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pdfNUREG/BR-0006
Revision 9
Instructions for
Completing Nuclear
Material Transaction
Reports
(DOE/NRC Forms 741 and 740M)
Final Report
Office of Nuclear Material Safety and Safeguards
AVAILABILITY OF REFERENCE MATERIALS
IN NRC PUBLICATIONS
NRC Reference Material
Non-NRC Reference Material
As of November 1999, you may electronically access
NUREG-series publications and other NRC records at
the NRC’s Public Electronic Reading Room at
http://www.nrc.gov/reading-rm.html. Publicly released
records include, to name a few, NUREG-series
publications; Federal Register notices; applicant,
licensee, and vendor documents and correspondence;
NRC correspondence and internal memoranda; bulletins
and information notices; inspection and investigative
reports; licensee event reports; and Commission papers
and their attachments.
Documents available from public and special technical
libraries include all open literature items, such as books,
journal articles, transactions, Federal Register notices,
Federal and State legislation, and congressional reports.
Such documents as theses, dissertations, foreign reports
and translations, and non-NRC conference proceedings
may be purchased from their sponsoring organization.
NRC publications in the NUREG series, NRC
regulations, and Title 10, “Energy,” in the Code of
Federal Regulations may also be purchased from one
of these two sources.
1. The Superintendent of Documents
U.S. Government Publishing Office
Washington, DC 20402-0001
Internet: http://bookstore.gpo.gov
Telephone: 1-866-512-1800
Fax: (202) 512-2104
2. The National Technical Information Service
5301 Shawnee Road
Alexandria, VA 22161-0002
http://www.ntis.gov
1-800-553-6847 or, locally, (703) 605-6000
A single copy of each NRC draft report for comment is
available free, to the extent of supply, upon written
request as follows:
U.S. Nuclear Regulatory Commission
Office of Administration
Multimedia, Graphics and Storage & Distribution Branch
Washington, DC 20555-0001
E-mail: [email protected]
Facsimile: (301) 415-2289
Some publications in the NUREG series that are
posted at the NRC’s Web site address
http://www.nrc.gov/reading-rm/doc-collections/nuregs
are updated periodically and may differ from the last
printed version. Although references to material
found on a Web site bear the date the material was
accessed, the material available on the date cited
may subsequently be removed from the site.
SR-CR 10/2017
Copies of industry codes and standards used in a
substantive manner in the NRC regulatory process are
maintained at—
The NRC Technical Library
Two White Flint North
11545 Rockville Pike
Rockville, MD 20852-2738
These standards are available in the library for reference
use by the public. Codes and standards are usually
copyrighted and may be purchased from the originating
organization or, if they are American National Standards,
from—
American National Standards Institute
11 West 42nd Street
New York, NY 10036-8002
http://www.ansi.org
(212) 642-4900
Legally binding regulatory requirements are stated only
in laws; NRC regulations; licenses, including technical
specifications; or orders, not in NUREG-series
publications. The views expressed in contractorprepared publications in this series are not necessarily
those of the NRC.
The NUREG series comprises (1) technical and
administrative reports and books prepared by the staff
(NUREG-XXXX) or agency contractors
(NUREG/CR-XXXX), (2) proceedings of conferences
(NUREG/CP-XXXX), (3) reports resulting from
international agreements (NUREG/IA-XXXX), (4)
brochures (NUREG/BR-XXXX), and (5) compilations of
legal decisions and orders of the Commission and
Atomic and Safety Licensing Boards and of Directors’
decisions under Section 2.206 of NRC’s regulations
(NUREG-0750).
DISCLAIMER: This report was prepared as an account of
work sponsored by an agency of the U.S. Government.
Neither the U.S. Government nor any agency thereof, nor
any employee, makes any warranty, expressed or
implied, or assumes any legal liability or responsibility for
any third party’s use, or the results of such use, of any
information, apparatus, product, or process disclosed in
this publication, or represents that its use by such third
party would not infringe privately owned rights.
NUREG/BR-0006
Revision 9
Instructions for
Completing Nuclear
Material Transaction
Reports
(DOE/NRC Forms 741 and 740M)
Final Report
Manuscript Completed: August 2020
Date Published: August 2020
Prepared by:
Mirabelle Shoemaker
Office of Nuclear Material Safety and Safeguards
ABSTRACT
U.S. Nuclear Regulatory Commission (NRC) regulations require licensees that ship, receive, or
adjust their physical inventory of source or special nuclear material to document and report such
activities. The reports are submitted using U.S. Department of Energy (DOE)/NRC Form 741,
“Nuclear Material Transaction Report.” Licensees may need to provide additional information
on some imports or exports of source or special nuclear material. The additional information is
reported using DOE/NRC Form 740M, “Concise Note.” This NUREG contains instructions for
preparing these forms.
Paperwork Reduction Act Statement
The information collections contained in this NUREG are covered by DOE/NRC Forms 741 and
740M, which the Office of Management and Budget (OMB) approved under approval numbers
3150-0003 and 3150-0057. The estimated burden per response to comply with this mandatory
collection request is 1 hour 15 minutes for DOE/NRC Form 741 and 45 minutes for DOE/NRC
Form 740M. The information is required for International Atomic Energy Agency accounting
reports that show changes in the inventory of nuclear materials. Send comments on burden
estimates to the NRC Information Services Branch (T-6 A10M), Washington, DC 20555-0001,
or by e-mail to [email protected], and to the Desk Officer, Office of Information
and Regulatory Affairs, NEOB-10202 (3150-0003, 3150-0057), OMB, Washington, DC 20503.
Public Protection Notification
The NRC may not conduct or sponsor, and a person is not required to respond to, a collection
of information unless the document requesting or requiring the collection displays a currently
valid OMB control number.
iii
CONTENTS
ABSTRACT ................................................................................................................................iii
ACRONYMS AND ABBREVIATIONS ...................................................................................vii
1 INTRODUCTION .................................................................................................................. 1
1.1
Material Transaction Reports ......................................................................................... 1
1.2
Regulations .................................................................................................................... 2
1.3
Reporting and Distribution Requirements ...................................................................... 3
1.4
Methods for Preparing and Submitting Data to the Nuclear Materials
Management and Safeguards System ........................................................................... 4
1.5
Documentation and Distribution ..................................................................................... 4
2 GENERAL INSTRUCTIONS .............................................................................................. 7
2.1
Instructions for Completing DOE/NRC Form 741 Reports ............................................. 7
2.1.1 Reporting Shipper’s Data ...................................................................................... 7
2.1.2 Reporting Receiver’s Data .................................................................................. 18
2.2
Preparation of DOE/NRC Form 741 in Computer-Readable Format ........................... 21
2.3
Distribution of DOE/NRC Form 741 ............................................................................. 21
2.3.1 Shipper ................................................................................................................ 21
2.3.2 Receiver .............................................................................................................. 21
3 INSTRUCTIONS FOR ONSITE GAINS AND LOSSES (M ACTION CODE) ............ 23
3.1
Instructions for Completing DOE/NRC Form 741 ......................................................... 23
3.2
Preparation of DOE/NRC Form 741 in Computer-Readable Format ........................... 25
3.3
Distribution of DOE/NRC Form 741 .......................................................................25
4 INSTRUCTIONS FOR CORRECTING A DOE/NRC FORM 741
(C, D, AND M ACTION CODES) ..................................................................................... 27
4.1
Originator ..................................................................................................................... 27
4.2
Receiver.......................................... ............................................................................ 28
4.3
Distribution of Corrections to DOE/NRC Form 741 ...................................................... 28
5 INSTRUCTIONS FOR COMPLETING DOE/NRC FORM 740M ................................. 29
6 DOE REPORTING REQUIREMENTS FOR PROPRIETARY INTERESTS OF
THE GOVERNMENT ......................................................................................................... 31
7 NMSS REFERENCES ....................................................................................................... 33
APPENDIX A
COMPOSITION CODES ........................................................................ A-1
v
APPENDIX B
INVENTORY CHANGE TYPE CODES FOR COMPLETING
BLOCKS 26C AND 27C OF DOE/NRC FORM 741 .......................... B-1
APPENDIX C
EXAMPLE DOCUMENTATION OF SHIPPER AND RECEIVER
DATA (BLOCKS 26 AND 27) ............................................................... C-1
APPENDIX D
GLOSSARY ............................................................................................. D-1
APPENDIX E
U.S. DEPARTMENT OF ENERGY/U.S. NUCLEAR
REGULATORY COMMISSION FORM 741, “NUCLEAR
MATERIAL TRANSACTION REPORT” (BLANK) AND
U.S. DEPARTMENT OF ENERGY/U.S. NUCLEAR
REGULATORY COMMISSION FORM 740M, “CONCISE
NOTE” (BLANK) ..................................................................................... E-1
APPENDIX F
SUPPLEMENTAL INSTRUCTIONS FOR COMPLETING
BLOCKS 17, 18, 19, 20, AND 21 ON U.S. DEPARTMENT OF
ENERGY/U.S. NUCLEAR REGULATORY COMMISSION
FORM 741 .................................................................................................F-1
APPENDIX G
SUPPLEMENTAL INSTRUCTIONS FOR POSSESSORS OF
NUCLEAR MATERIAL OUTSIDE FACILITIES REPORTING
PURSUANT TO THE MODIFIED SMALL QUANTITIES
PROTOCOL……...................................................................................... G-1
vi
ACRONYMS AND ABBREVIATIONS
A
addition to inventory
BI
beginning inventory
CFR
Code of Federal Regulations
DOE
U.S. Department of Energy
EI
EURATOM
ending inventory
European Atomic Energy Commission
FA
facility attachment
g
gram
HEU
highly enriched uranium
IAEA
ICR
ICT
ID
International Atomic Energy Agency
inventory change report
inventory change type
inventory difference
kg
KMP
kilogram
key measurement point
LEU
low-enriched uranium
MBA
MBR
MF
MT
material balance area
material balance report
material unaccounted for
material type
NMIS
NMMSS
NRC
Nuclear Material Information System
Nuclear Materials Management and Safeguards System
U.S. Nuclear Regulatory Commission
OMB
OMP
Office of Management and Budget
other measurement point
Pu
plutonium
R
RA
RIS
removal from inventory
rounding adjustment
reporting identification symbol
SAMS
SNM
Safeguards Management Software
special nuclear material
vii
SRD
shipper-receiver difference
TFA
transitional facility attachment
U
UF6
UK
uranium
uranium hexafluoride
United Kingdom
WR
former Soviet Union weapons material
viii
U.S. NUCLEAR REGULATORY COMMISSION INSTRUCTIONS FOR
COMPLETING NUCLEAR MATERIAL TRANSACTION REPORTS
U.S. DEPARTMENT OF ENERGY/U.S. NUCLEAR REGULATORY
COMMISSION FORMS 741 AND 740M
1 INTRODUCTION
The U.S. Nuclear Regulatory Commission (NRC) and the U.S. Department of Energy (DOE)
jointly use the Nuclear Materials Management and Safeguards System (NMMSS). This system
is the U.S. Government’s national database used by the DOE and the NRC for tracking certain
nuclear material.
Common reporting forms and formats are used to minimize the reporting burden on licensees1
that are required to provide nuclear material data to one or both agencies in accordance with
current regulations or contractual obligations. In this manner, licensees can file one report to
meet the reporting requirements of both the NRC and the DOE. The agency that requires the
particular data monitors compliance with specific reporting requirements. NRC regulations
require licensees to submit the reports in computer-readable form.
The DOE requires all NRC licensees to report to NMMSS all receipts, transfers, and inventory
adjustments of DOE-owned, -loaned, or -leased material in their possession. Reports to
NMMSS for all DOE-owned, -loaned, or -leased material must follow the U.S. Government’s
reporting requirements as specified in DOE Order 470.4B, “Safeguards and Security Program,”
and DOE Order 474.2, “Nuclear Material Control and Accountability.”
1.1 Material Transaction Reports
DOE/NRC Form 741, “Nuclear Material Transaction Report,” is the means by which licensees
submit transaction data to NMMSS. Licensees must complete DOE/NRC Form 741 in
accordance with the instructions in this NUREG and must submit the form in computer-readable
format. NMMSS Report D-24, “Personal Computer Data Input for Nuclear Regulatory
Commission Licensees,” gives instructions for creating the computer-readable submittal.
Licensees use DOE/NRC Form 741 to report physical transfers of nuclear materials between
facilities and to report exchanges of foreign obligations on material between facilities even when
no physical transfer occurs. The form is also used to report onsite transactions such as
inventory corrections that otherwise increase or decrease foreign obligation balances or nuclear
material categories within a facility.
The NMMSS database relies heavily on the quality of the data reported by the facilities involved
in nuclear activities. The data submitted to NMMSS are subject to evaluation according to the
restrictions placed on nuclear activity by the policies of various governing agencies of the United
States. The NMMSS database receives the data after they are verified through the use of “edit
checks” as acceptable within the restrictions of the system.
1
The term “licensee” here denotes an NRC or Agreement State licensee or an NRC certificate holder.
1
NRC licensees must provide a DOE/NRC Form 741 to NMMSS in a computer-readable format
following the instructions in this NUREG and NMMSS Report D-24. Both the shipper and the
receiver are required to submit DOE/NRC Form 741. The receiver should confirm that the
quantity received is consistent with the shipper’s report. When statistically significant
shipper-receiver differences (SRDs) are identified, as defined in Title 10 of the Code of Federal
Regulations (10 CFR) 74.31, “Nuclear Material Control and Accounting for Special Nuclear
Material of Low Strategic Significance,” 10 CFR 74.43, “Internal Controls, Inventory, and
Records,” or 10 CFR 74.59, “Quality Assurance and Accounting Requirements,” they must be
resolved and their root causes corrected. The regulatory intent is to require material control and
accounting systems to promptly detect and resolve all significant SRDs. Comparisons of
shippers’ and receivers’ reports are necessary to confirm the acceptability of shippers’ and
receivers’ values for establishing the book accounting amounts for received material and to
detect unacceptable shippers’ or receivers’ values. Comparisons typically involve item
verification, seal integrity, gross weights, nondestructive assay measurements (if appropriate),
and destructive measurements (if appropriate).
1.2 Regulations
NRC regulations in 10 CFR Part 74, “Material Control and Accounting of Special Nuclear
Material,” require each licensee that transfers or receives or otherwise adjusts its inventory of
special nuclear material (SNM) in a quantity of 1 gram or more of contained uranium (U)-235,
U-233, or plutonium to complete in a computer-readable format a Nuclear Material Transaction
Report (DOE/NRC Form 741).
In addition, NRC regulations in 10 CFR 40.64, “Special Requirements for Issuance of Specific
Licenses,” require each licensee that in any manner transfers, receives, or adjusts the inventory
of source material of foreign obligations by 1 kilogram or more, or imports or exports 1 kilogram
or more of uranium or thorium source material, or who uses 1 kilogram or more of any uranium
or thorium source material in enrichment services, downblending uranium that has an initial
enrichment of the U-235 isotope of 10 percent or more, or in the fabrication of mixed-oxide fuels
must complete DOE/NRC Form 741 in a computer-readable format in accordance with
instructions in this NUREG.
NRC regulations in 10 CFR 150.16, “Submission to Commission of Nuclear Material
Transaction Reports,” require Agreement State licensees to report nuclear material transactions
of source material and SNM as described above and to follow the reporting instructions
described in this NUREG.
