‘triple’ header system with each centrifuge connected to each of
the headers. There is thus a substantial amount of repetition in its form. It is wholly made of UF 6-resistant
materials (see EXPLANATORY NOTE to this section) and is fabricated to very high vacuum and cleanliness
standards.

5.2.3

UF6 mass spectrometers/ion sources
Especially designed or prepared magnetic or quadrupole mass spectrometers capable of taking ‘on-line’ samples
of feed, product or tails, from UF6 gas streams and having all of the following characteristics:

5.2.4

1.

Unit resolution for atomic mass unit greater than 320;

2.

Ion sources constructed of or lined with nichrome or monel or nickel plated;

3.

Electron bombardment ionization sources;

4.

Having a collector system suitable for isotopic analysis.

Frequency changers
Frequency changes (also known as converters or invertors) especially designed or prepared to supply motor
stators as defined under 5.1.2(d), or parts, components and sub-assemblies of such frequency changers having all
of the following characteristics:
1.
A multiphase output of 600 to 2000 Hz;
2.

High stability (with frequency control better than 0.1%);

3.

Low harmonic distortion (less than 2%); and

4.

An efficiency of greater than 80%.

EXPLANATORY NOTE
The items listed above either come into direct contact with the UF6 process gas or directly control the centrifuges
and the passage of the gas from centrifuge to centrifuge and cascade to cascade. Materials resistant to corrosion
by UF6 include stainless steel, aluminum, aluminum alloys, nickel or alloys containing 60% or more nickel.
5.3

Especially designed or prepared assemblies and components for use in gaseous diffusion enrichment
INTRODUCTORY NOTE
In the gaseous diffusion method of uranium isotope separation, the main technological assembly is a special
porous gaseous diffusion barrier, heat exchanger for cooling the gas (which is heated by the process of
compression), seal valves and control valves, and pipelines. Inasmuch as gaseous diffusion technology uses
uranium hexafluoride (UF6), all equipment, pipeline and instrumentation surfaces (that come in contact with the
gas) must be made of materials that remain stable in contact with UF6. A gaseous diffusion facility requires a
number of these assemblies, so that quantities can provide an important indication of end use.

5.3.1

Gaseous diffusion barriers
(a)
Especially designed or prepared thin, porous filters, with a pore size of 100 - 1,000  (angstroms), a
thickness of 5 mm (0.2 in.) or less, and for tubular forms, a diameter of 25 mm (1 in.) or less, made of
metallic, polymer or ceramic materials resistant to corrosion by UF6, and
(b)

Especially prepared compounds or powders for the manufacture of such filters. Such compounds and
powders include nickel or alloys containing 60 percent or more nickel, aluminum oxide, or UF6-

resistant fully fluorinated hydrocarbon polymers having a purity of 99.9 percent or more, a particle size
less than 10 microns, and a high degree of particle size uniformity, which are especially prepared for
the manufacture of gaseous diffusion barriers.
5.3.2

Diffuser housings
Especially designed or prepared hermetically sealed cylindrical vessels greater than 300 mm (12 in.) in diameter
and greater than 900 mm (35 in.) in length, or rectangular vessels of comparable dimensions, which have an inlet
connection and two outlet connections all of which are greater than 50 mm (2 in.) in diameter, for containing the
gaseous diffusion barrier, made of or lined with UF6-resistant materials and designed for horizontal or vertical
installation.

5.3.3

Compressors and gas blowers
Especially designed or prepared axial, centrifugal, or positive displacement compressors, or gas blowers with a
suction volume capacity of 1 m3/min or more of UF6, and with a discharge pressure of up to several hundred kPa
(100 psi), designed for long-term operation in the UF6 environment with or without an electrical motor of
appropriate power, as well as separate assemblies of such compressors and gas blowers. These compressors and
gas blowers have a pressure ratio between 2:1 and 6:1 and are made of, or lined with, materials resistant to UF 6.

5.3.4

Rotary shaft seals
Especially designed or prepared vacuum seals, with seal feed and seal exhaust connections, for sealing the shaft
connecting the compressor or the gas blower rotor with the driver motor so as to ensure a reliable seal against inleaking of the air into the inner chamber of the compressor or gas blower which is filled with UF6. Such seals are
normally designed for a buffer gas in-leakage rate of less than 1000 cm3/min (60 in3/min).

5.3.5

Heat exchangers for cooling UF6
Especially designed or prepared heat exchangers made of or lined with UF6-resistant materials (except stainless
steel) or with copper or any combination of those metals, and intended for a leakage pressure change rate or less
than 10 Pa (0.0015 psi) per hour under a pressure difference of 100 kPa (15 psi).

5.4

Especially designed or prepared auxiliary systems, equipment and components for use in gaseous diffusion
enrichment
INTRODUCTORY NOTE
The auxiliary systems, equipment and components for gaseous diffusion enrichment plants are the systems of
plant needed to feed UF6 to the gaseous diffusion assembly, to link the individual assemblies to each other to
form cascades (or stages) to allow for progressively higher enrichments and to extract the ‘product’ and ‘tails’
UF6 from the diffusion cascades. Because of the high inertial properties of diffusion cascades, any interruption
in their operation, and especially their shut-down, leads to serious consequences. Therefore, a strict and constant
maintenance of vacuum in all technological systems, automatic protection from accidents, and precise automated
regulation of the gas flow is of importance in a gaseous diffusion plant. All this leads to a need to equip the plant
with a large number of special measuring, regulating and controlling systems. Normally UF 6 is evaporated from
cylinders placed within autoclave and is distributed in gaseous form to the entry point by way of cascade header
pipework. The ‘product’ and ‘tails’ UF6 gaseous streams flowing from exit points are passed by way of cascade
header pipework to either cold traps or to compression stations where the UF6 gas is liquefied prior to onward
transfer into suitable containers for transportation or storage. Because a gaseous diffusion enrichment plant
consists of a large number of gaseous diffusion assemblies arranged in cascades, there are many kilometers of
cascade header pipework, incorporating thousands of welds with substantial amounts of repetition layout. The
equipment, components and piping systems are fabricated to very high vacuum and cleanliness standards.