NRC regulation 10 CFR 75.31, “General Requirements,” requires licensees reporting
transactions for source material or SNM in accordance with an agreement with the International
Atomic Energy Agency (IAEA) to complete and distribute DOE/NRC Form 741 for all source
material or SNM inventory changes, including shipments, receipts, onsite gains and losses, and
any other inventory adjustments. Licensees should follow the requirements of their transitional
facility attachment (TFA) when reporting the DOE/NRC Form 741. Licensees reporting nuclear
material transactions in accordance with the Modified Small Quantities Protocol (INFCIRC/366)
should follow the instructions in Appendix G to this NUREG.
The reporting periods for submitting DOE/NRC Form 741 are as follows:
2
•
Each licensee that transfers material shall report the transfer by completing and
submitting the DOE/NRC Form 741 as specified in this NUREG no later than the close of
business the next working day after the material is transferred.
•
Each licensee that receives the material shall report the receipt by completing and
submitting the DOE/NRC Form 741 within 10 days after the material is received.
The submission of DOE/NRC Form 741 may be required as a matter of contract or lease
administration for all DOE-owned nuclear material transferred. Possessors of DOE-owned
material should refer to DOE Order 470.4B and DOE Order 474.2 for additional information on
reporting nuclear material transactions.
1.3 Reporting and Distribution Requirements
Reports are required whenever nuclear material in the types and amounts stated in the
preceding section moves between locations or operations that have been assigned different
reporting identification symbols (RISs) and whenever SNM and source material inventories
change. These transactions refer to both physical transfers and administrative transfers, like
foreign obligation exchanges, and the licensees shall report such transfers to NMMSS in the
timeframe specified in the applicable regulations identified in the previous section on regulatory
authority and as specified in Section 2.1 of this NUREG. Licensees must document and report
the nuclear material change data (including burnup, production, measured discards, category
changes, and decay) in the NMMSS before or at the same time as the physical inventory taking,
unless the NRC has authorized another arrangement.
The shipper initiates a DOE/NRC Form 741. If the licensee is involved in a transfer of material
with a party that is not required to prepare a DOE/NRC Form 741, the licensee must prepare
and submit both the shipper’s and the receiver’s section of the form. In the most common
situation, a domestic facility is involved in an import activity. The domestic facility that receives
the import must obtain the information necessary to complete the shipper’s side of DOE/NRC
Form 741 for the imported SNM and source material. In the case of exports, the shipper
initiates a DOE/NRC Form 741 report, and NMMSS subsequently generates a DOE/NRC
Form 741 report using the shipper’s information to produce the receiver’s side of the form.
However, if a significant SRD is identified between the U.S. shipper and foreign receiver (as
defined in 10 CFR 74.31, 10 CFR 74.43, and 10 CFR 74.59 for SNM, or if there is an indication
of loss, theft, or diversion of quantities of source material as delineated in 10 CFR 40.64(c)(1)),
the shipper shall document the foreign party’s values in a DOE/NRC Form 741 report to
NMMSS. Submittal for a foreign facility does not indicate responsibility for the other facility or its
shipment and receipt of materials.
Reports of physical shipments between RISs must document the actual movement of material.
In addition, licensees must report any reportable information associated with the material. In
particular, the foreign obligation of material by a foreign entity must follow the physical
movement of material between RISs. The transfer of foreign obligations between RISs with no
physical movement of material is reported by using action codes X and Y.
3
1.4 Methods for Preparing and Submitting Data to the Nuclear Materials
Management and Safeguards System
The Safeguards Management Software (SAMS) is a free facsimile of NMMSS that allows the
user to import and export data; complete a quality review in the form of “edit checks”; generate
various reports; and create material balance, inventory, and transaction data. It can export data
into the required NMMSS predefined computer-readable format outlined in NMMSS
Report D-24. The SAMS program is available upon request by email ([email protected]).
Licensees can submit data to NMMSS through the following two methods:
(1)
Electronic Data Submission
Licensees should submit DOE/NRC Forms 742, “Material Balance Report,” and 742C,
“Physical Inventory Listing,” in a computer-readable format. NMMSS Report D-24
provides instructions on packaging, data format requirements, acceptable media types,
and the mailing address for the submittal of data on computer media.
Licensees can request a copy of the most current fillable forms installer kit by e-mailing
the NMMSS staff. These forms can be completed, saved at the licensee site, and
submitted to NMMSS at this e-mail address. Licensees may also contact the NRC
program manager for questions about fillable forms and electronic data submission by
e-mail ([email protected]). Licensees should adhere to their facility’s
encryption policy for transmitting electronic data to NMMSS.
Licensees may also download data onto electronic media and mail the data to NMMSS.
Contact the NMMSS staff to confirm the mailing address before sending mail.
(2)
New and Modified Methods of Transferring Electronic Data
The NRC may authorize new and modified methods of transferring electronic DOE/NRC
Form 741 data to NMMSS. Licensees may confirm authorization to use additional
methods for the transfer of these data by contacting the NMMSS staff.
1.5 Documentation and Distribution
Licensees shall submit the completed DOE/NRC Form 741, in a computer-readable format, to
NMMSS in a timely manner. Licensees can confirm the address and mechanism for providing
data by contacting the NMMSS staff directly. Specific submission instructions depend on
whether the DOE/NRC Form 741 is classified or unclassified information. Sections 2.3, 3.3, and
4.3 of this NUREG contain additional distribution information.
Licensees submitting a classified DOE/NRC Form 741 must document and handle the
information in accordance with all pertinent security requirements. Submissions that are not
classified are considered to be proprietary material control and accounting information and may
be requested to be withheld in accordance with 10 CFR 2.390, “Public Inspections, Exemptions,
Requests for Withholding.” Each person who is to receive a copy of the report must be verified
as a qualified recipient before distribution. Licensees should confirm the address before
sending documents to NMMSS or other recipients. They should also formally provide
classification guidance to the NMMSS staff after deciding to classify, declassify, or make
4
any change in previously submitted guidance. To submit safeguards information, licensees
should use DOE/NRC Form 740M, “Concise Note,” stating that the submission is safeguards
information and should be handled in accordance with 10 CFR 73.21, “Protection of Safeguards
Information: Performance Requirements.”
5
2 GENERAL INSTRUCTIONS
2.1 Instructions for Completing DOE/NRC Form 741 Reports
If the DOE/NRC Form 741 report is documenting an onsite gain or loss, the licensee should
review the instructions for block 6 (ACTION CODE) and the special instructions for the M action
code in Section 3 of this NUREG before completing the form.
The numbered instructions below correspond to the numbered blocks on the paper copy of
DOE/NRC Form 741. Each shipper of reportable quantities of SNM or source material (refer to
blocks 26n and 26q) must send a DOE/NRC Form 741 report to NMMSS and a copy to the
receiver’s business address no later than the close of business the next working day.
In the case of spent fuel shipments, in accordance with 10 CFR 73.37, “Requirements for
Physical Protection of Irradiated Reactor Fuel in Transit,” the date of shipment is considered
safeguards information until 10 days after the shipment or the last shipment in a series of
shipments is received. Therefore, the shipper should identify the DOE/NRC Form 741 as
safeguards information and submit a DOE/NRC Form 740M (Concise Note) stating that the
submission is safeguards information and should be handled in accordance with 10 CFR 73.21.
The Concise Note should also contain other pertinent information, such as whether this is a
single shipment or part of a series and the shipment number and total within the series.
For disposals, the burial site operator must prepare and transmit the DOE/NRC Form 741 to
NMMSS to document receipt and disposal. NRC regulations stipulate that DOE/NRC Form 741
reports shall be submitted in a computer-readable format. NMMSS Report D-24 gives the
electronic formats and field sizes for DOE/NRC Form 741 submissions.
2.1.1 Reporting Shipper’s Data
Licensees should complete DOE/NRC Form 741 in accordance with the following instructions:
1.
SHIPPER’S RIS2—Enter the shipper’s RIS.
2.
RECEIVER’S RIS—Enter the receiver’s RIS.
3.
TRANSACTION NO.—Enter a number for the same shipper–receiver combination.
Numbers in the series must be consecutive (i.e., no skipped numbers).
4.
CORRECTION NUMBER—This block is used to identify a transaction that is an
adjustment to a previously submitted DOE/NRC Form 741. Leave this block blank for
an original submission of a DOE/NRC Form 741. Use consecutive numbers, starting
with 1, for adjustments. For corrections requiring changes only to NMMSS data (and not
to the other party’s data), use letters (A, B, etc.) instead of numbers. See Section 4 of
this NUREG.
2
NMMSS Reports D-2, “The DOE Directory of Reporting Identification Symbols,” D-3, ““The NRC Directory of
Reporting Identification Symbols,” and D-15, “International Nuclear Facilities Codes Manual,” document
RISs.
7
5.
PROCESSING CODE—Enter processing code A, C, or D:
•
“A” refers to the initial entry of data.
•
“C” refers to the replacement of data. With the concurrence of the other party to
the transaction, the entire data set may be replaced at any time before the close
of the NMMSS processing period in which the initial submittal was made.
•
“D” refers to the deletion of data. An entire data set may be deleted at any time
before the close of the NMMSS processing period in which the initial submittal
was made, with the concurrence of the other party to the transaction.
6.
ACTION CODE—This block is used to identify the type of transaction being reported on
DOE/NRC Form 741 as specified in 6a and 6b below.
6a.
SHIPPER—Enter one of the following action codes:
6b.
A
The shipper is reporting a transaction that has taken place between the stated
parties.
C
The shipper is adjusting the initial DOE/NRC Form 741 for the shipment or a
previous adjustment to the same initial report, acknowledging an adjustment
originated by the receiver, or accepting and agreeing with the receiver’s
adjustment to DOE/NRC Form 741. See Section 4 of this NUREG.
M
The shipper is reporting a one-party transaction or an adjustment to a one-party
transaction (e.g., an onsite gain or loss of material as the result of burnup,
production, measured discards, category changes). This is also known as an
onsite adjustment. DOE/NRC Form 742 shows such inventory changes. See
Section 3 of this NUREG.
R
The shipper is identifying a one-party transaction to remove a designation of
former Soviet Union weapons material (WR) from material in the inventory. This
code applies only to WR after initiation of irradiation in a reactor core of the fresh
low-enriched uranium (LEU). Use of this code implies a removal of WR material
associated with LEU in the facility’s inventory; therefore, the value should be
entered as a positive number.
X
The shipper is reporting a transfer of foreign obligation that involves no physical
movement of material. No foreign obligation transfers of WR material are
permitted. Do not enter shipper (block 26) or receiver (block 27) detail data.
RECEIVER—Enter one of the following action codes:
B
The receiver is reporting receipt of a shipment and acceptance of the weights
that the shipper reported on DOE/NRC Form 741 as final receipt values.
E
The receiver is reporting that a shipment was received, that independent
measurements were made, and that values resulting from the independent
measurements are being reported.
8
D
The receiver is adjusting the initial DOE/NRC Form 741 that documented the
receipt of a shipment or a previous adjustment to the same initial report,
acknowledging an adjustment originated by the shipper, or accepting and
agreeing with the shipper’s adjustment to DOE/NRC Form 741. See Section 4 of
this NUREG.
M
The receiver is reporting a one-party transaction or an adjustment to a one-party
transaction (i.e., an onsite gain or loss of material as the result of burnup,
production, measured discards). This is also known as an onsite adjustment.
DOE/NRC Form 742 shows such inventory changes. See Section 3 of this
NUREG.
N
The receiver is reporting physical receipt of a shipment but will delay the quantity
determinations for the shipment of material for more than 10 days but no more
than 60 days for source and LEU, or no more than 45 days for highly enriched
uranium (HEU). When the determinations are completed, the receiver will
prepare DOE/NRC Form 741 with a B or E action code to report the receiver’s
quantity determinations. Use of this code (N) requires no entry of detailed data
(block 27) by the receiver.
Y
The receiver is reporting an acceptance of transfer of foreign obligation that
involves no physical movement of material. Do not enter shipper (block 26) or
receiver (block 27) detailed data.
7.
DOCUMENTATION—This block is for paper-copy submissions only. Enter the number
of pages if the submission is classified.
8.
SHIPPER—Leave blank.
9.
RECEIVER—Leave blank.
10.
NUMBER OF DATA LINES—After completing block 26 (SHIPPER’S DATA) or block 27
(RECEIVER’S DATA), enter the total number of detail lines in block 26 or 27. The
shipper and receiver must report the same number of entries, and the material types
must agree line for line.
11.
NATURE OF TRANSACTION—Leave blank.
12.
SHIPPED FOR ACCOUNT OF—Leave blank.
13.
SHIPPED TO ACCOUNT OF—Leave blank.
14.
TRANSFER AUTHORITY—Leave blank.
15.
EXPORT OR IMPORT TRANSFERS—For all export or import transfers, enter the NRC
export or import license number under which SNM or source material is transferring.
When transfers are authorized by an NRC general license, enter GEN-LIC. In some
cases, the transfer may be exempt from licensing, such as exports of IAEA safeguards
samples; in such cases, enter LIC-EXEMPT. If several batches authorized by separate
NRC import or export licenses are combined into one shipment, complete a separate
DOE/NRC Form 741 for the portion associated with each import or export license.
9
16.
MATERIAL TYPE AND DESCRIPTION—Leave blank. Note: Material type code should
be provided only in fields 19, 26g, and 27g of DOE/NRC Form 741.
17.
(FOREIGN OBLIGATION) LINE NUMBER—Enter a sequential line number beginning
with the number 1.
18.
COUNTRY OF OBLIGATION—Enter the two-character country or entity designation
from Table 1 in Appendix F to this NUREG for the line numbers entered in block 17.
See Appendix F for further instructions.
19.
MATERIAL TYPE—Enter the material type to which the foreign obligation is attached.
Refer to Table 2 in Appendix F. For domestic transactions, the only material types to be
reported are 10, 20, 50, 70, 81, and 88. For imports and exports of foreign obligated
nuclear material, report the material type code using the appropriate IAEA code
obligated.
20.
OBLIGATED ELEMENT WEIGHT—Enter the weight of the foreign obligated amount of
the element for material types 10, 50, 81, or 88 and the element weight associated with
the foreign obligated enriched uranium. See Appendix F for further instructions. For
onsite inventory adjustments or corrections, enter the positive or negative values to
appropriately account for material addition or removal, respectively. Reports with an
action code of A, B, E, N, R, X, or Y must be reported with a positive weight. All others
can be reported with a positive or negative weight. The sum of foreign obligated
element weight for a material type cannot exceed the sum of the element weight values
listed in the detail lines (see fields 26n and 27n).
21.
OBLIGATED ISOTOPE WEIGHT—FOR ENRICHED URANIUM ONLY—Enter the
weight of the foreign obligated amount of the isotope U-233 or U-235. For onsite
inventory adjustments or corrections, enter positive or negative values to appropriately
account for material addition or removal, respectively. Reports with an action code of A,
B, E, N, R, X, or Y must be reported with a positive weight. All others can be reported
with a positive or negative weight. The sum of foreign obligated isotope weight for a
material type cannot exceed the sum of the isotope weight value listed in the detail lines
(see field 26q or 27q).3
22.