5.4.1

Feed systems/product and tails withdrawal systems
Especially designed or prepared process systems, capable of operating at pressures of 300 kPa (45 psi) or less,
including:
Feed autoclaves (or systems), used for passing UF6 to the gaseous diffusion cascades;
Desublimers (or cold traps) used to remove UF6 from diffusion cascades;

Liquefaction stations where UF6 gas from the cascade is compressed and cooled to form liquid UF6;
‘Product’ or ‘tails’ stations used for transferring UF6 into containers.
5.4.2

Header piping systems
Especially designed or prepared piping systems and header systems fro handling UF 6 within the gaseous
diffusion cascades. This piping network is normally of the “double” header system with each cell connected to
each of the headers.

5.4.3

Vacuum systems
(a)
Especially designed or prepared large vacuum manifolds, vacuum headers and vacuum pumps having a
suction capacity of 5 m3/min (175 ft3/min) or more.
(b)

Vacuum pumps especially designed for service in UF6-bearing atmospheres made of, or lined with,
aluminum, nickel, or alloys bearing more than 60% nickel. These pumps may be either rotary or
positive, may have displacement and fluorocarbon seals, and may have special working fluids present.

5.4.4

Special shut-off and control valves
Especially designed or prepared manual or automated shut-off and control bellows valves made of UF6-resistant
materials with a diameter of 40 to 1500mm (1.5 to 59 in.) for installation in main and auxiliary systems of
gaseous diffusion enrichment plants.

5.4.5

UF6 mass spectrometers/ion sources
Especially designed or prepared magnetic or quadrupole mass spectrometers capable of taking “on-line” samples
of feed product or tails, from UF6 gas streams and having all of the following characteristics:
1.

Unit resolution for atomic mass unit greater than 320;

2.

Ion sources constructed of or lined with nichrome or monel or nickel plated;

3.

Electron bombardment ionization sources;

4.

Collector system suitable for isotopic analysis.

EXPLANATORY NOTE
The items listed above either come into direct contact with the UF6 process gas or directly control the flow within
the cascade. All surfaces which come into contact with the process gas are wholly made of, or lined with, UF6resistant materials. For the purposes of the sections relating to gaseous diffusion items the materials resistant to
corrosion by UF6 include stainless steel, aluminum, aluminum alloys, aluminum oxide, nickel or alloys
containing 60% or more nickel and UF6-resistant fully fluorinated hydrocarbon polymers.
5.5

Especially designed or prepared systems, equipment and components for use in aerodynamic enrichment
plants
INTRODUCTORY NOTE
In aerodynamic enrichment processes, a mixture of gaseous UF6 and light gas (hydrogen or helium) is
compressed and then passed through separating elements wherein isotopic separation is accomplished by the
generation of high centrifugal forces over a curved-wall geometry. Two processes of this type have been
successfully developed: the separation nozzle process and the vortex tube process. For both processes the main
components of a separation stage include cylindrical vessels housing the special separation elements (nozzles or
vortex tubes), gas compressors and heat exchangers to remove the heat of compression. An aerodynamic plant
requires a number of these stages, so that quantities can provide an important indication of end use. Since
aerodynamic processes use UF6, all equipment, pipeline and instrumentation surfaces (that come in contact with
the gas) must be made of materials that remain stable in contact with UF6.
EXPLANATORY NOTE

The items listed in this section either come into direct contact with the UF6 process gas or directly control the
flow within the cascade. All surfaces which come into contact with the process gas are wholly made of or
protected by UF6-resistant materials. For the purposes of the section relating to aerodynamic enrichment items,
the materials resistant to corrosion by UF6 include copper, stainless steel, aluminum, aluminum alloys, nickel or
alloys containing 60% or more nickel and UF6-resistant fully fluorinated hydrocarbon polymers.
5.5.1

Separation nozzles
Especially designed or prepared separation nozzles and assemblies thereof. The separation nozzles consist of
slit-shaped, curved channels having a radius of curvature less than 1 mm (typically 0.1 to 0.05 mm), resistant to
corrosion by UF6 and having a knife-edge within the nozzle that separates the gas flowing through the nozzle into
two fractions.

5.5.2

Vortex tubes
Especially designed or prepared vortex tubes and assemblies thereof. The vortex tubes are cylindrical or tapered,
made of or protected by materials resistant to corrosion by UF6, having a diameter of between 0.5 cm and 4 cm, a
length to diameter ratio of 20:1 or less and with one or more tangential inlets. The tubes may be equipped with
nozzle-type appendages at either or both ends.
EXPLANATORY NOTE
The feed gas enters the vortex tube tangentially at one end or through swirl vanes or at numerous tangential
positions along the periphery of the tube.

5.5.3

Compressors and gas blowers
Especially designed or prepared axial, centrifugal or positive displacement compressors or gas blowers made of
or protected by materials resistant to corrosion by UF6 and with a suction volume capacity of 2 m3/min or more
of UF6/carrier gas (hydrogen or helium) mixture.

5.5.4

Rotary shaft seals
Especially designed or prepared rotary shaft seals, with seal feed and seal exhaust connections for sealing the
shaft connecting the compressor rotor or the gas blower rotor with the driver motor so as to ensure a reliable seal
against out-leakage of process gas or in-leakage of air or seal gas into the inner chamber of the compressor or gas
blower which is filled with a UF6/carrier gas mixture.

5.5.5

Heat exchangers for gas cooling
Especially designed or prepared heat exchangers made of or protected by materials resistant to corrosion by UF 6.

5.5.6

Separation element housings
Especially designed or prepared separation element housings, made of or protected by materials resistant to
corrosion by UF6, for containing vortex tubes or separation nozzles.
EXPLANATORY NOTE
These housings may be cylindrical vessels greater than 300 mm in diameter and greater than 900 mm in length,
or may be rectangular vessels of comparable dimensions, and may be designed for horizontal or vertical
installation.

5.5.7

Feed systems/product and tails withdrawal systems
Especially designed or prepared process systems or equipment for enrichment plants made of or protected by
materials resistant to corrosion by UF6, including:
(a)

Feed autoclaves, ovens, or systems used for passing UF6 to the enrichment process;

(b)

Desublimers (or cold traps) used to remove UF6 from the enrichment process for subsequent transfer
upon heating;

(c)

Solidification or liquefaction stations used to remove UF6 from the enrichment process by compressing
and converting UF6 to a liquid or solid form;

(d)

‘Product’ or ‘tails’ stations used for transferring UF6 into containers.

5.5.8

Header piping systems
Especially designed or prepared header piping systems, made of our protected by materials resistant to corrosion
by UF6, for handling UF6 within the aerodynamic cascades. This piping network is normally of the ‘double’
header design with each stage or group of stages connected to each of the headers.

5.5.9

Vacuum systems and pumps
(a)
Especially designed or prepared vacuum systems having a suction capacity of 5 m 3/min or more,
consisting of vacuum manifolds, vacuum headers and vacuum pumps, and designed for service in UF6bearing atmospheres,
(b)

Vacuum pumps especially designed or prepared for service in UF6-bearing atmospheres and made of or
protected by materials resistant to corrosion by UF6. These pumps may use fluorocarbon seals and
special working fluids.

5.5.10

Special shut-off and control valves
Especially designed or prepared manual or automated shut-off and control bellows valves made of or protected
by materials resistant to corrosion by UF6 with a diameter of 40 to 1500 mm for installation in main and auxiliary
systems of aerodynamic enrichment plants.

5.5.11

UF6 mass spectrometers/ion sources
Especially designed or prepared magnetic or quadrupole mass spectrometers capable of taking ‘on-line’ samples
of feed, ‘product’ or ‘tails’, from UF6 gas streams and having all of the following characteristics:

5.5.12

5.6

1.

Unit resolution for mass greater than 320;

2.

Ion sources constructed of or lined with nichrome or monel or nickel plated;

3.

Electron bombardment ionization sources;

4.

Collector system suitable for isotopic analysis.

UF6/carrier gas separation systems
Especially designed or prepared process systems for separating UF6 from carrier gas (hydrogen or helium).
EXPLANATORY NOTE
These systems are designed to reduce the UF6 content in the carrier gas to 1 ppm or less and may incorporate
equipment such as:
(a)

Cryogenic heat exchangers and cryoseparators capable of temperatures of -120C or less, or

(b)

Cryogenic refrigeration units capable of temperatures of -120C or less, or

(c)

Separation nozzle or vortex tube units for the separation of UF6 from carrier gas, or

(d)

UF6 cold traps capable of temperatures of -20C or less.

Especially designed or prepared systems, equipment and components for use in chemical exchange or ion
exchange enrichment plants
INTRODUCTORY NOTE
The slight difference in mass between the isotopes of uranium causes small changes in chemical reaction
equilibria that can be used as a basis for separation of the isotopes. Two processes have been successfully
developed: liquid-liquid chemical exchange and solid-liquid ion exchange. In the liquid-liquid chemical
exchange process, immiscible liquid phases (aqueous and organic) are countercurrently contacted to give the
cascading effect of thousands of separation stages. The aqueous phase consists of uranium chloride in

hydrochloric acid solution; the organic phase consists of an extractant containing uranium chloride in an organic
solvent. The contactors employed in the separation cascade can be liquid-liquid exchange columns (such as
pulsed columns with sieve plates) or liquid centrifugal contactors. Chemical conversions (oxidation and
reduction) are required at both ends of the separation cascade in order to provide for the reflux requirements at
each end. A major design concern is to avoid contamination of the process streams with certain metal ions.
Plastic, plastic-lined (including use of fluorocarbon polymers) and/or glass-lined columns and piping are
therefore used. In the solid-liquid ion-exchange process, enrichment is accomplished by uranium
adsorption/desorption on a special, very fast-acting, ion-exchange resin or adsorbent. A solution of uranium in
hydrochloric acid and other chemical agents is passed through cylindrical enrichment columns containing packed
beds of the adsorbent. For a continuous process, a reflux system is necessary to release the uranium from the
adsorbent back into the liquid flow so that ‘product’ and ‘tails’ can be collected. This is accomplished with the
use of suitable reduction/oxidation chemical agents that are fully regenerated in separate external circuits and that
may be partially regenerated within the isotopic separation columns themselves. The presence of hot
concentrated hydrochloric acid solutions in the process requires that the equipment be made of or protected by
special corrosion-resistant materials.
5.6.1

Liquid-liquid exchange columns (Chemical exchange)
Countercurrent liquid-liquid exchange columns having mechanical power input (i.e., pulsed columns with sieve
plates, reciprocating plate columns, and columns with internal turbine mixers), especially designed or prepared
for uranium enrichment using the chemical exchange process. For corrosion resistance to concentrated
hydrochloric acid solutions, these columns and their internals are made of or protected by suitable plastic
materials (such as fluorocarbon polymers) or glass. The stage residence time of the columns is designed to be
short (30 seconds or less).