ACTION DATE—Follow the instructions below for blocks 22a through 22e.
22a.
SHIPMENT (entry required by shipper)—Enter the date the nuclear material is shipped.
22b.
SHIPPER’S CORRECTION (entry required by shipper)—If the DOE/NRC Form 741
document is an acknowledgment of, or a correction to, a previously submitted DOE/NRC
Form 741, enter the date the correction is recorded or the acknowledgment made, as
appropriate. However, dates on acknowledgments must not precede the action date
listed on the receiver’s correction. Note that if a date preceding the current unreconciled
period is used, the effect of the correction will be reflected in the current period, not the
previous period, or periods, covered by postdated documents.
3
Note that for enriched uranium, the foreign obligation is assigned to the U-233 and U-235 isotopes. Report
the quantity of uranium element that contains the foreign obligated U-233 and U-235 in field 20.
10
22c.
RECEIPT (entry required by receiver)—Enter the date the nuclear material is received.
22d.
RECEIVER’S MEASUREMENT (entry required by receiver)—This entry is required only
if the receiver’s action code is E. Enter the date the receiver measures the nuclear
material.
22e.
RECEIVER’S CORRECTION (entry required by receiver)—If the DOE/NRC Form 741
document is an acknowledgment of, or a correction to, a previously submitted DOE/NRC
Form 741, enter the date the correction is recorded or the acknowledgment made, as
appropriate. However, dates on acknowledgments must not precede the action date
listed on the receiver’s correction. Note that if a date preceding the current unreconciled
period is used, the effect of the correction will be reflected in the current period, not the
previous period, or periods, covered by postdated documents.
Note that in the case of all imports (and for some exports; see Section 1.3), licensees
must complete a separate DOE/NRC Form 741 to document the foreign party action,
including action dates in blocks 22a and 22c, as applicable.
23a.
MISCELLANEOUS—Leave blank.
23b.
CONCISE NOTE ATTACHED—Check the indicator box if submitting paper report.
Leave blank if reporting data by XML.
23c.
UK REPORTABLE—Facilities reporting material transfers involving facilities in the
United Kingdom must indicate in this block (23c) whether the shipment is for peaceful
nuclear activities (reportable to the IAEA) or for nonpeaceful nuclear activities (not
reportable to the IAEA). Insert “R” to indicate that the transfer should be reported to the
IAEA or “N” to indicate that the transfer should not be reported to the IAEA.
Note that, typically, all licensee shipments to and from the United Kingdom are
reportable.
24.
TOTAL GROSS WEIGHT—Enter the total gross weight of the shipment rounded to the
nearest kilogram. An approximate or estimated gross weight rounded to the nearest
kilogram is acceptable. Shippers are required to complete block 24; however, no entry
is needed for M action code transactions, receipts, foreign obligation transfers, and
correction documents.
25.
TOTAL VOLUME (Waste Transfers Only)—For transfers of nuclear material to nuclear
waste sites (i.e., receiver RIS begins with the letter V), enter the volume of the material
to be buried, stated in cubic feet rounded to the nearest cubic foot. An entry in block 25
is not required for transfers to nuclear laundry services.
26.
SHIPPER’S DATA—Enter the shipper’s data in block 26. Enter the receiver’s data in
block 27. Receivers should review the additional instructions for block 27 before
completing the form. Facilities reporting receipts of material from a foreign shipper
should complete block 26 to provide the shipper’s data.
Shipper and receiver measurement data are entered on DOE/NRC Form 741 for each
batch of material. Batch names are a required field for transactions and should be
reported consistent with the instructions in block 26d.
11
A batch is a portion of nuclear material that is handled as a unit for accounting purposes
at a key measurement point (KMP) and whose composition and quantity are defined by
a single set of specifications or measurements. The batch may be in bulk form or
contain a number of separate items. If the shipment is an export or is being reported in
accordance with 10 CFR Part 75, “Safeguards on Nuclear Material—Implementation of
Safeguards Agreements between the United States and the International Atomic Energy
Agency,” list fuel assemblies or loose rods or fuel pins separately with the identifying
label serving as a unique batch name. Fuel assemblies can be reported as “average”
enrichment as long as the appropriate accounts (material types 10, 20, 81, etc.) are
properly adjusted. Otherwise, material being transferred may be listed on one line of
DOE/NRC Form 741 if the material is all of the same material type, composition,
ownership, and weight percent of isotope (except as noted in the next paragraph).
Material differing in any of these data elements must be listed on separate lines.
It may be necessary to use two or more lines to describe a single batch (e.g., spent fuel
assemblies, mixed-oxide fuel). If a batch consists of several material types, use several
consecutive lines to describe the batch. Repeat the batch name on all lines used to
describe a single batch. In block 26e, repeat the number of items on all lines with the
same batch name.
The above general rules for grouping material for reporting purposes apply to all
licensees reporting material transactions. Batch reporting plays an integral role in
“transit matching” at the domestic and international level. At the international level, the
IAEA relies on NMMSS-provided data to match U.S.-reported transactions with those
reported by other member states. To facilitate efficient transit matching, facilities
reporting imports or receipts of material pursuant to 10 CFR Part 75 shall report the
shipper’s batch name on DOE/NRC Form 741.
26a.
BACK-REFERENCE NUMBER—Enter the appropriate back-reference number to make
adjustments to previously submitted DOE/NRC Form 741 documents.
Licensees must enter the back-reference numbers for action codes C and D and for
action code M when reporting adjustments. Licensees must report both the
back-reference change digit and the back-reference line number.
The back-reference change digit represents the change digit of the document being
corrected for a nullifying entry and the change digit of the document now being
completed for a correcting entry. For example, if the DOE/NRC Form 741 being
corrected is the original, or if the line being entered represents an addition only, enter
0 (zero).
The back-reference line number is a two-digit number that represents the line number of
the line being corrected for a nullifying entry and the line number of the corresponding
nullifying line for a correction entry. If the line being entered represents an addition only
or represents a net change, enter two zeros.
26b.
LINE NUMBER—In providing detailed measurement data, enter a line number beginning
with 1 for the first line of detailed shipper’s data, and increase the line number by one for
each additional line of detailed shipper’s data entered on the form. When two or more
lines of measurement data refer to a single batch, repeat the unique batch name for
each line of the batch data. For example, repeat the batch name when different material
12
types of multienrichment fuel rods are entered on separate lines or when uranium
hexafluoride (UF6) product material and UF6 heel material in a cylinder are reported on
separate lines.
26c.
TYPE OF INVENTORY CHANGE—Report all changes to inventory that meet the
reporting criteria on DOE/NRC Form 741.
Appendix B to this NUREG explains the inventory change type (ICT) codes and
indicates whether they are to be entered in block 26c. Enrichment facilities may use the
two-digit numerical value for indicating a change type or proceed as directed by the
NRC. When shipping to a waste RIS (that begins with the letter “V”), the shipper must
use ICT code 74 or LD. A measured discard can be documented as an onsite transfer,
as a discard into a pond or lagoon, or as transferred to a holding area. Discharges to
lagoon and movement to holding areas are documented with a suffix attached to the
RIS:
•
Use L when material is discarded into a pond or lagoon.
•
Use H when material is transferred to a holding area (refer to the term “holding
account” in the glossary in Appendix D to this NUREG) at the facility pending
possible shipment off site for disposal.
Note that the use of a holding or lagoon account requires the establishment of an RIS
code and prior approval by the NRC.
The shipper should enter its RIS in block 1 (SHIPPER’S RIS) and the same RIS in
block 2 (RECEIVER’S RIS), but append an L or H to the receiver’s RIS as appropriate.
For example, if a facility with RIS XYZ discards material to a lagoon, the transaction on
DOE/NRC Form 741 would be from XYZ to XYZL.
26d.
IDENTIFICATION (ITEM/BATCH NAME)—Enter a name or number, or a combination of
both, that identifies the batch of material being shipped. All transactions shall include a
batch identification number that identifies a unique portion of nuclear material handled as
a unit for accounting purposes. For fuel pins and rods, the batch name should be the
identification numbers of the fuel pin or rod. When two or more lines of measurement
data refer to a single batch, repeat the unique batch name for each line of the batch
data. For example, repeat the batch name when different material types of
multienrichment fuel rods are entered on separate lines or when UF6 product material
and UF6 heel material in a cylinder are reported on separate lines. The batch name
must exclude special characters (e.g., #, :, /) and must not exceed 16 characters.
If the licensee is reporting an import or receipt of material in accordance with
10 CFR Part 75, the licensee shall report the receipt using the shipper’s batch name to
facilitate transit matching.
26e.
NUMBER OF ITEMS—Enter the number of similar items of which the line entry consists
(e.g., cylinders, packs, drums, bird cages, bottles, tank vessels). When reporting fuel
pins, rods, or plates, report the number of separate fuel pins, rods, or plates involved.
When reporting fuel assemblies, report the number of complete assemblies represented
on the line entry. In the case of transfer of bulk material, enter the number 1. Leave
blank if an M action code is used.
13
26f.
PROJECT NUMBER—If reporting DOE-owned material and there is a project number,
provide the project number in this block (26f). Otherwise, leave blank.
26g.
MATERIAL TYPE—Enter the appropriate material type code from the list below:
U.S. Code
(Domestic transfers)
IAEA Code
(Imports/Exports)
Description
Reporting Unit
10
D
Depleted uranium
Kilogram
20
EG
Enriched uranium
Gram
50
P
Plutonium
Gram
70
EK
U-233
Gram
81
N
Normal uranium
Kilogram
834
Pu
Pu-238
1/10 Gram
88
T
Thorium
Kilogram
89
No code
Uranium in cascade
Gram
Note that for facilities reporting in accordance with 10 CFR Part 75, their facility
attachment (FA) or transitional facility attachment (TFA) may require different reporting
units for isotope weight. As such, the facility should report to NMMSS as required by its
FA or TFA and its NRC license. Contact the NMMSS staff with any questions.
26h.
COMPOSITION/FACILITY CODE—Enter the appropriate code describing the physical
form (e.g., unencapsulated, encapsulated) and the chemical form of the material. See
Appendix A to this NUREG. Facilities reporting receipts of material from a foreign
shipper that did not provide a composition code description should report the
composition code as determined by their facility to describe the physical and chemical
form of the imported material.
If the reporting facility has been notified by letter from the NRC, as provided in
10 CFR 75.10, “Facilities,” that it has been identified under the U.S./IAEA Safeguards
Agreement, enter the appropriate code from the list developed during the formulation
and negotiation of the FA or TFA provided in accordance with 10 CFR 75.15, “Facility
Attachments.”
4
The element plutonium (Pu)-238 was 1 of the 12 material types that were originally reported in the electronic
Nuclear Material Information System (NMIS), which predated the NMMSS database. Pu-238 was primarily
possessed by nuclear power and research reactors that were government owned and followed the
convention for reporting at the 0.1-gram unit. When the NRC formed in 1974, the NRC licensees
possessing DOE-owned Pu-238 continued reporting to the 0.1-gram level in accordance with DOE
guidance. This reporting trend continued in practice even as nuclear material became privately owned.
DOE guidance continues to require sites to report transfers and holding of Pu-238 to the 0.1-gram level, if it
is 10 percent or more Pu-238 (material type 83). NRC regulations do not distinguish between plutonium
isotopes. Licensees are required to report transactions and holdings of plutonium (material type 50) to the
nearest gram. The NRC accepts Pu-238 reported as material type 83, to the nearest 0.1 gram, if the
contained Pu-238 is greater than 10 percent of total plutonium by weight; otherwise, licensees should report
it as plutonium (material type 50).
14
Note: In accordance with 10 CFR 75.10, licensees should communicate to the NRC in
writing any change in facility operations or processes that would result in any changes
in, additions to, or deletions from the list, to the extent provided in the license conditions,
at least 70 days in advance of the changes so that new composition codes can be
assigned.
26i.
OWNER CODE—This code identifies the ownership of the material at the time it was in
the shipper’s possession. Enter the appropriate code from the following:
G
J
DOE-owned
Not DOE-owned
Refer to the glossary in Appendix D to this NUREG for a description of DOE-owned
material.
26j.
KEY MEASUREMENT POINT—This data element applies only to licensees reporting in
accordance with the requirements of 10 CFR Part 75. All other licensees must leave this
block blank. This block is for reporting on a facility where nuclear material is in a form
that may be measured to determine material flow or inventory. Codes for KMPs are
identified in the FAs or TFAs developed for those facilities described in the instructions
for block 26h.
26k.
MEASUREMENT IDENTIFICATION (see block 26j)—This block applies only to
licensees reporting in accordance with 10 CFR Part 75 and to those facilities identified in
the instructions for 26h. All other licensees must leave this block blank. This block
indicates where and when the material was measured. It consists of the three parts
described below.
26k1. BASIS—This data element applies only to licensees that report, in accordance with
10 CFR Part 75, material to the IAEA as required by their FA or TFA, which defines
material balance areas (MBAs) for the licensee. For the purpose of this section, MBAs
are synonymous with RIS codes. Enter the pertinent code from the following:
5
6
N
Enter N if the batch data are based on measurements made by another RIS
code.5 Shipments made by a foreign facility shall be considered as having been
measured by the foreign facility. As such, the receiving RIS code shall report the
measurement basis for the shipper as “N.”
L
Enter L if the batch data are based on measurements made by another RIS code
and have been previously reported by the current RIS code in a preceding
DOE/NRC Form 741 or a DOE/NRC Form 742C.6
M
Enter M if the batch data are based on new measurements made at the present
RIS code.
Use the M or N code to report receipt of material by the RIS code for the first time when measurement is
taken by the RIS code.
Only the shipper should use the L or T code, reporting shipment of material from the RIS code, since
measurement has already occurred within that RIS code.
15
T
Enter T if the batch data are based on measurements made at the present RIS
code and have been previously reported for the present RIS code in a preceding
DOE/NRC Form 741 or a DOE/NRC Form 742C.
26k2. OTHER MEASUREMENT POINT (OMP)—For batch data designated code M in
block 26k1, enter the code of the KMP where measurements were made if it is different
from the KMP indicated in block 26j. If it is the same, leave the block blank.
26k3. MEASUREMENT METHOD—If two or more measurement methods employed at the
same KMP have a different measurement uncertainty, enter the code for the
measurement method used, as identified in the FA.
26l.
GROSS WEIGHT—Enter the gross weight of the line entry in kilograms of material
shipped plus tare weight (packaging and shipping container). Note: The gross weight
equals the weight for all items reported in the line and not the gross weight for one item.
26m.
NET WEIGHT—Enter the weight of the material shipped, excluding tare weight, in grams
for SNM and kilograms for source material.
26n.
ELEMENT WEIGHT—Enter the weight of the contained SNM or source material
rounded to the quantities reported below:
Material
Reporting Units
Plutonium (material type 50)
or uranium enriched in U-235
or U-233
nearest whole gram
Pu-238 when reported as
material type 837
nearest 1/10 gram
Source material
nearest kilogram
If the quantity to be entered is equal to or greater than 0.5 of the reporting unit, the
quantity should be rounded up to the next whole reporting unit. If the quantity to be
entered is less than 0.5 of the reporting unit, the quantity should be rounded down to the
next whole reporting unit.
26o.