5.6.2

Liquid-liquid centrifugal contactors (Chemical exchange)
Liquid-liquid centrifugal contactors especially designed or prepared for uranium enrichment using the chemical
exchange process. Such contactors use rotation to achieve dispersion of the organic and aqueous streams and the
centrifugal force to separate the phases. For corrosion resistance to concentrated hydrochloric acid solutions, the
contactors are made of or are lined with suitable plastic materials (such as fluorocarbon polymers) or are lined
with glass. The stage residence time of the centrifugal contactors is designed to be short (30 seconds or less).

5.6.3

Uranium reduction systems and equipment (Chemical exchange)
(a)
Especially designed or prepared electrochemical reduction cells to reduce uranium from one valence
state to another for uranium enrichment using the chemical exchange process. The cell materials in
contact with process solutions must be corrosion resistant to concentrated hydrochloric acid solutions.
EXPLANATORY NOTE
The cell cathodic compartment must be designed to prevent re-oxidation of uranium to its higher valence state.
To keep the uranium in the cathodic compartment, the cell may have an impervious diaphragm membrane
constructed of special cation exchange material. The cathode consists of a suitable solid conductor such as
graphite.
(b)

Especially designed or prepared systems at the product end of the cascade fro taking the U 4+ out of the
organic stream, adjusting the acid concentration and feeding to the electrochemical reduction cells.

EXPLANATORY NOTE
These systems consist of solvent extraction equipment for stripping the U 4+ from the organic stream into an
aqueous solution, evaporation and/or other equipment to accomplish solution pH adjustment and control, and
pumps or other transfer devices for feeding to the electrochemical reduction cells. A major design concern is to
avoid contamination of the aqueous stream with certain metal ions. Consequently, for those parts in contact with
the process stream, the system is constructed of equipment made of or protected by suitable materials (such as
glass, fluorocarbon polymers, polyphenyl sulfate, polyether sulfone, and resin-impregnated graphite).
5.6.4

Feed preparation systems (Chemical exchange)
Especially designed or prepared systems for producing high-purity uranium chloride feed solutions for chemical
exchange uranium isotope separation plants.

EXPLANATORY NOTE
These systems consist of dissolution, solvent extraction and/or ion exchange equipment for purification and
electrolytic cells for reducing the uranium U6+ or U4+ to U3+. These systems produce uranium chloride solutions
having only a few parts per million of metallic impurities such as chromium, iron, vanadium, molybdenum and
other bivalent or higher multi-valent cations. Materials of construction for portion of the system processing highpurity U3+ include glass, fluorocarbon polymers, polyphenyl sulfate or polyether sulfone plastic-lined and resinimpregnated graphite.
5.6.5

Uranium oxidation systems (Chemical exchange)
Especially designed or prepared systems for oxidation of U3 + to U4+ for return to the uranium isotope separation
cascade in the chemical exchange enrichment process.
EXPLANATORY NOTE
These systems may incorporate equipment such as:
(a) Equipment for contacting chlorine and oxygen with the aqueous effluent from the isotope separation
equipment and extracting the resultant U4+ into the stripped organic stream returning from the product end of
the cascade,
(b) Equipment that separates water from hydrochloric acid so that the water and the concentrated hydrochloric
acid may be reintroduced to the process at the proper locations.

5.6.6

Fast-reacting ion exchange resins/adsorbents (ion exchange)
Fast-reacting ion-exchange resins or adsorbents especially designed or prepared for uranium enrichment using
the ion exchange process, including porous macroreticular resins, and/or pellicular structures in which the active
chemical exchange groups are limited to a coating on the surface of an inactive porous support structure, and
other composite structures in any suitable form including particles or fibers. These ion exchange
resins/adsorbents have diameters of 0.2 mm or less and must be chemically resistant to concentrated hydrochloric
acid solutions as well as physically strong enough so as not to degrade in the exchange columns. The
resins/adsorbents are especially designed to achieve very fast uranium isotope exchange kinetics (exchange rate
half-time of less than 10 seconds) and are capable of operating at a temperature in the range of 100 C to 200C.

5.6.7

Ion exchange columns (Ion exchange)
Cylindrical columns greater than 1000 mm in diameter for containing and supporting packed beds of ion
exchange resin/adsorbent, especially designed or prepared for uranium enrichment using the ion exchange
process. These columns are made of or protected by materials (such as titanium or fluorocarbon plastics)
resistant to corrosion by concentrated hydrochloric acid solutions and are capable of operating at a temperature in
the range of 100C to 200C and pressures above 0.7 MPa (102 psia).

5.6.8

Ion exchange reflux systems (Ion exchange)
(a)
Especially designed or prepared chemical or electrochemical reduction systems for regeneration of the
chemical reducing agent(s) used in ion exchange uranium enrichment cascades.
(b)

Especially designed or prepared chemical or electrochemical oxidation systems for regeneration of the
chemical oxidizing agent(s) used in ion exchange uranium enrichment cascades.

EXPLANATORY NOTE
The ion exchange enrichment process may use, for example, trivalent titanium (Ti3+) as a reducing cation in
which case the reduction system would regenerate Ti3+ by reducing Ti4+. The process may use, for example,
trivalent iron (Fe3+) as an oxidant in which case the oxidation system would regenerate Fe3+ by oxidizing Fe2+.
5.7

Especially designed or prepared systems, equipment and components for use in laser-based enrichment
plants
INTRODUCTORY NOTE
Present systems for enrichment processes using lasers fall into two categories: those in which the process
medium is atomic uranium vapor and those in which the process medium is the vapor of a uranium compound.
Common nomenclature for such processes include: first category - atomic vapor laser isotope separation (AVLIS
or SILVA); second category - molecular laser isotope separation (MLIS or MOLIS) and chemical reaction by
isotope selective laser activation (CRISLA). The systems, equipment and components for laser enrichment
plants embrace: (a) devices to feed uranium-metal vapor (for selective photo-ionization) or devices to feed the
vapor of a uranium compound (for photo-dissociation or chemical activation); (b) devices to collect enriched and
depleted uranium metal as ‘product’ and ‘tails’ in the first category, and devices to collect dissociated or reacted
compounds as ‘product’ and unaffected material as ‘tails’ in the second category; (c) process laser systems to

selectively excite the uranium-235 species; and (d) feed preparation and product conversion equipment. The
complexity of the spectroscopy of uranium atoms and compounds may require incorporation of any of a number
of available laser technologies.
5.7.1

Uranium vaporization systems (AVLIS)
Especially designed or prepared uranium vaporization systems which contain high-power strip or scanning
electron beam guns with a delivered power on the target of more than 2.5 kW/cm.

5.7.2

Liquid uranium metal handling systems (AVLIS)
Especially designed or prepared liquid metal handling systems for molten uranium or uranium alloys, consisting
of crucibles and cooling equipment for the crucibles.
EXPLANATORY NOTE
The crucibles and other parts of this system that come into contact with molten uranium or uranium alloys are
made of or protected by materials of suitable corrosion and heat resistance. Suitable materials include tantalum,
yttria-coated graphite, graphite coated with other rare earth oxides or mixtures thereof.

5.7.3

Uranium metal ‘product’ and ‘tails’ collector assemblies (AVLIS)
Especially designed or prepared ‘product’ and ‘tails’ collector assemblies for uranium metal in liquid or solid
form.
EXPLANATORY NOTE
Components for these assemblies are made of or protected by materials resistant to the heat and corrosion of
uranium metal vapor or liquid (such as yttria-coated graphite or tantalum) and may include pipes, valves, fittings,
‘gutters’, feed-throughs, heat exchangers and collector plates for magnetic, electrostatic or other separation
methods.

5.7.4

Separator module housings (AVLIS)
Especially designed or prepared cylindrical or rectangular vessels for containing the uranium metal vapor source,
the electron beam gun, and the ‘product’ and ‘tails’ collectors.
EXPLANATORY NOTE
These housings have multiplicity of ports for electrical and water feed-throughs, laser beam windows, vacuum
pump connections and instrumentation diagnostics and monitoring. They have provisions for opening and
closure to allow refurbishment of internal components.

5.7.5

Supersonic expansion nozzles (MLIS)
Especially designed or prepared supersonic expansion nozzles for cooling mixtures of UF6 and carrier gas to 150
K or less and which are corrosion resistant to UF6.

5.7.6

Uranium pentafluoride product collectors (MLIS)
Especially designed or prepared uranium pentafluoride (UF5) solid product collectors consisting of filter, impact,
or cyclone-type collectors, or combinations thereof, and which are corrosion resistant to the UF5/UF6
environment.

5.7.7

UF6/carrier gas compressors (MLIS)
Especially designed or prepared compressors for UF6/carrier gas mixtures, designed for long term operation in a
UF6 environment. The components of these compressors that come into contact with process gas are made of or
protected by materials resistant to corrosion by UF6.

5.7.8

Rotary shaft seals (MLIS)
Especially designed or prepared rotary shaft seals, with seal feed and seal exhaust connections, for sealing the
shaft connecting the compressor rotor with the driver motor so as to ensure a reliable seal against out-leakage of
process gas or in-leakage of air or seal gas into the inner chamber of the compressor which is filled with a
UF6/carrier gas mixture.

5.7.9

Fluorination systems (MLIS)
Especially designed or prepared systems for fluorinating UF5 (solid) to UF6 (gas).
EXPLANATORY NOTE
These systems are designed to fluorinate the collected UF5 powder to UF6 for subsequent collection in product
containers or for transfer as feed to MLIS units for additional enrichment. In one approach, the fluorination
reaction may be accomplished within the isotope separation system to react and recover directly off the ‘product’
collectors. In another approach, the UF5 powder may be removed/transferred from the ‘product’ collectors into a

suitable reaction vessel (e.g., fluidized-bed reactor, screw reactor or flame tower) for fluorination. In both
approaches, equipment for storage and transfer of fluorine (or other suitable fluorinating agents) and for
collection and transfer of UF6 are used.
5.7.10

5.7.11

5.7.12

UF6 mass spectrometers/ion sources (MLIS)
Especially designed or prepared magnetic or quadrupole mass spectrometers capable of taking ‘on-line’ samples
of feed, ‘product’ or ‘tails’, from UF6 gas streams and having all of the following characteristics:
1.