ELEMENT LIMIT OF ERROR—Limits of error need be reported only by licensees that
are authorized to possess at any time and location SNM in a quantity exceeding
1 effective kilogram and authorized to use SNM for activities other than those involved in
the operation of a nuclear reactor licensed pursuant to 10 CFR Part 50, “Domestic
Licensing of Production and Utilization Facilities”; that are involved in a waste disposal
operation; or that are authorized to possess sealed sources.
Complete this block (26o) when the total shipment contains more than 50 grams of
U-235, U-233, or plutonium, or any combination of these. Enter the limit of error for each
element entry using the same weight units as in block 26n, except where the line entry
7
The isotope Pu-238 should be reported as material type 83 when the contained Pu-238 is greater than
10 percent of total plutonium by weight. Otherwise, it should be reported as plutonium (material type 50).
16
represents (1) a sealed plutonium-beryllium source, (2) samples that have all been
determined by other means to contain less than 10 grams of U-235, U-233, or plutonium,
and (3) reactor-irradiated fuels involved in research, development, and evaluation
programs in facilities other than irradiated-fuel reprocessing plants.
Limits of error are to be at the 95-percent confidence level, propagated by the
uncertainties of the weight measurement, the chemical analysis, and the sampling
method. Limits of error do not apply to source material. Licensees making onsite
transfers between two different RISs or within the same RIS are exempt from supplying
limits of error data for the transfers. Transfers between a license-exempt operation and
a licensed operation at the same location are not considered onsite transfers, and limits
of error are required.
26p.
WEIGHT % ISOTOPE—Enter the weight percent of the isotope U-235 if the uranium is
enriched or depleted in U-235. If plutonium, enter the weight percent of the isotope
Pu-240. If Pu-238 (material type 83), enter the weight percent of the isotope Pu-238.
Report weight percent to at least two, but not more than four, decimal places, depending
on the accuracy of the measurement method used (for example, XX.XXXX%). For
U-233, enter the parts per million of U-232. This block does not apply to natural uranium
and thorium. Use separate lines to report material of different enrichments. The
licensee must determine and report the plutonium and U-235 content of irradiated fuel
upon removal of the spent fuel from the reactor core. Reactor operators may report the
total nonfissile isotope instead of Pu-240 in this block for spent fuel if the computer
codes the operator uses have this limitation.
Note that for facilities reporting in accordance with 10 CFR Part 75, their FA or TFA may
require different reporting units for element and isotope weight (i.e., element weight in
kilograms and isotope weight in grams). In such cases, the facility may leave this field
blank.
26q.
ISOTOPE WEIGHT—Enter the isotope weight. If enriched uranium or U-233, enter
weight to the nearest gram of U-235 or U-233, as appropriate. If plutonium, enter the
sum of Pu-239 and Pu-241 to the nearest gram. If Pu-238 (material type 83), enter the
weight of the isotope Pu-238 to the nearest 0.1 gram. For depleted uranium, enter the
isotope weight to the nearest kilogram. Make no entry for other source material.
Note that for facilities reporting in accordance with 10 CFR Part 75, their FA or TFA may
require different reporting units for isotope weight. In such cases, the facility should
report to NMMSS as required in its FA or TFA, and contact the NMMSS staff with any
questions.
If the quantity to be entered is equal to or greater than 0.5 of the reporting unit, the
quantity should be rounded up to the next whole reporting unit. If the quantity to be
entered is less than 0.5 of the reporting unit, the quantity should be rounded down to the
next whole reporting unit.
26r.
ISOTOPE LIMIT OF ERROR—Limits of error need be reported only by licensees that
are authorized to possess at any one time and location SNM in a quantity exceeding
1 effective kilogram and authorized to use such SNM for activities other than those
involved in the operation of a nuclear reactor licensed pursuant to 10 CFR Part 50, that
17
are involved in a waste disposal operation, or that are authorized to possess sealed
sources.
Complete when the total shipment contains more than 50 grams of U-235, U-233, or
plutonium, or any combination of these. Enter the limit of error for each isotope entry
using the same weight units as in block 26n, except where the line entry represents (1) a
sealed plutonium-beryllium source, (2) samples that have all been determined by other
means to contain less than 10 grams of U-235, U-233, or plutonium, and
(3) reactor-irradiated fuels involved in research, development, and evaluation programs
in facilities other than irradiated-fuel reprocessing plants.
Limits of error are to be at the 95-percent confidence level, propagated by the
uncertainties of the weight measurement, the chemical analysis, and the sampling
method. Limits of error do not apply to source material. Licensees making onsite
transfers between two different RISs or within the same RIS are exempt from supplying
limits of error data for the transfers. Transfers between a license-exempt operation and
a licensed operation at the same location are not considered onsite transfers, and limits
of error are required.
26s.
SIGNATURE OF AUTHORIZED OFFICIAL AND DATE SIGNED—If submitted on paper,
an authorized representative of the licensee must sign and date the report. Otherwise,
no entry is required. Each licensee must establish internal procedures to ensure that the
information provided in the report is accurate and that only authorized licensee
personnel have prepared and issued the report.
Proprietary information must be included when necessary to provide an adequate
response. An application to withhold such information from public disclosure may be
made and will be dispositioned in accordance with the provisions of 10 CFR 2.390. If
any of this information is of particular sensitivity, the licensee may request that such
information not be transmitted to the IAEA. Such a request must refer to and conform
with 10 CFR 75.13, “Communication of Information to the International Atomic Energy
Agency (IAEA).”
2.1.2 Reporting Receiver’s Data
Each receiver of reportable quantities of SNM or source material must acknowledge receipt of
shipments in accordance with the following instructions:
•
If the receiver plans to accept the shipper’s measurement data without making
independent measurements (B action code), the receiver must, within 10 days of receipt
of the material, submit DOE/NRC Form 741. There are two options for filling out the
form:
(1)
Complete blocks 1 through 25 and enter a zero in block 10.
(2)
Complete blocks 1 through 25, enter the shipper’s values in block 26, and repeat
the shipper’s values in block 27.
Facilities reporting pursuant to 10 CFR Part 75 must use the second option if they
accept the shipper’s measurement data. Similarly, facilities reporting an import must
18
also use the second option. Facilities should dispatch the form in accordance with the
instructions in Section 2.3.2.
•
If the receiver makes independent measurements (E action code), the receiver must do
the following within 10 days of receipt of the material:
(1)
Complete blocks 1 through 25, enter the shipper’s values in block 26, and
complete blocks 27a through 27s of DOE/NRC Form 741.
The receiver should dispatch the form in accordance with the instructions in
Section 2.3.2.
•
If the receiver intends to make independent measurements within 60 days for source
material or LEU, or 45 days for HEU (N action code), the receiver shall do the following
within 10 days of receipt of the material (unless the NRC authorizes an exemption):
(1)
Complete blocks 1 through 23.
(2)
Dispatch the form in accordance with the instructions in Section 2.3.2.
(3)
After independent measurements are made, follow the instructions for reporting a
B or E action code. If measurements are delayed, complete them and report
them on DOE/NRC Form 741 within 60 days for source material and LEU and
within 45 days for HEU after the receipt of each shipment, except in the case of
receipts of scrap and irradiated material.
In the case of a scrap processor receiving several shipments of scrap that are
accumulated and processed together, the recovered quantity of material must be
prorated to the specific transmittal documents and line entries to maintain the one-to-one
correspondence between shipper’s and receiver’s data.
27.
RECEIVER’S DATA—Fill in the receiver’s data blocks as follows:
Enter shipper and receiver measurement data on DOE/NRC Form 741 for each batch of
material. All transactions shall include a batch identification number that identifies a
unique portion of nuclear material that is handled as a unit for accounting purposes at a
KMP and whose composition and quantity are defined by a single set of specifications or
measurements. The batch may be in bulk form or contained in a number of separate
items. If the shipment is an export or is being reported in accordance with
10 CFR Part 75, list fuel assemblies, loose rods, or fuel pins separately with the
identifying label serving as a unique batch name. Report fuel assemblies as “average”
enrichment as long as the appropriate accounts (e.g., material types 10, 20, 81) are
properly adjusted. Material being transferred may be listed on one line of DOE/NRC
Form 741 if the material is all of the same material type, composition, ownership, and
weight percent of isotope (except as noted in the next paragraph). List material differing
in any of these data elements on separate lines.
Two or more lines may be necessary to describe a single batch (e.g., spent fuel
assemblies, mixed-oxide fuel). If a batch consists of several nuclear material types, use
several consecutive lines to describe the batch. Repeat the batch name on all lines
19
used to describe a single batch. In block 27e, repeat the number of items on all lines
with the same batch name.
The above general rules for grouping material for reporting purposes apply to all
licensees reporting material transactions. Batch reporting plays an integral role in
“transit matching” at the domestic and international level. At the international level, the
IAEA relies on NMMSS-provided data to match U.S.-reported transactions with those
reported by other member states. To facilitate efficient transit matching, facilities
reporting imports or receipts of material in accordance with 10 CFR Part 75 shall report
the shipper’s batch name on DOE/NRC Form 741.
27a.
BACK-REFERENCE NUMBER—Must match the shipper’s value. See block 26a.
27b.
LINE NUMBER—Must match the shipper’s value. See block 26b.
27c.
TYPE OF INVENTORY CHANGE—Must match the shipper’s value. See block 26c.
27d.
IDENTIFICATION (ITEM/BATCH NAME)—See block 26d.
27e.
NO. OF ITEMS—See block 26e.
27f.
PROJECT NUMBER—See block 26f.
27g.
MATERIAL TYPE—Must match the shipper’s value. See block 26g.
27h.
COMPOSITION/FACILITY CODE—See block 26h.
27i.
OWNER CODE—Describes the material ownership at the time it comes into the
receiver’s possession. See block 26i.
27j.
KEY MEASUREMENT POINT—See block 26j.
27k.
MEASUREMENT IDENTIFICATION—See block 26k.
27l.
GROSS WEIGHT—See block 26l.
27m.
NET WEIGHT—See block 26m.
27n.
ELEMENT WEIGHT—See block 26n.
27o.
ELEMENT LIMIT OF ERROR—See block 26o.
27p.
WEIGHT % ISOTOPE—See block 26p.
27q.
ISOTOPE WEIGHT—See block 26q.
27r.
ISOTOPE LIMIT OF ERROR—See block 26r.
27s.
SIGNATURE OF AUTHORIZED OFFICIAL AND DATE SIGNED—See block 26s.
20
2.2 Preparation of DOE/NRC Form 741 in Computer-Readable Format
NMMSS Report D-24 provides instructions for preparing DOE/NRC Form 741 in
computer-readable format as required for submittals.
2.3 Distribution of DOE/NRC Form 741
2.3.1 Shipper
Each shipper of reportable quantities of SNM or source material must dispatch a DOE/NRC
Form 741, as described below, no later than the close of business the next working day after the
shipment. In the case of spent fuel shipments, in accordance with 10 CFR 73.37, the date of
shipment is considered safeguards information until 10 days after the shipment or the last
shipment in a series of shipments is received. Therefore, the shipper should identify DOE/NRC
Form 741 as safeguards information and handle such in accordance with 10 CFR 73.21. When
submitting safeguards information, the shipper must submit a Concise Note (DOE/NRC
Form 740M), stating that the submission is safeguards information and should be handled in
accordance with 10 CFR 73.21.
Burials are reported when shipped. The burial site operator must prepare and transmit a
DOE/NRC Form 741 to NMMSS to document receipt and disposal.
The shipper should distribute the completed DOE/NRC Form 741 as follows:
•
Provide a copy, in a mutually agreeable format, to the other party in the transaction.
•
Submit one copy in a computer-readable format to NMMSS. See Section 1.5 for
documentation and distribution of classified and unclassified reports.
•
Retain one copy for the file.
2.3.2 Receiver
The receiver should distribute the completed DOE/NRC Form 741 as follows:
•
Submit one copy in a computer-readable format to NMMSS. See Section 1.5 for
documentation and distribution of classified and unclassified reports.
•
Return one copy, in a mutually agreeable format, to the shipper.
Retain one copy for the file.
21
3 INSTRUCTIONS FOR ONSITE GAINS AND LOSSES
(M ACTION CODE)
3.1 Instructions for Completing DOE/NRC Form 741
When using action code M, the licensee should complete DOE/NRC Form 741 in accordance
with the following instructions:
1.
SHIPPER’S RIS—Enter the RIS.
2.
RECEIVER’S RIS—Same as in block 1.
3.
TRANSACTION NUMBER—See the instructions for block 3 in Section 2.1.1 or contact
the NMMSS staff for other options.
4.
CORRECTION NUMBER—See the instructions for block 4 in Section 2.1.1.
5.
PROCESSING CODE—See the instructions for block 5 in Section 2.1.1.
6.
ACTION CODE—Enter M in 6a or 6b or both.
7.
DOCUMENTATION—Enter the number of pages if the submission is classified. This
block is for paper-copy submissions only.
8.
NAME AND ADDRESS OF SHIPPER—Leave blank.
9.
NAME AND ADDRESS OF RECEIVER—Leave blank.
10.
NUMBER OF DATA LINES—Enter the total number of detail line entries on the form.
11.
NATURE OF TRANSACTION—Leave blank.
12.
SHIPPED FOR ACCOUNT OF—Leave blank.
13.
SHIPPED TO ACCOUNT OF—Leave blank.
14.
TRANSFER AUTHORITY—Leave blank.
15.
EXPORT OR IMPORT TRANSFERS—Leave blank.
16.
MATERIAL TYPE AND DESCRIPTION—Leave blank.
17.
LINE NUMBER—See the instructions for block 17 in Section 2.1.1.
18.
COUNTRY OF OBLIGATION—See the instructions for block 18 in Section 2.1.1.
19.
MATERIAL TYPE—See the instructions for block 19 in Section 2.1.1.
20.
OBLIGATED ELEMENT WEIGHT—See the instructions for block 20 in Section 2.1.1.
23
21.
OBLIGATED ISOTOPE WEIGHT—FOR ENRICHED URANIUM ONLY—See the
instructions for block 21 in Section 2.1.1.
22.
ACTION DATE—Enter the date of the activity in at least one of blocks 22a through 22e.
If more than one block is completed, all dates must be the same.
23.
MISCELLANEOUS—Leave blank.
24.
TOTAL GROSS WEIGHT—Leave blank.
25.
TOTAL VOLUME—Leave blank.
26.
SHIPPER’S DATA—Follow instructions for blocks 26a through 26s.
26a.
BACK-REFERENCE NUMBER—See the instructions for block 26a in Section 2.1.1.
26b.
LINE NO.—See the instructions for block 26b in Section 2.1.1.
26c.
TYPE OF INVENTORY CHANGE—See Section 2.1.1.
26d.
IDENTIFICATION (ITEM/BATCH NAME)—See Section 2.1.1.
26e.
NO. OF ITEMS—See Section 2.1.1.
26f.
PROJECT NUMBER—Leave blank.
26g.
MATERIAL TYPE—See Section 2.1.1.
26h.
COMPOSITION/FACILITY CODE—See Section 2.1.1.
26i.
OWNER CODE—See Section 2.1.1.
26j.
KEY MEASUREMENT POINT—See Section 2.1.1.
26k.
MEASUREMENT IDENTIFICATION—See Section 2.1.1.
26l.
GROSS WEIGHT—Leave blank.
26m.