Unit resolution for mass greater than 320;

2.

Ion sources constructed of or lined with nichrome or monel or nickel plated;

3.

Electron bombardment ionization sources;

4.

Collector system suitable for isotopic analysis.

Feed systems/product and tails withdrawal systems (MLIS)
Especially designed or prepared process systems or equipment for enrichment plants made of or protected by
materials resistant to corrosion by UF6, including:
(a)

Feed autoclaves, ovens, or systems used for passing UF6 to the enrichment process;

(b)

Desublimers (or cold traps) used to remove UF6 from the enrichment process for subsequent transfer
upon heating;

(c)

Solidification or liquefaction stations used to remove UF6 from the enrichment process by compressing
and converting UF6 to a liquid or solid form;

(d)

‘Product’ or ‘tails’ stations used for transferring UF6 into containers.

UF6/carrier gas separation systems (MLIS)
Especially designed or prepared process systems for separating UF6 from carrier gas. The carrier gas may be
nitrogen, argon, or other gas.
EXPLANATORY NOTE
These systems may incorporate equipment such as:

5.7.13

(a)

Cryogenic heat exchangers or cryoseparators capable of temperatures of -120C or less, or

(b)

Cryogenic refrigeration units capable of temperatures of -120C or less, or

(c)

UF6 cold traps capable of temperatures of -20C or less.

Laser systems (AVLIS, MLIS and CRISLA)
Lasers or laser systems especially designed or prepared for the separation of uranium isotopes.
EXPLANATORY NOTE
The laser system for the AVLIS process usually consists of two lasers: a copper vapor laser and a dye laser. The
laser system for MLIS usually consists of a CO2 or excimer laser and a multi-pass optical cell with revolving
mirrors at both ends. Lasers or laser systems for both processes require a spectrum frequency stabilizer for
operation over extended periods of time.

5.8

Especially designed or prepared systems, equipment and components for use in plasma separation
enrichment plants
INTRODUCTORY NOTE
In the plasma separation process, a plasma of uranium ions passes through an electric field tuned to the U-235
ion resonance frequency so that they preferentially absorb energy and increase the diameter of their corkscrewlike orbits. Ions with a large-diameter path are trapped to produce a product enriched in U-235. The plasma,
which is made by ionizing uranium vapor, is contained in a vacuum chamber with a high-strength magnetic field
produced by a superconducting magnet. The main technological systems of the process include the uranium
plasma generation system, the separator module with superconducting magnet and metal removal systems for the
collection of ‘product’ and ‘tails’.

5.8.1

Microwave power sources and antennae
Especially designed or prepared microwave power sources and antennae for producing or accelerating ions and
having the following characteristics: greater than 30GHz frequency and greater than 50kW mean power output
for ion production.

5.8.2

Ion excitation coils
Especially designed or prepared radio frequency ion excitation coils for frequencies of more than 100 kHz and
capable of handling more than 40kW mean power.

5.8.3

Uranium plasma generation systems
Especially designed or prepared systems for the generation of uranium plasma, which may contain high-power
strip or scanning electron beam guns with a delivered power on the target of more than 2.5 kW/cm.

5.8.4

Liquid uranium metal handling systems
Especially designed or prepared liquid metal handling systems for molten uranium or uranium alloys, consisting
of crucibles and cooling equipment for the crucibles.
EXPLANATORY NOTE
The crucibles and other parts of this system that come into contact with molten uranium or uranium alloys are
made of or protected by materials of suitable corrosion and heat resistance. Suitable materials include tantalum,
yttria-coated graphite, graphite coated with other rare earth oxides or mixtures thereof.

5.8.5

Uranium metal ‘product’ and ‘tails’ collector assemblies
Especially designed or prepared ‘product’ and ‘tails’ collector assemblies for uranium metal in solid form. These
collector assemblies are made of or protected by materials resistant to the heat and corrosion of uranium metal
vapor such as yttria-coated graphite or tantalum.

5.8.6

Separator module housings
Cylindrical vessels especially designed or prepared for use in plasma separation enrichment plants for containing
the uranium plasma source, radio-frequency drive coil and the ‘products’ and ‘tails’ collectors.
EXPLANATORY NOTE
These housings have a multiplicity of ports for electrical feed-throughs, diffusion pump connections and
instrumentation diagnostics and monitoring. They have provisions for opening and closure to allow for
refurbishment of internal components and are constructed of a suitable non-magnetic material such as stainless
steel.

5.9

Especially designed or prepared systems, equipment and components for use in electromagnetic
enrichment plants
INTRODUCTORY NOTE
In the electromagnetic process, uranium metal ions produced by ionization of a salt feed material (typically UCl 4)
are accelerated and passed through a magnetic field that has the effect of causing the ions of different isotopes to
follow different paths. The major components of an electromagnetic isotope separator include: a magnetic field
for ion-beam diversion/separation of the isotopes, an ion source with its acceleration system, and a collection
system for the separated ions. Auxiliary systems for the process include the magnet power supply system, the
ion source high-voltage power supply system, the vacuum system, and extensive chemical handling systems for
recovery of product and cleaning/recycling of components.

5.9.1

Electromagnetic isotope separators
Electromagnetic isotope separators especially designed or prepared for the separation of uranium isotopes, and
equipment and components therefor, including:
(a)

Ion sources
Especially designed or prepared single or multiple uranium ion sources consisting of a vapor source,
ionizer, and beam accelerator, constructed of suitable materials such as graphite, stainless steel, or
copper, and capable of providing a total ion beam current of 50 mA or greater.