NET WEIGHT—Leave blank.
26n.
ELEMENT WEIGHT—See Section 2.1.1.
26o.
ELEMENT LIMIT OF ERROR—See Section 2.1.1.
26p.
WEIGHT % ISOTOPE—Leave blank for ICT codes MF and EQ unless the material is
enriched uranium. For ICT codes LN and TN, report the same weight percent of isotope
as for the beginning of the inventory period. See the instructions for block 26p in
Section 2.1.1.
26q.
ISOTOPE WEIGHT—See Section 2.1.1.
24
26r.
ISOTOPE LIMIT OF ERROR—Leave blank.
26s.
SIGNATURE OF AUTHORIZED OFFICIAL AND DATE SIGNED—See Section 2.1.1.
27.
RECEIVER’S DATA—See the instructions for block 27 in Section 2.1.2.
3.2 Preparation of DOE/NRC Form 741 in Computer-Readable Format
NMMSS Report D-24 provides instructions for preparing DOE/NRC Form 741 in
computer-readable format as required for submittals.
3.3 Distribution of DOE/NRC Form 741
Distribution of the completed DOE/NRC Form 741 should be as follows:
•
Submit one copy in a computer-readable format to NMMSS. (See Section 1.5 for
documentation and distribution of classified and unclassified reports.)
•
Retain one copy for the file.
25
4 INSTRUCTIONS FOR CORRECTING A DOE/NRC FORM 741
(C, D, AND M ACTION CODES)
Adjustments are independent actions. Either the shipper or the receiver may initiate an
adjustment to a DOE/NRC Form 741, reporting the original shipment or receipt of material or an
adjustment to any previous adjustment to the original. The other party should acknowledge that
an adjustment was made but is not required to make the same adjustment to its records.
4.1 Originator
The originator of the “corrected copy” must do the following:
•
Complete blocks 1 through 25, as appropriate, referring to the copy of DOE/NRC
Form 741 being corrected.
•
Insert in block 26a or 27a of the “did-read” (Was) line, as appropriate, a back-reference
code. If the line of data has not been previously corrected, use a zero. If previously
corrected, the first digit is the correction number (block 4) from the DOE/NRC Form 741
being corrected. If the line of data has been corrected several times, use the most
recent correction number. The next two digits are the line number (block 26b or 27b) on
the DOE/NRC Form 741 being corrected. The “did-read” line can only reference a line
on the original document or a “should-read” line. No two or more “did-read” lines can
back-reference the same line.
•
Complete the “did-read” line, blocks 26b through j and 26n through r or 27b through j
and 27n through r, as appropriate, by duplicating the entire line being corrected from the
DOE/NRC Form 741 being corrected and indicating the opposite sign (positive or
negative) from the original one used in reporting the number of items (block e), element
weight (block n), element limit of error (block o), isotope weight (block q), and isotope
limit of error (block r).
•
Insert in block 26a or 27a of the “should-read” (Should-Be) line, as appropriate, a
back-reference code that references the corresponding “did-read” line. The first digit is
the correction number of the document being completed. The next two digits are the line
number of the corresponding “did-read” line. The “should-read” line can only reference a
“did-read” line. No two or more “should-read” lines can back-reference the same line.
Repeat this procedure until all lines requiring adjustment have been backed out and the correct
information entered.
Pair the “did-read” and “should-read” for each line being adjusted (i.e., consecutive).
One or more changes can be made to each line. Only include incorrect lines in a correction
report.
If adding a line to the original document, the back-reference should be (000) (block 26a or 27a),
and pairing is not done.
If a line previously reported is split into two or more lines, one of the “should-be” lines should
back-reference the “did-read” line, and all others should be considered new additions (000).
27
If a line is to be voided, use only a “did-read” line (no pairing). Appendix C to this NUREG
provides examples of an initial report and subsequent correction reports.
4.2 Receiver
Within 10 days of receipt, the facility receiving the corrected DOE/NRC Form 741 must do one
of the following:
•
Submit a DOE/NRC Form 741, acknowledging the adjustment (which will close a
transaction but will not affect the acknowledging party’s values).
•
Submit a DOE/NRC Form 741, accepting the adjustment or reporting the facility’s own
adjustment. This closes a transaction and applies the accepted or reported adjustment
to the acknowledging party’s values.
There is no requirement for both parties to make the same quantity adjustments. However, if
both parties choose to adjust on the same corrected DOE/NRC Form 741, they must both report
the same number of entries, and the material types must agree line for line.
4.3 Distribution of Corrections to DOE/NRC Form 741
The originator should do the following:
•
Submit one copy, in a mutually agreeable format, to the other party in the transaction.
•
Submit one copy in a computer-readable format to NMMSS. (See Section 1.5 for
documentation and distribution of classified and unclassified reports.)
•
Retain one copy for the originating facility’s file.
Upon receipt of a correction, a licensee should distribute a completed DOE/NRC Form 741,
reporting an acknowledgment, acceptance, or correction as follows:
•
Submit one copy to NMMSS. (See Section 1.5 for documentation and distribution of
classified and unclassified reports.)
•
Return one copy to the originator.
•
Retain one copy for the facility’s file
28
5 INSTRUCTIONS FOR COMPLETING DOE/NRC FORM 740M
These instructions apply to all licensees that the NRC has notified by letter, as provided in
10 CFR 75.11, “Locations,” that their facility has been identified under the U.S./IAEA
Safeguards Agreement. The FAs or TFAs for such facilities may specify circumstances under
which Concise Notes must be submitted to the IAEA as attachments to other reports. These
facilities should use DOE/NRC Form 740M to explain to the foreign state where the
IAEA-required data items appear.
Licensees who are reporting safeguards information must submit a Concise Note, as discussed
in Section 1.5.
These instructions also apply to importers that, for any reason, cannot use the same batch
name as the shipper. If the shipper fails to supply a batch name, the importer should supply a
batch name and attach a Concise Note to that effect.
In some cases, it may be desirable to provide additional explanatory information with reports.
DOE/NRC Form 740M is used to submit this information. A DOE/NRC Form 740M may be
attached to DOE/NRC Form 741, to DOE/NRC Form 742, to DOE/NRC Form 742C, or to a
standalone Concise Note for facilities reporting under 10 CFR Part 75.
The numbered blocks of DOE/NRC Form 740M should be completed as follows:
1.
NAME AND ADDRESS—Leave blank.
2.
ATTACHMENT TO—Place an X in the appropriate box to indicate that this explanatory
information will be attached to DOE/NRC Form 741.
When attaching the Concise Note to DOE/NRC Form 742 or 742C, enter the number 1
for the first Concise Note attached to the particular DOE/NRC Form 742 or 742C. When
issuing an additional Concise Note for a particular DOE/NRC Form 742 or 742C, enter
the next sequential number (2–9) of the Concise Note.
3.
RIS—Enter the RIS to which the explanatory information in this report applies.
4.
REPORTING PERIOD—Complete this block only when the Concise Note is attached to
a DOE/NRC Form 742 or a DOE/NRC Form 742C. Enter the beginning and ending
dates of the reporting period as shown on DOE/NRC Form 742.
5.
TRANSACTION DATA—Complete this block only when attaching the Concise Note to a
DOE/NRC Form 741 or if submitting a standalone Concise Note. Copy the requested
data from DOE/NRC Form 741. All entries in this block must be identical to those on
DOE/NRC Form 741. Fill in the blocks as follows.
5A.
SHIPPER’S RIS—Enter the RIS of the shipper.
5B.
RECEIVER’S RIS—Enter the RIS of the receiver.
5C.
TRANSACTION NUMBER—Enter the unique transaction number.
29
5D.
CORRECTION NUMBER—If the DOE/NRC Form 741 is a correction to a previous
report, enter the correction number.
5E.
PROCESSING CODE—Insert the same code as used in DOE/NRC Form 741.
5F.
ACTION CODE—If using a DOE/NRC Form 740M with a DOE/NRC Form 741, enter the
same action code as on the DOE/NRC Form 741, block 7; otherwise, enter action
code M.
6.
REPORTING DATE—Complete this block if the Concise Note is attached to a
DOE/NRC Form 741 or DOE/NRC Form 742C. Copy the date shown on DOE/NRC
Form 741 or DOE/NRC Form 742C.
7.
This block contains the actual explanatory data and other data necessary to link the
explanatory data to the part or parts of the report to which the data apply. Complete this
block as follows.
7A.
LINE NO.—Enter consecutive numbers beginning with 1 for each explanatory reference.
7B.
ENTRY REFERENCE—If the explanatory information entered on this line of the
DOE/NRC Form 740M applies to the entire DOE/NRC Form 741, 742, or 742C, enter
WHOLE REPORT. If the explanation applies to the data on a specific batch on a
DOE/NRC Form 741 or DOE/NRC Form 742C, copy the batch name exactly as it
appears on the DOE/NRC Form 741 or DOE/NRC Form 742C. If the explanation
applies to a specific material balance category on a DOE/NRC Form 742, enter the
two-digit number of the material balance category. Additionally, if the explanation
applies to material balance categories 11, 30, 42, 43, or 51, enter the RIS shown on the
relevant line of DOE/NRC Form 742. If the explanation applies to categories 22 or 71,
enter the two-character ICT as shown on the relevant line of DOE/NRC Form 742. If the
DOE/NRC Form 740M action code is M, enter GENERAL.
7C.
TEXT OF CONCISE NOTE—Enter up to 60 letters, numbers, or special characters per
line. Up to 99 lines of text may be used for any one explanation.
8.
SIGNATURE—An authorized representative of the licensee must sign DOE/NRC
Form 740M. See the instructions for block 26s in Section 2.1.1.
9.
TITLE—Enter the title of the person signing the form.
10.
DATE—Enter the date the form is signed.
DOE/NRC Form 740M should be put into computer-readable format following the additional
guidance in NMMSS Report D-24.
Copies of DOE/NRC Form 740M must be attached to, and distributed with, the DOE/NRC
Form 741, 742, or 742C to which the DOE/NRC Form 740M applies.
30
6 DOE REPORTING REQUIREMENTS FOR PROPRIETARY
INTERESTS OF THE GOVERNMENT
NRC licensees are responsible for routinely reporting to NMMSS all DOE-owned, -loaned,
or -leased material in their possession as prescribed in DOE Orders 470.4B and 474.2.
31
7 NMMSS REFERENCES
This report and its appendices reference the NMMSS documents listed below. To request
these documents, telephone the NMMSS staff.
NMMSS Report D-2, “The DOE Directory of Reporting Identification Symbols.”
NMMSS Report D-3, “The NRC Directory of Reporting Identification Symbols.”
NMMSS Report D-15, “International Nuclear Facilities Codes Manual.”
NMMSS Report D-24, “Personal Computer Data Input for NRC Licensees.”
NMMSS Report D-25, “Transaction Composition Code Reference List.”
33
APPENDIX A
COMPOSITION CODES
COMPOSITION CODES
The codes listed below are for use in completing blocks 26h or 27h on U.S. Department of
Energy/U.S. Nuclear Regulatory Commission (DOE/NRC) Form 741, “Nuclear Material
Transaction Report.” If the NRC has notified a licensee by letter, as provided in Title 10 of the
Code of Federal Regulations (10 CFR) 75.11, “Locations,” that the facility has been identified
under the U.S./International Atomic Energy Agency Safeguards Agreement, the licensee should
enter the appropriate code from the list developed during the formulation and negotiation of the
facility attachment or transitional facility attachment.
In accordance with 10 CFR 75.10, “Facilities,” the licensee should communicate to the NRC in
writing any change in facility operations or processes that would result in any changes to,
additions to, or deletions from the list, to the extent provided in the facility’s license conditions, at
least 70 days in advance of the changes so that new composition codes can be assigned.
For additional composition codes, see Nuclear Materials Management and Safeguards System
(NMMSS) Report D-25, “Transaction Composition Code Reference List.”
UNENCAPSULATED (except scrap)
Code
032
U3O8 (oxide product)
048
UO3 (trioxide product)
770
Carbides
455
Other Oxides Product (for all oxides not otherwise identified)
064
Tetrafluorides (tetrafluoride product)
083
UF6 (hexafluoride product)
095
Enriching Process
102
Hexafluorides—in Enriching Process
103
Hexafluoride Product
107
Uranium in Cascades—Holdup
120
UF6 Feed
773
UF6 Heels
363
In Reactor Product
409
Nitrate Solutions Product
A-1
786
Acetate Solutions Product
701
Unalloyed Metal Product
702
Alloyed Metal Product
771
Samples and Standards
637
Sintered Products
UNENCAPSULATED SCRAP (for recovery)1
375
Irradiated Recyclable Fuel
WASTE (for disposal)
Describe waste material by an appropriate scrap category.
ENCAPSULATED
291
Fabricated Fuel Elements (pins, rods, plates)
309
Fuel Assemblies (assembled items product)
481
Sealed Sources (fabricated sources product)
OTHER
776
Other Products
E04
Miscellaneous Noncombustibles (uranium)
Note: Report uranium/thorium and plutonium/uranium mixed-oxide fuels either as fuel elements
(code 291) or as fuel assemblies (code 309), as applicable.
Report the different material types in the mixed-oxide fuels on separate lines.
1
When dissimilar items of scrap are put into the same container, use the composition code for the
predominant scrap category.
A-2
APPENDIX B
INVENTORY CHANGE TYPE CODES FOR COMPLETING
BLOCKS 26C AND 27C OF DOE/NRC FORM 741
INVENTORY CHANGE TYPE CODES FOR COMPLETING
BLOCKS 26C AND 27C OF DOE/NRC FORM 741
All inventory change type codes on transaction reports consist of two alphabetic or numeric
characters. The accounting entry type codes used on material balance reports (MBRs) consist of
two digits. In the following pages, the numbers in parentheses following the alphabetic code
represent the MBR line to which the transaction entries correspond. The standard inventory
changes and other entry types are listed below. In transaction reports, all transactions and
operations are understood to be related to individual batches. In MBRs, corresponding the same
codes denotes consolidated entries (i.e., the sums of all individual operations with the same code
over the material balance period). In addition, MBRs include entries related to inventory data and
adjustments not reported on transaction reports.
Gains or losses of material that occur based on the total inventory, or in which individual effects to
inventories by country of obligation code cannot be determined, should be reported as a loss to all
country obligation balances by applying a one-to-one ratio by percent of the country of obligation to
the amount of inventory affected to the amount of inventory change. For example, if decay is
reported for plutonium within a reactor and the plutonium balance represents several different
country of obligation balances, the following calculations would determine the amount of decay to
apply to each country of obligation code balance:
Element
1,202,239
998
Amount of inventory for which decay applies
Calculated decay for the period
Isotope
950,947
998
Balance by country obligation code
OBLIGATION CODE
33
34
32
Total Pu Balance
ELEMENT
200,000
ISOTOPE
158,196
% Ratio to Total Inventory
200,000/1,202,239 = 0.166 x 100 = 17%
509,321
402,863
509,321/1,202,239 = 0.424 x 100 = 42%
492,918
1,202,239
389,888
950,947
492,918/1,202,239 = 0.410 x 100 = 41%
100%
Amount of decay to apply to each country of obligation code balance
33
998 x 17% = 169.66 rounded to the nearest gram = 170
34
998 x 42% = 419.16 rounded to the nearest gram = 419
32
998 x 41% = 409.18 rounded to the nearest gram = 409
998
B-1
The following should also be used for the isotope balances:
TRANS. MBR
CODE LINE
1
EXPLANATION
REQUIREMENT FOR
BLOCKS 26c AND 27c
RF
(11, 13, 30, 38, 39)
Nuclear material imported into the United
States (receipt foreign).
Make no entry.1
RD
(11, 13, 30, 38, 39)
A domestic facility subject to 10 CFR Part 75
received nuclear material from another
domestic facility that is subject to
10 CFR Part 75.
Make no entry.1
RN
(11, 13, 30, 38, 39)
A domestic facility subject to 10 CFR Part 75
received nuclear material from another
domestic facility that is not subject to
10 CFR Part 75.
Make no entry.1
NP
(21)
Production of fissionable material in a reactor
(plutonium (Pu), uranium (U)-233).
Entry required by
licensee.
DU
(76)
Reapplication of safeguards in nuclear
material previously exempted therefrom in
accordance with Article 38 of the
U.S./International Atomic Energy Agency
(IAEA) Safeguards Agreement after being
exempted based on use (licensees subject to
10 CFR Part 75 only).
Entry required only
after NRC notification.
DQ
(76)
Reapplication of safeguards in nuclear
material previously exempted therefrom in
accordance with Article 38 of the U.S./IAEA
Safeguards Agreement after being exempted
based on quantity (licensees subject to
10 CFR Part 75 only).
Entry required only
after NRC notification.
SF
(42, 43, 51, 58, 59)
Export of nuclear material out of the United
States.
Make no entry.1
SD
(42, 43, 51, 58, 59)
A domestic facility subject to 10 CFR Part 75
shipped nuclear material to another domestic
facility that is subject to 10 CFR Part 75.
Make no entry.1
This data point is not required to be reported by licensees. NMMSS generates these codes for IAEA reporting.
B-2
TRANS. MBR
CODE LINE
EXPLANATION
REQUIREMENT FOR
BLOCKS 26c AND 27c
Make no entry.1
SN
(42, 43, 51, 58, 59)
A domestic facility subject to 10 CFR Part 75
shipped nuclear material to a waste
management facility that is not subject to
10 CFR Part 75.
LN*
(73)
Consumption of nuclear material because of its Entry required by
transformation into other elements or isotopes licensee.
as a result of nuclear reactions (burnup).
TN*
(72)
*Note: When calculating weight percent isotope
in the case of burnup, report the same weight
percent isotope for burnup as the weight
percent of the beginning inventory period.
Consumption of nuclear material because of
Entry required by
transformation into other elements or isotopes licensee.
as a result of nuclear reactions (decay).
*Note: When calculating weight percent isotope
in the case of decay, report the same weight
percent isotope for decay as the weight percent
of the beginning inventory period.
LD
(74)
Normal operational loss/measured discard;
that is, loss of a measured or estimated (on
the basis of measurement) quantity of nuclear
material from processing that has been
disposed of in such a way that it is not suitable
for further nuclear use.
Entry required by
licensee.
TW
(74)
Transfer to the retained waste category of
measured nuclear material, deemed to be
irrecoverable, to be stored at the material
balance area (MBA) and to be deleted from
the inventory of the MBA.
Entry required by
licensee.
FW
(51)
Retransfer of material that has been stored at
the MBA as retained waste to the nuclear
material inventory. This applies whenever
material in the retained waste category is
removed from storage either for processing at
the MBA or for retransfer from the MBA.
Entry required by
licensee.
EU
(76)
Exemption of nuclear material from
safeguards in accordance with Article 36 of
the U.S./IAEA Safeguards Agreement
(licensees subject to 10 CFR Part 75 only).
Entry required only
after NRC notification.
B-3
TRANS. MBR
CODE LINE
EXPLANATION
REQUIREMENT FOR
BLOCKS 26c AND 27c
EQ
(76)
Exemption of nuclear material from
safeguards in accordance with Article 37 of
the U.S./IAEA Safeguards Agreement
(licensees subject to 10 CFR Part 75 only).
Entry required only
after NRC notification.
TU
(76)
Termination of safeguards on nuclear material
in accordance with Articles 13 and 35 of the
U.S./IAEA Safeguards Agreement (licensees
subject to 10 CFR Part 75 only).
Entry required only
after NRC notification.
LA
(75)
Irretrievable and inadvertent loss of a known
quantity of nuclear material as the result of an
operational accident.
Entry required by
licensee.
GA
(75)
Nuclear material unexpectedly found to be
present in the MBA, except when detected in
the course of a physical inventory taking.
Report gains as a negative value.
Entry required by
licensee.
DI
(N/A)
The difference between the batch quantity
reported as received (always on shipper’s
data) and the quantity of the same batch as
measured by the operator of the receiving
MBA.
Make no entry.
RM
(N/A)
The quantity by which the batch mentioned in
the entry is diminished in cases of rebatching
(licensees subject to 10 CFR Part 75 only).
Licensee entry
required, if applicable.
RP
(N/A)
The quantity of material added from another
batch to the batch mentioned in the entry
(licensees subject to 10 CFR Part 75 only).
Licensee entry
required, if applicable.
B-4
TRANS. MBR
CODE LINE
EN
ED
NE
ND
DE
DN
EE
(22, 71)
EXPLANATION
Category Change—The quantity of uranium
that has changed category as a result of
blending, enrichment, depletion, or burnup.
The first letter denotes the original, the second
letter the resulting category (E=enriched,
N=natural (or normal), D=depleted uranium,
EE=change of enrichment). The material type
codes should be those for both the original
and the resulting material. Provide the weight
data for both the originating and the resulting
category.
REQUIREMENT FOR
BLOCKS 26c AND 27c
Entry required by
licensee.
Consolidate these entries into the material
balances for both categories. For any of
these changes, line pairing is required; one
line denotes the original material; the other
denotes the resulting material.
Enrichment facilities may use the 22, 71
combination to report changes in material type
associated with enrichment activities for
material types 10, 20, 81, and 89 or proceed
in accordance with U.S. Nuclear Regulatory
Commission direction.
MF
(77)
Inventory Difference (ID)—Calculate as the
difference between the book inventory and the
ending physical inventory. Reactors must not
use this code.
Entry required by
licensee.
PB
(N/A)
Beginning Physical Inventory—This should be
equal to the ending physical inventory of the
previous MBR relating to the same material.
Entry required by
licensee.
BA
(83)
The algebraic sum of the beginning physical
inventory and of the inventory changes over
the period, adjusted to take account of the
shipper-receiver differences.
Entry required by
licensee.
PE
(N/A)
The sum of all measured and derived batch
quantities of nuclear material on hand on the
date of the physical inventory taking.
Consolidate these entries.
Entry required by
licensee.
B-5
Note: A negative value
adds to the site
inventory.
TRANS. MBR
CODE LINE
RAXX
(N/A)
EXPLANATION
Applicable to licensees subject to
10 CFR Part 75 only. The quantity that must
be added to the rounded sum to make it equal
to the sum of the rounded terms. A rounding
adjustment (RA) is made to an entry in the
MBR of which the IAEA has been informed
differently through inventory change reports
(ICRs) and physical inventory lists, to bring
the MBR entry into agreement with the
corresponding figures established on the
basis of ICRs and physical inventory lists. In
the case of the book inventory and the ID or
material unaccounted for (MF), use the
following formulas, respectively:
REQUIREMENT FOR
BLOCKS 26c AND 27c
Entry by licensee
required, if applicable.
RABA = PB + ICRMBR - DI - BA,
RAMF = BA - PE - MF
where ICRMBR is the sum of the consolidated
inventory changes as reported in the MBR,
taken with the appropriate sign if they
represent decreases. All other notations are
as defined for this data element.
No RA is needed for the beginning physical
inventory.
5 XX stands for
Code the RA as RAXX, where
the code of the entry to which the RA pertains
(e.g., RALN means an RA to the consolidated
entry on the nuclear loss).
34
(30)
Receipts—Miscellaneous. Enter quantities of
material received in two-party transactions
where only receiver data or receipts of
quantities of material falling below the
reporting level are reported and now
cumulatively total 1 gram or more of special
nuclear material (SNM) or 1 kilogram or more
of source material. Examples include receipts
of material (not reported elsewhere) from
facilities that have not been assigned a
reporting identification symbol and receipts
from licensees who are not required to
document or report transactions.
B-6
Entry by licensee
required.
TRANS. MBR
CODE LINE
EXPLANATION
REQUIREMENT FOR
BLOCKS 26c AND 27c
37
Procurement by Others. Enter quantities of
material the facility purchased for its own
account from in situ material that it had been
holding or material that the facility is
processing for another licensee.
54
(51)
Shipments—Miscellaneous. Enter quantities
of material shipped in two-party transactions
for which only shipper’s data are reported or
shipments of quantities of material falling
below the reporting level are reported and
now cumulatively total 1 gram or more of SNM
or 1 kilogram or more of source material.
Examples are shipments of material (not
reported elsewhere) from facilities that have
not been assigned a reporting identification
symbol and shipments from licensees that are
not required to document or report
transactions.
Entry by licensee
required.
65
Rounding Adjustment
Entry required by
licensee.
Note: A negative value
adds to the site
inventory.
B-7
APPENDIX C
EXAMPLE DOCUMENTATION OF SHIPPER AND RECEIVER DATA
(BLOCKS 26 AND 27)
EXAMPLE DOCUMENTATION OF SHIPPER AND RECEIVER DATA
(BLOCKS 26 AND 27)
EXAMPLE 1-a—INITIAL REPORT
On March 31, 2008, shipper YYY transferred to receiver XXX four fabricated fuel elements
containing the following:
Line
1
2
3
4
FAB FUEL ELE-1
FAB FUEL ELE-2
FAB FUEL ELE-3
FAB FUEL ELE-4
Element
377,609 grams (g)
42,114 g
377,855 g
41,992 g
Isotope
18,111 g
1,344 g
18,122 g
1,340 g
EXAMPLE 1-b—RECEIVER’S REPORT
On April 1, 2008, receiver XXX acknowledged receipt of the shipment and accepted the
shipper’s weights without further measurement.
EXAMPLE 1-c—CORRECTION 1
On April 16, 2008, the shipper corrected the element weights for lines 1 and 4 to reflect the
adjusted element and isotope weights, as well as foreign obligated enriched uranium.
EXAMPLE 1-d—RECEIVER’S CORRECTION 1
On April 23, 2008, the receiver acknowledged receipt of the correction and reported the
corrections to the Nuclear Materials Management and Safeguards System.
EXAMPLE 2-m (ACTION CODE M)
On March 31, 2008, facility XXX reported onsite inventory adjustments of fission, decay, and
production that changed its inventory of enriched uranium and plutonium.
Example 2-m-a Correction (ACTION CODE M)
On March 31, 2007, facility XXX reported a correction to its onsite production of plutonium. This
change also changes the quantity of foreign obligated plutonium at the facility.
EXAMPLE 3-a—EXPORT OF A FUEL ASSEMBLY
On March 31, 2008, facility YYY reported the export of one fuel assembly to a foreign facility.
EXAMPLE 4-a—INITIAL REPORT OF AN IMPORT
On March 31, 2008, facility XXX submitted a report documenting the shipment of three fuel
assemblies from foreign facility YYY.
C-1
EXAMPLE 4-b—RECEIVER’S REPORT OF AN IMPORT
On March 31, 2008, facility XXX submitted a report documenting the receipt of three fuel
assemblies from foreign facility YYY.
EXAMPLE 5-a—INITIAL REPORT OF SHIPMENT TO BURIAL SITE
On March 31, 2008, facility XXX submitted a report documenting the shipment of uranium waste
to a burial site.
EXAMPLE 5-b—RECEIVER’S REPORT OF A SHIPMENT TO BURIAL SITE
On April 5, 2008, facility VVV submitted a report documenting the receipt of uranium waste to
the burial site.
List of Examples:
Example 1-a:
DOE/NRC Form 741—Initial report
Example 1-b:
DOE/NRC Form 741—Receiver’s report
Example 1-c:
DOE/NRC Form 741—Correction 1 (shipper adjusting lines 1 and 4 of the
initial transaction)
Example 1-d:
DOE/NRC Form 741—Correction 1 (receiver adjusting lines 1 and 4 of the
initial transaction)
Example 2-m:
DOE/NRC Form 741—Initial report (action code M)
Example 2-m-a: DOE/NRC Form 741—Correction 1 (action code M)
Example 3-a:
DOE/NRC Form 741—Initial report (export from the United States)
Example 4-a:
DOE/NRC Form 741—Initial report (shipment to the United States)
Example 4-b:
DOE/NRC Form 741—Receiver’s report (shipment to the United States)
Example 5-a:
DOE/NRC Form 741—Initial report (shipment to a burial site)
Example 5-b:
DOE/NRC Form 741—Receiver’s report (shipment to a burial site)
C-2
Page break
C-3
C-4
page break
C-5
C-6
C-7
C-8
C-9
C-10
C-11
C-12
C-13
APPENDIX D
GLOSSARY
GLOSSARY
Accountability—The determination and current record maintenance of special nuclear material
and source material quantities associated with transfers, measured discards, inventories, and
inventory differences that might result from theft, diversion, or other unidentified loss
mechanisms.
Agreement State—A State that has signed an agreement with the U.S. Nuclear Regulatory
Commission (NRC) under which the State regulates the use of byproduct, source, and small
quantities of special nuclear material in that State.
Book inventory—The algebraic sum of the most recent physical inventory of the material
balance area and of all inventory changes that have occurred since the physical inventory was
taken.
Concise note—The U.S. Department of Energy (DOE)/NRC Form 740M is used to provide
additional information on nuclear material transaction, material balance, or inventory data
supplied by facilities engaged in the import or export of nuclear materials, by facilities selected
under the provisions of the agreement between the United States and the International Atomic
Energy Agency for the application of safeguards in the United States, or by any facility that
would like to transmit any additional information on explanatory nuclear material.
DOE-owned—Nuclear material that, while used by a licensee as part of its activities, is actually
a DOE-owned asset. These materials may be bulk materials, discrete radiation sources, or
finished products. Such materials may represent a lease or loan arrangement with the DOE.
Typically, the owner code G on shipping information (i.e., DOE/NRC Form 741) and inventory
documentation (i.e., DOE/NRC Forms 742 and 742C) identifies DOE-owned materials. One
way a licensee can determine whether nuclear material in its possession is DOE-owned is to
review the licensee’s DOE/NRC Form 741 documentation listing the original receipt of the
material. If such material is DOE-owned, the owner code G will appear on the licensee’s portion
of the form.
EURATOM (European Atomic Energy Commission)—As of January 2019, an organization
consisting of the member countries Austria, Belgium, Bulgaria, Croatia, Cyprus, the Czech
Republic, Denmark, Estonia, Finland, France, Germany, Greece, Hungary, Ireland, Italy, Latvia,
Lithuania, Luxembourg, Malta, the Netherlands, Poland, Portugal, Romania, Slovakia, Slovenia,
Spain, Sweden, and the United Kingdom.
Foreign obligated nuclear material—Source material or special nuclear material that is
subject to the terms and conditions of a peaceful use agreement, in accordance with
Section 123 of the Atomic Energy Act of 1954, into which the U.S. Government has entered with
another government or group of governments.