(b)

Ion collectors
Collector plates consisting of two or more slits and pockets especially designed or prepared for
collection of enriched and depleted uranium ion beams and constructed of suitable materials such as
graphite or stainless steel.

(c)

Vacuum housings
Especially designed or prepared vacuum housings for uranium electromagnetic separators, constructed
of suitable non-magnetic materials such as stainless steel and designed for operation at pressures of 0.1
Pa or lower.
EXPLANATORY NOTE
The housings are specially designed to contain the ion sources, collector plates and water-cooled liners
and have provision for diffusion pump connections and opening and closure for removal and
reinstallation of these components.

(d)

Magnet pole pieces
Especially designed or prepared magnet pole pieces having a diameter greater than 2 m used to
maintain a constant magnetic field within an electromagnetic isotope separator and to transfer the
magnetic field between adjoining separators.

5.9.2

High voltage power supplies
Especially designed or prepared high-voltage power supplies for ion sources, having all of the following
characteristics: capable of continuous operation, output voltage of 20,000 V or greater, output current of 1 A or
greater, and voltage regulation of better than 0.01% over a time period of 8 hours.

5.9.3

Magnet power supplies
Especially designed or prepared high-power, direct current magnet power supplies having all of the following
characteristics: capable of continuously producing a current output of 500 A or greater at a voltage of 100 V or
greater and with a current or voltage regulation better than 0.01% over a period of 8 hours.

6.

Plants for the production of heavy water, deuterium and deuterium compounds and equipment especially
designed or prepared therefor
INTRODUCTORY NOTE
Heavy water can be produced by a variety of processes. However, the two processes that have proven to be
commercially viable are the water-hydrogen sulfphide exchange process (GS process) and the ammoniahydrogen exchange process.
The GS process is based upon the exchange of hydrogen and deuterium between water and hydrogen sulphide
within a series of towers which are operated with the top section cold and the bottom section hot. Water flows
down the towers while the hydrogen sulphide gas circulates from the bottom to the top of the towers. A series of
perforated trays are used to promote mixing between the gas and the water. Deuterium migrates to the water at
low temperatures and to the hydrogen sulphide at high temperatures. Gas or water, enriched in deuterium, is
removed from the first stage towers at the junction of the hot and cold sections and the process is repeated in
subsequent stage towers. The product of the last stage, water enriched up to 30% in deuterium, is sent to a
distillation unit to produce reactor grade heavy water, i.e., 99.75% deuterium oxide.
The ammonia-hydrogen exchange process can extract deuterium from synthesis gas through contact with liquid
ammonia in the presence of a catalyst. The synthesis gas is fed into exchange towers and to an ammonia
converter. Inside the towers the gas flows from the bottom to the top while the liquid ammonia flows form the
top to the bottom. The deuterium is stripped from the hydrogen in the synthesis gas and concentrated in the
ammonia. The ammonia then flows in to an ammonia cracker at the bottom of the tower while the gas flows into
an ammonia converter at the top. Further enrichment takes place in subsequent stages and reactor grade heavy
water is produced through final distillation. The synthesis gas feed can be provided by an ammonia plant that, in
turn, can be constructed in association with a heavy water ammonia-hydrogen exchange plant. The ammoniahydrogen exchange process can also use ordinary water as a feed source of deuterium.
Many of the key equipment items for heavy water production plants using GS or the ammonia-hydrogen
exchange processes are common to several segments of the chemical and petroleum industries. This is
particularly so for small plants using the GS process. However, few of the items are available “off-the-shelf”.
The GS and ammonia-hydrogen processes require the handling of large quantities of flammable, corrosive and
toxic fluids at elevated pressures. Accordingly, in establishing design and operating standards for plants and
equipment using these processes, careful attention to the materials selection and specifications is required to
ensure long service life with high safety and reliability factors. The choice of scale is primarily a function of
economics and need. Thus, most of the equipment items would be prepared according to the requirements of the
customer.
Finally, it should be noted that, in both the GS and the ammonia-hydrogen exchange processes, items of
equipment which individually are not especially designed or prepared for heavy water production can be

assembled into systems which are especially designed or prepared for producing heavy water. The catalyst
production system used in the ammonia-hydrogen exchange process and water distillation systems used for the
final concentration of heavy water to reactor-grade in either process are examples of such systems.
The items of equipment which are especially designed or prepared for the production of heavy water utilizing
either the water-hydrogen sulphide exchange process or the ammonia-hydrogen exchange process include the
following:
6.1

Water - Hydrogen Sulphide Exchange Towers
Exchange towers fabricated from fine carbon steel (such as ASTM A516) with diameters of 6 m (20 ft) to 9 m
(30 ft), capable of operating at pressures greater than or equal to 2 MPa (300 psi) and with a corrosion allowance
of 6 mm or greater, especially designed or prepared for heavy water production utilizing the water-hydrogen
sulphide exchange process.

6.2

Blowers and Compressors
Single stage, low head (i.e., 0.2 MPa or 30 psi) centrifugal blowers or compressors for hydrogen-sulphide gas
circulation (i.e., gas containing more than 70% H2S) especially designed or prepared for heavy water production
utilizing the water-hydrogen sulphide exchange process. These blowers or compressors have a throughput
capacity greater than or equal to 56m3/second (120,000 SCFM) while operating at pressures greater than or equal
to 1.8 MPa (260 psi) suction and have seals designed for wet H2S service.