Highly enriched uranium—Uranium enriched to 20 percent or greater in the isotope
uranium-235.
Holding account—Typically identified by four-character reporting identification symbols (RISs)
ending in the letter H assigned by the NRC. These accounts usually acquired inventory from
the shipment of licensed material from the primary RIS in use by the licensee. Typically, a small
D-1
number of licensees have used these accounts for nuclear materials not expected to be
immediately processed, reprocessed, or disposed. However, the licensed nuclear materials in
holding accounts are still in the licensee’s possession and must be included in inventories
reported to the Nuclear Materials Management and Safeguards System.
Inventory difference (ID)—The arithmetic difference between a book inventory and the
corresponding physical inventory that closes the material balance period. It is calculated by
subtracting the ending inventory (EI) and removals from inventory (R) from the beginning
inventory (BI) and additions to inventory (A) during the period between physical inventories.
Mathematically, ID can be expressed in the following way:
ID = (BI + A - R) - EI
where (BI + A - R) is the book inventory.
Inventory reconciliation—The adjustment of the book record quantity of elements and fissile
isotope weights to reflect the results of a physical inventory taking. In a broad sense, inventory
reconciliation involves the activities of calculating (1) the inventory difference (ID) for the
material balance period in question, (2) the uncertainty value associated with the ID, (3) the
active inventory for the period, and (4) any bias adjustment or prior period adjustment, or both,
associated with the ID value.
Low-enriched uranium—Uranium enriched below 20 percent in the isotope uranium-235.
Material balance period—The timespan to which a material or physical inventory pertains.
Nuclear Materials Management and Safeguards System—The national database and
information system for select nuclear materials controlled by the U.S. Government. This system
was created to support national safeguards and management objectives in domestic and
international programs. The system stores data on nuclear material transactions and
inventories and produces a wide range of printed reports for use by the DOE and the NRC and
their licensees. The system is used to satisfy the nuclear materials information requirements of
agreements between the United States and foreign entities. In addition, the system provides
the reporting interface between facilities selected under the provisions of the U.S./International
Atomic Energy Agency Safeguards Agreement.
Nuclear material outside facilities—The nuclear material that is not in a facility and that is
customarily used in amounts of 1 effective kilogram or less.
Physical inventory—A physical determination of the quantity of nuclear material on hand at a
given time. The methods of physical inventory and the associated measurements vary,
depending on the material to be inventoried and the process involved. A book inventory
between physical inventory takings can be calculated based on the physical inventory quantity
from the prior period together with all subsequent inventory changes associated with the
determination of that book inventory. The primary purpose of a physical inventory is to confirm
the absence of (or to detect) a loss, theft, or diversion of special nuclear material.
Reporting period—A period inclusive of defined dates (e.g., October 1, 2005, through
September 30, 2006). Each reporting period must begin the day after the previous reporting
period ended.
D-2
Reporting identification symbol (RIS)—A unique combination of three or four characters that
the DOE or the NRC assigns to each reporting organization for the purpose of identification in
the Nuclear Materials Management and Safeguards System database.
Shipper-receiver difference (SRD)—The weight difference for a shipment between the shipper
and receiver values, based on measurements.
Source material—Uranium or thorium, or any combination thereof, in any physical or chemical
form, or ores that contain by weight 0.05 percent or more of uranium, thorium, or any
combination thereof. Source material does not include special nuclear material.
Special nuclear material (SNM)—Plutonium, uranium-233, and uranium enriched in the
isotope 233 or 235.
D-3
APPENDIX E
U.S. DEPARTMENT OF ENERGY/U.S. NUCLEAR
REGULATORY COMMISSION FORM 741, “NUCLEAR MATERIAL
TRANSACTION REPORT” (BLANK)
AND
U.S. DEPARTMENT OF ENERGY/U.S. NUCLEAR
REGULATORY COMMISSION FORM 740M, “CONCISE NOTE”
(BLANK),
E-1
E-2
APPENDIX F
SUPPLEMENTAL INSTRUCTIONS FOR COMPLETING
BLOCKS 17, 18, 19, 20, AND 21 ON U.S. DEPARTMENT OF
ENERGY/U.S. NUCLEAR REGULATORY C OMMISSION FORM 741
SUPPLEMENTAL INSTRUCTIONS FOR COMPLETING
BLOCKS 17, 18, 19, 20, AND 21 ON U.S. DEPARTMENT OF
ENERGY/U.S. NUCLEAR REGULATORY COMMISSION FORM 741
F.1 Introduction
Licensees must follow special procedures to implement some of the reporting requirements of
the U.S. Bilateral Agreements for Peaceful Nuclear Cooperation. These Agreements for
Cooperation are one means to satisfy Section 123 of the Atomic Energy Act of 1954, as
amended, and allow the U.S. nuclear industry to trade with foreign countries and entities. The
agreements require that the United States track and report foreign obligated nuclear materials
and nuclear material produced from foreign obligated material from these countries and entities.
A foreign obligation is a commitment by one government to another to treat nuclear materials,
nonnuclear materials, and equipment and components in a manner consistent with the
agreement signed by the two governments.
In addition to these Agreements for Cooperation, other international agreements require that the
United States track and report foreign obligated nuclear materials and nuclear material
produced from foreign obligated material from foreign suppliers. In accordance with the
U.S./Russian agreement concerning the disposition of highly enriched uranium extracted from
nuclear weapons, the United States must track and report to Russia the imports, exports, and
use of former Soviet Union downblended highly enriched uranium. Under the Washington
Agreement, the United States must track and report nuclear material produced by URENCO
enrichment technology. The technology and material produced are to be used for peaceful
purposes.
The exchange of foreign obligations between facilities can occur only between like materials
(i.e., material type (MT) 10, 50, 70, 81, E-1, E-2, E-3, or E-4) within the following constraints:
•
Foreign obligations on like-for-like and fungible material reported in inventory for a
reporting identification symbol (RIS) code may be exchanged on site or with other
domestic RIS codes consistent with the operator’s commercial practices. No exchange
of material from one MT to another is allowed unless the U.S. Government provides
written prior approval. For example, downblending of E-3 enriched uranium that results
in a lower category (i.e., E-3 of foreign obligated material to become E-1 material)
requires written approval from the U.S. Government. For this reason, facilities should
notify the Nuclear Materials Management and Safeguards System (NMMSS) whenever
they are reporting a foreign obligation exchange in which the material type code of the
exchange does not match the calculated material type code (i.e., E-1 foreign obligated
material becomes E-2 foreign obligated material) because of rounding adjustments
made for NMMSS reporting (i.e., the calculated enrichment changes from less than
5 percent to greater than 5 percent because of rounding).
•
The foreign obligated material must be exchanged for similar material unless the
U.S. Government provides written prior approval. For example, irradiated material is not
eligible for foreign obligation exchanges or swaps since it is not subject to fungibility, or
like-for-like, principles.
F-1
•
Foreign obligation exchanges involving a U.S. Nuclear Regulatory Commission (NRC)
licensee and a U.S. Department of Energy (DOE) entity require written approval from
both agencies before the exchange.
•
Foreign obligation exchanges between two parties must be for the same material
quantities. Additionally, the obligations exchanged must match (i.e., the obligation
“shipped or removed” by one participant is “received or added” by the second party to
the transaction).
Commercial practices allow a facility to conduct a foreign obligations exchange to meet a
contractual requirement. Foreign obligation exchanges are not meant to circumvent the United
States’ international agreements for peaceful use and nuclear cooperation with trading partners.
Foreign obligation swapping should not be conducted for the purposes of removing foreign
obligations from natural progression in the fuel cycle (e.g., swapping obligations to waste to
create unobligated nonwaste material). Foreign obligations assigned to process-generated
waste should follow the proportionality principle.
Facilities should also use special care to avoid a negative foreign obligations balance. In
accordance with accounting principles for foreign obligations, NMMSS is not able to reconcile a
negative foreign obligation balance. Reporting a negative foreign obligations balance at the end
of a material balance period will result in the licensee’s inability to reconcile its annual inventory
with NMMSS.
The NMMSS staff can provide reports to facilities that calculate a foreign obligations balance for
an RIS code based on the balance of transactions reported since the last reconciliation date.
The NMMSS-generated report may indicate a negative foreign obligations balance for a facility
on any given reporting date because of the time delay in reporting shipments versus receipts;
however, NMMSS is not able to reconcile a facility for a material balance period until the foreign
obligations at the facility are balanced.
F.2 Imports
For U.S. facilities importing nuclear material with foreign obligations, the appropriate
Government agency will supply the relevant foreign obligation information. The notification will
provide the information necessary to complete blocks 17–21, if applicable.
For imports, the foreign obligation information can be (1) the country or entity from which the
nuclear material was shipped, (2) the country or entity attaching “third-party obligations,” or (3) a
combination of both. In most cases, for imports from a country that has made the entire
shipment subject to the agreement, the total import quantity will be foreign obligated. If only a
portion of the shipment is subject to an agreement (third-party obligation), the documentation
will clearly specify that quantity.
For the completion of blocks 17–21, the Government notification will supply (1) the country or
entity of foreign obligation, (2) the MT, and (3) the amount that is foreign obligated. (See
Table F-1 for country and entity codes. See Table F-2 for reportable foreign obligated MTs and
quantities.)
F-2
Foreign
Obligation Code
31
32
33
34
35
36
37
38
39
40
41
42
43
44
65
66
67
68
69
70
71
72
73
74
75
76
77
81
82
83
84
85
86
87
88
90
Foreign Obligation Entity, as of December 1, 2018
Australia
Canada
European Atomic Energy Commission (EURATOM)*
Japan
People’s Republic of China
Russia
Switzerland
Argentina
Brazil
Chile
India
Republic of Korea
Taiwan
Vietnam, Socialist Republic of
Japan/Russia
EURATOM/Russia
Australia/Japan/Russia
Canada/Japan/Russia
EURATOM/Japan/Russia
LES Centrifuge Enrichment/Japan
Australia/Japan/LES Centrifuge Enrichment
Canada/Japan/LES Centrifuge Enrichment
EURATOM/Japan/LES Centrifuge Enrichment
Australia/EURATOM/Japan/LES Centrifuge Enrichment
Canada/EURATOM/Japan/LES Centrifuge Enrichment
China/Japan/LES Centrifuge Enrichment
Australia/Canada/EURATOM/Japan/LES Centrifuge Enrichment
Australia/Japan
Canada/Japan
EURATOM/Japan
Australia/EURATOM/Japan
Canada/EURATOM/Japan
China/Japan
Australia/Canada
Australia/Canada/EURATOM
LES Centrifuge Enrichment
F-3
Foreign
Obligation Code
91
92
93
94
95
96
97
98
WR
*
Foreign Obligation Entity, as of December 1, 2018 (cont.)
Australia/EURATOM
Canada/EURATOM
LES Centrifuge Enrichment/Australia
LES Centrifuge Enrichment/Canada
LES Centrifuge Enrichment/EURATOM
Australia/Russia
Canada/Russia
Australian/Canadian/LES Centrifuge Enrichment
Former Soviet Union Weapons Material
EURATOM comprises 28 member states: Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Republic,
Denmark, Estonia, Finland, France, Germany, Greece, Hungary, Ireland, Italy, Latvia, Lithuania,
Luxembourg, Malta, the Netherlands, Poland, Portugal, Romania, Slovakia, Slovenia, Spain, Sweden, and
the United Kingdom.
Note: For any other foreign obligation codes, contact the NMMSS staff for further instructions.
Table F.2 Reportable MTs and Source and Special Nuclear Material
Type
Domestic Code
IAEA Code
Normal uranium
MT 81
N
Depleted uranium
MT 10
D
Thorium
MT 88
T
Plutonium
MT 50
P
Enriched uranium
MT 20
EG
Uranium-233
MT 70
EK
Licensees should complete the foreign obligation information as follows:
Block 17: (FOREIGN OBLIGATION) LINE NUMBER—The shipper will enter a
sequential number beginning with the number 1 for each foreign obligated country or
material. If there is more than one separate foreign obligation or more than one foreign
obligated MT, enter the appropriate numbers in the subsequent lines.
Block 18: COUNTRY OF OBLIGATION—For each line, enter the foreign obligation
code in Table F-1 that represents the country or entity of foreign obligation.
Block 19: MATERIAL TYPE—For each line, enter the code in Table F-2 that represents
the MT for the foreign obligated nuclear material. For imports and exports of foreign
obligated nuclear material, report the MT code using the appropriate International Atomic
Energy Agency (IAEA) code obligated.
F-4
Block 20: OBLIGATED ELEMENT WEIGHT—For each line, enter the weight that is
foreign obligated in the reportable quantity specified in Table F-2. Enter positive or
negative values appropriately to account for material addition or removal, respectively.
Block 21: OBLIGATED ISOTOPE WEIGHT (FOR ENRICHED URANIUM ONLY)—For
each line of enriched uranium, enter the foreign obligated isotope weight in grams.
(Foreign obligated uranium-235 is restricted to uranium enriched to 5 percent or less,
unless the U.S. Government authorizes or approves higher enrichment.) Enter positive
or negative values to appropriately account for material addition or removal, respectively.
F.3 Domestic Transfers, Internal Transactions, and Exports
For U.S. facilities shipping or exporting material with foreign obligations, or for the reporting of
onsite gains and losses, state the foreign obligations on the material as such in blocks 17–21:
•
For domestic transfers, fill out blocks 17–21 as for imports (Section F-2 above).
However, the foreign obligation information will not be supplied by a government
notification. The U.S. shipper will assign the appropriate foreign obligations on the
material, if any, and complete the line number, country/entity of foreign obligation, MT,
and foreign obligated weight, if applicable. The U.S. receiver will complete the matching
obligation information as assigned by the shipper.
•
For internal transactions (e.g., burnup, decay, production, measured discards, accidental
losses or gains, category changes, fission and transmutation, inventory differences),
enter the line number, country/entity of foreign obligation, MT, and foreign obligated
weights, if applicable, for the material.
The domestic facility must obtain the information necessary to complete DOE/NRC Form 741,
“Nuclear Material Transaction Report,” for the foreign facility for all imports of SNM and source
material. In the case of exports, the shipper initiates a DOE/NRC Form 741 report, and NMMSS
will generate a DOE/NRC Form 741 report using shipper information. However, if a significant
shipper-receiver difference is identified between the U.S. shipper and foreign receiver (as
defined in Title 10 of the Code of Federal Regulations (10 CFR) 74.31, “Nuclear Material Control
and Accounting for Special Nuclear Material of Low Strategic Significance,” 10 CFR 74.43,
“Internal Controls, Inventory, and Records,” or 10 CFR 74.59, “Quality Assurance and
Accounting Requirements,” for SNM), or if there is an indication of loss, theft, or diversion of
quantities of source material, as delineated in 10 CFR 40.64(c)(1), the shipper is required to
document the foreign party’s values in a DOE/NRC Form 741 report to NMMSS. Submittal for a
foreign facility does not indicate a responsibility for the other facility or its shipment and receipt
of materials.