6.3

Ammonia-Hydrogen Exchange Towers
Ammonia-hydrogen exchange towers greater than or equal to 35 m (114.3 ft) in height with diameters of 1.5 m
(4.9 ft) to 2.5 m (8.2 ft) capable of operating at pressures greater than 15 MPa (2225 psi) especially designed or
prepared for heavy water production utilizing the ammonia-hydrogen exchange process. These towers also have
at least one flanged axial opening of the same diameter as the cylindrical part through which the tower internal
scan be inserted or withdrawn.

6.4

Tower Internals and Stage Pumps
Tower internals and stage pumps especially designed or prepared for towers for heavy water production utilizing
the ammonia-hydrogen exchange process. Tower internals include specially designed stage contactors which
promote intimate gas/liquid contact. Stage pumps include especially designed submersible pumps for circulation
of liquid ammonia within a contacting stage internal to the stage towers.

6.5

Ammonia Crackers
Ammonia crackers with operating pressures greater than or equal to 3 MPa (450 psi) especially designed or
prepared for heavy water production utilizing the ammonia-hydrogen exchange process.

6.6

Infrared Absorption Analyzers
Infrared absorption analyzers capable of “on-line” hydrogen /deuterium ratio analysis where deuterium
concentrations are equal to or greater than 90%.

6.7

Catalytic Burners
Catalytic burners for the conversion of enriched deuterium gas into heavy water especially designed or prepared
for heavy water production utilizing the ammonia-hydrogen exchange process.

7.

Plants for the conversion of uranium and equipment especially designed or prepared therefor
INTRODUCTORY NOTE
Uranium conversion plants and systems may perform one or more transformations from one uranium chemical
species to another, including: conversion of uranium ore concentrates to UO 3, conversion of UO3 to UO2,
conversion of uranium oxides to UF4 or UF6, conversion of UF4 to UF6, conversion of UF6 to UF4, conversion of
UF4 to uranium metal, and conversion of uranium fluorides to UO2. Many of the key equipment items for
uranium conversion plants are common to several segments of the chemical process industry. For example, the
types of equipment employed in these processes may include: furnaces, rotary kilns, fluidized bed reactors, flame
tower reactors, liquid centrifuges, distillation columns and liquid-liquid extraction columns. However, few of the
items are available “off-the-shelf”; most would be prepared according to the requirements and specification of
the customer. In some instances, special design and construction considerations are required to address the
corrosive properties of some of the chemicals handled (HF, F2, ClF3, and uranium fluorides). Finally, it should
be noted that, in all of the uranium conversion processes, items of equipment which individually are not
especially designed or prepared for uranium conversion can be assembled into systems which are especially
designed or prepared for use in uranium conversion.

7.1

Especially designed or prepared systems for the conversion of uranium ore concentrates to UO 3

EXPLANATORY NOTE
Conversion of uranium ore concentrates to UO3 can be performed by first dissolving the ore in nitric acid and
extracting purified uranyl nitrate using a solvent such as tributyl phosphate. Next, the uranyl nitrate is converted
to UO3 either by concentration and denitration or by neutralization with gaseous ammonia to produce ammonium
diuranate with subsequent filtering, drying, and calcining.
7.2

Especially designed or prepared systems for the conversion of UO3 to UF6
EXPLANATORY NOTE
Conversion of UO3 to UF6 can be performed directly by fluorination. The process requires a source of fluorine
gas or chlorine trifluoride.

7.3

Especially designed or prepared systems for the conversion of UO3 to UO2
EXPLANATORY NOTE
Conversion of UO3 to UO2 can be performed through reduction of UO3 with cracked ammonia gas or hydrogen.

7.4

Especially designed or prepared systems for the conversion of UO2 to UF4
EXPLANATORY NOTE
Conversion of UO2 to UF4 can be performed by reacting UO2 with hydrogen fluoride gas (HF) at 300-500C.

7.5

Especially designed or prepared systems for the conversion of UF 4 to UF6
EXPLANATORY NOTE
Conversion of UF4 to UF6 is performed by exothermic reaction with fluorine in a tower reactor. UF6 is
condensed from the hot effluent gases by passing the effluent stream through a cold trap cooled to -10C. The
process requires a source of fluorine gas.

7.6

Especially designed or prepared systems for the conversion of UF4 to U metal
EXPLANATORY NOTE
Conversion of UF4 to U metal is performed by reduction with magnesium (large batches) or calcium (small
batches). The reaction is carried out at temperatures above the melting point of uranium (1130C).

7.7

Especially designed or prepared systems for the conversion of UF 6 to UO2
EXPLANATORY NOTE
Conversion of UF6 to UO2 can be performed by one of three processes. In the first, UF6 is reduced and
hydrolyzed to UO2 using hydrogen and steam. In the second, UF6 is hydrolyzed by solution in water, ammonia is
added to precipitate ammonium diuranate, and the diuranate is reduced to UO 2 with hydrogen at 820C. In the
third process, gaseous UF6, CO2, and NH3 are combined with water, precipitating ammonium uranyl carbonate.
The ammonium uranyl carbonate is combined with steam and hydrogen at 500-600C to yield UO2. UF6 to UO2
conversion is often performed as the first stage of a fuel fabrication plant.

7.8

Especially designed or prepared systems for the conversion of UF6 to UF4
EXPLANATORY NOTE
Conversion of UF6 to UF4 is performed by reduction with hydrogen.