Several facilities have agreed to receive and use various foreign obligated items
(e.g., equipment, nonnuclear material, and technology). When the foreign obligated item is
used with nuclear material, the facility is normally responsible for adding the foreign obligation
that is assigned to the item to the nuclear material used in or processed through the use of the
foreign obligated item. The addition of the item’s foreign obligation to the nuclear material must
be reported to NMMSS. The facility’s timing and process for reporting an item’s foreign
obligations to the nuclear material used in or produced through use of the foreign obligated item
are typically reflected in documented correspondence between the NRC and the facility.
F-5
Licensees with foreign obligated items should contact the NRC or DOE with questions related to
foreign obligated items used at their sites.
F-6
APPENDIX G
SUPPLEMENTAL INSTRUCTIONS FOR POSSESSORS OF NUCLEAR
MATERIAL OUTSIDE FACILITIES REPORTING PURSUANT TO THE
MODIFIED SMALL QUANTITIES PROTOCOL
SUPPLEMENTAL INSTRUCTIONS FOR POSSESSORS OF NUCLEAR
MATERIAL OUTSIDE FACILITIES REPORTING PURSUANT TO THE
MODIFIED SMALL QUANTITIES PROTOCOL
G.1 Introduction
Information Circular INFCIRC/366, “Agreement of 18 February 1989 between the United States
of America and the International Atomic Energy Agency for the Application of Safeguards in
Connection with the Treaty for the Prohibition of Nuclear Weapons in Latin America”
(U.S./International Atomic Energy Agency (IAEA) Caribbean Territories Safeguards Agreement),
is an agreement between the U.S. Government and the IAEA for the application of safeguards in
connection with the Treaty for the Prohibition of Nuclear Weapons in Latin America (Tlatelolco
Treaty). Under Article 60 of INFCIRC/366, the United States is obligated to submit to the IAEA
an initial inventory report on all nuclear material in its Caribbean territories. Nuclear material, by
IAEA definition, includes all uranium, plutonium, and thorium holdings in the relevant territories in
any chemical or physical form, or combination thereof. U.S. Caribbean territories include Puerto
Rico and the U.S. Virgin Islands, as defined in Title 10 of the Code of Federal Regulations
(10 CFR) 75.4, “Definitions.” The United States fulfills this reporting commitment via information
collected in concert with the regulations in 10 CFR Part 75, “Safeguards on Nuclear Material—
Implementation of Safeguards Agreements between the United States and the International
Atomic Energy Agency.” This appendix provides instruction for licensees reporting inventory and
information under 10 CFR 75.13, “Communication of Information to the International Atomic
Energy Agency (IAEA),” 10 CFR 75.32, “Initial Inventory Report,” 10 CFR 75.34, “Inventory
Change Reports,” and 10 CFR 75.35, “Material Status Reports,” under INFCIRC/366.
G.2 General Instructions
The instructions in this appendix apply only to possessors of nuclear material outside facilities
(possessors), as defined in 10 CFR 75.4. Nuclear material outside facilities means nuclear
material that is not in a facility and that is customarily used in amounts of 1 effective kilogram or
less. Possessors are required to complete U.S. Department of Energy/U.S. Nuclear Regulatory
Commission (DOE/NRC) Form 741, “Nuclear Material Transaction Report,” when they ship,
receive, or adjust their physical inventory of source or special nuclear material (SNM).
Possessors may need to provide additional information for their inventory adjustments. The
additional information is reported using DOE/NRC Form 740M, “Concise Note.” Unless
otherwise specified by license conditions, possessors shall dispatch such reports no later than
the close of business the next working day for shipments and within 10 days after receipt of
material, in accordance with the reporting requirements in 10 CFR 40.64, “Reports,”
10 CFR 74.15, “Nuclear Material Transaction Reports,” and 10 CFR 75.34. The reports must be
filed as specified in the facility attachment for possessors of nuclear material outside facilities,
which the NRC will provide to applicable licensees required to report in accordance with
10 CFR Part 75.
Possessors are required to complete both the shipper’s data and receiver’s data blocks of
DOE/NRC Form 741 for imports received from outside the U.S. Caribbean territories.
Possessors are also required to report to the Nuclear Material Management and Safeguards
System (NMMSS) all receipts, transfers, and inventory adjustments of DOE-owned, -loaned,
or -leased material in their possession. Reports to NMMSS for all DOE-owned, -loaned,
G-1
or -leased material must follow the DOE reporting requirements specified in DOE Order 470.4B,
“Safeguards and Security Program,” and DOE Order 474.2, “Nuclear Material Control and
Accountability.”
Under 10 CFR 75.12, “Nuclear Material Outside Facilities,” possessors shall provide their name
and mailing address, physical location of the nuclear material, use of the nuclear material, and
nuclear material accounting procedures, including organizational responsibilities for accountancy
and control, on DOE/NRC Form 740M. Possessors will also submit this form to define
transactions greater than 0.0 kilogram but less than 0.5 kilogram of source material and greater
than 0.0 gram but less than 0.5 gram of SNM, which are rounded to a zero value when reported
by NMMSS.
G.2.1 Instructions for Completing DOE/NRC Form 741 Reports
Licensees should complete DOE/NRC Form 741 in accordance with the following instructions:
1.
SHIPPER’S RIS—Enter the shipper’s RIS.
2.
RECEIVER’S RIS—Enter the receiver’s RIS.
3.
TRANSACTION NUMBER—Enter a number for the same shipper-receiver combination.
Numbers in the series must be consecutive (i.e., no skipped numbers).
4.
CORRECTION NUMBER—This block is used to identify a transaction that is an
adjustment to a previously submitted DOE/NRC Form 741. Leave this block blank for an
original submission of a DOE/NRC Form 741. Use consecutive numbers, starting with 1,
for adjustments. For corrections requiring changes only to NMMSS data (and not to the
other party’s data), use letters (A, B, etc.) instead of numbers. See Chapter 4 of this
NUREG.
5.
PROCESS CODE—Enter process code A, C, or D.
•
“A” refers to the initial entry of data.
•
“C” refers to the replacement of data. With the concurrence of the other party to
the transaction, up to an entire dataset may be replaced at any time before the
close of the NMMSS processing period in which the initial submittal was made.
•
“D” refers to the deletion of data. An entire dataset may be deleted at any time
before the close of the NMMSS processing period in which the initial submittal
was made, with the concurrence of the other party to the transaction.
6.
ACTION CODE—Use this block to identify the type of transaction being reported on
DOE/NRC Form 741, as specified in 6a and 6b, below.
6a.
SHIPPER—Enter one of the following action codes:
A
The shipper is reporting a transaction that has taken place between the stated
parties.
G-2
6b.
C
The shipper is adjusting the initial DOE/NRC Form 741 for the shipment or a
previous adjustment to the same initial report, acknowledging an adjustment
originated by the receiver, or accepting and agreeing with the receiver’s
adjustment to DOE/NRC Form 741. See Chapter 4 of this NUREG.
M
The shipper is reporting a one-party transaction or an adjustment to a one-party
transaction (e.g., an onsite gain or loss of material as the result of burnup,
production, measured discards, category changes). This is also known as an
onsite adjustment. DOE/NRC Form 742, “Material Balance Report,” shows such
inventory changes. See Chapter 3 of this NUREG.
R
The shipper is identifying a one-party transaction to delete a foreign obligated
amount of material from the facility’s inventory. This code is applicable only to
former Soviet Union weapons material (WR) after the fresh low-enriched uranium
(LEU) is irradiated in a reactor core. Use of this code implies a removal of WR
from LEU; therefore, the shipper shall enter the value as a positive number.
X
The shipper is reporting a transfer of foreign obligation that involves no physical
movement of material. No foreign obligation transfers of WR are permitted. No
shipper (block 26) or receiver (block 27) detail data need to be entered.
RECEIVER—Enter one of the following action codes:
B
The receiver is reporting receipt of a shipment and acceptance of the weights the
shipper reported on DOE/NRC Form 741 as final receipt values.
E
The receiver is reporting receipt of a shipment, that independent measurements
were made, and that the values resulting from the independent measurements are
being reported.
D
The receiver is adjusting the initial DOE/NRC Form 741 that documented the
receipt of a shipment or a previous adjustment to the same initial report,
acknowledging an adjustment originated by the shipper, or accepting and
agreeing with the shipper’s adjustment to DOE/NRC Form 741. See Chapter 4 of
this NUREG.
M
The receiver is reporting a one-party transaction or an adjustment to a one-party
transaction (e.g., an onsite gain or loss of material as the result of burnup,
production, measured discards). This is also known as an onsite adjustment.
DOE/NRC Form 742 shows such inventory changes. See Chapter 3 of this
NUREG.
N
The receiver is reporting physical receipt of a shipment but will delay the quantity
determinations for the shipment of material for more than 10 days but no more
than 60 days for source and LEU, or no more than 45 days for highly enriched
uranium. When the determinations are completed, the receiver will prepare a
DOE/NRC Form 741 with a B or E action code to report the receiver’s quantity
determinations. Use of this code (N) requires no entry of detailed data (block 27)
by the receiver.
G-3
Y
The receiver is reporting an acceptance of transfer of foreign obligation that
involves no physical movement of material. Do not enter shipper (block 26) or
receiver (block 27) detailed data.
7.
DOCUMENTATION—Leave blank.
8.
SHIPPER—Leave blank.
9.
RECEIVER—Leave blank.
10.
NUMBER OF DATA LINES—After completing block 26 (SHIPPER’S DATA) or block 27
(RECEIVER’S DATA), enter the total number of detail lines in block 26 or 27. The
shipper and receiver must report the same number of entries, and the material types
must agree line for line.
11.
NATURE OF TRANSACTION—Leave blank.
12.
SHIPPED FOR ACCOUNT OF—Leave blank.
13.
SHIPPED TO ACCOUNT OF—Leave blank.
14.
TRANSFER AUTHORITY—Leave blank.
15.
EXPORT OR IMPORT TRANSFERS—For all exports to or imports from countries outside
of the United States and its Caribbean territories, enter the NRC export or import license
number under which SNM or source material is being transferred. If the NRC general
license authorizes transfers, enter GEN-LIC. In some cases, the transfer may be exempt
from licensing, such as exports of IAEA safeguards samples; in that case, enter
LIC-EXEMPT. If several batches authorized by separate NRC import or export licenses
are combined into one shipment, complete a separate DOE/NRC Form 741 for the
portion for each NRC import or export license.
16.
MATERIAL TYPE AND DESCRIPTION—Leave blank.
17.
(FOREIGN OBLIGATION) LINE NUMBER—Enter a sequential line number beginning
with the number 1.
18.
COUNTRY OF OBLIGATION—Enter the two-character country or entity designation from
Table 1 in Appendix F to this NUREG for the line numbers entered in block 17. See
Appendix F for further instructions.
19.
MATERIAL TYPE—Enter the material type to which the foreign obligation is attached.
Refer to Table 2 in Appendix F to this NUREG. The only material types (see block 26g)
to be reported are 10, 20, 50, 70, 81, and 88.
20.
OBLIGATED ELEMENT WEIGHT—Enter the weight of the foreign obligated amount of
the element for material types 10, 50, 81, or 88 and the element weight associated with
the foreign obligated enriched uranium. See Appendix F for further instructions. For
onsite inventory adjustments or corrections, enter positive or negative values to
appropriately account for material addition or removal, respectively. Report a positive
weight on reports with an action code of A, B, E, N, R, X, or Y. All others can be reported
G-4
with a positive or negative weight. The sum of foreign obligated element weight for a
material type cannot exceed the sum of the element weight value listed in the detail lines
(see blocks 26n and 27n).
21.
OBLIGATED ISOTOPE WEIGHT—FOR ENRICHED URANIUM ONLY—Enter the weight
of the foreign obligated amount of the isotope uranium (U)-233 or U-235. For onsite
inventory adjustments or corrections, enter positive or negative values to appropriately
account for material addition or removal, respectively. Report a positive weight on
reports with an action code of A, B, E, N, R, X, or Y. All others can be reported with a
positive or negative weight. The sum of foreign obligated isotope weight for a material
type cannot exceed the sum of the isotope weight values listed in the detail lines (see
block 26q or 27q).1
22.
ACTION DATE—Follow the instructions below for blocks 22a through 22e.
22a.
SHIPMENT (entry required by shipper)—Enter the date the nuclear material is shipped.
22b.
SHIPPER’S CORRECTION (entry required by shipper)—If the DOE/NRC Form 741 is an
acknowledgment of or a correction to a previously submitted DOE/NRC Form 741, enter
the date the correction is recorded or the acknowledgment is made, as appropriate.
However, the date of an acknowledgment must not precede the action date listed on the
receiver’s correction. Note that if a date preceding the current unreconciled period is
used, the effect of the correction will be reflected in the current period, not the previous
period, or periods, covered by postdated documents.
22c.
RECEIPT (entry required by receiver)—Enter the date the nuclear material is received.
22d.
RECEIVER’S MEASUREMENT (entry required by receiver)—This entry is required only if
the receiver’s action code is E. Enter the date the nuclear material is measured by the
receiver.
22e.
RECEIVER’S CORRECTION (entry required by receiver)—If the document is an
acknowledgment or a correction to a previously issued transaction report, enter the date
the correction is recorded or the acknowledgment is made, as appropriate. However, the
date of an acknowledgment must not precede the action date listed on the receiver’s
correction. Note that if a date preceding the current unreconciled period is used, the
effect of the correction will be reflected in the current period, not the previous period, or
periods, covered by postdated documents.
Note that in the case of all imports (and for some exports; see Section 1.3 of this
NUREG), licensees must complete a separate DOE/NRC Form 741 to document the
foreign party action, including action dates in blocks 22a and 22c, as applicable.
23a.
MISCELLANEOUS—Leave blank.
23b.
CONCISE NOTE ATTACHED—Leave blank.
1
Note that for enriched uranium, the foreign obligation is assigned to the U-233 and U-235 isotopes. Report
the quantity of uranium element that contains the foreign obligated U-233 and U-235 in block 20.
G-5
23c.
UK REPORTABLE—Facilities reporting material transfers involving facilities in the United
Kingdom must indicate in this block (23c) whether the shipment is for peaceful nuclear
activities (reportable to the IAEA) or for nonpeaceful nuclear activities (not reportable to
the IAEA). Insert “R” to indicate that the transfer should be reported to the IAEA or “N” to
indicate that the transfer should not be reported to the IAEA.
Note that typically all licensee shipments to and from the United Kingdom are reportable.
24.
TOTAL GROSS WEIGHT—Enter the total gross weight of the shipment rounded to the
nearest kilogram. An approximate or estimated gross weight rounded to the nearest
kilogram is acceptable. Make no entry for M action code transactions, receipts, foreign
obligation transfers, and correction documents.
25.
TOTAL VOLUME (WASTE TRANSFERS ONLY)—For transfers of nuclear material to
nuclear waste sites (i.e., receiver RIS begins with the letter V), enter the volume of the
material to be buried, stated in cubic feet rounded to the nearest cubic foot. An entry in
block 25 is not required for transfers to nuclear laundry services.
26.
SHIPPER’S DATA—Enter the shipper’s data in block 26. Possessors of nuclear material
outside facilities must provide an entry in this block even when documenting receipt of
material in the RECEIVER’S DATA (field 27). Information in this block is needed to
facilitate a match between shipper and receiver reporting to NMMSS. Instructions for
completing this block are provided in blocks 26a through 26s.
Enter shipper and receiver measurement data on DOE/NRC Form 741 for each batch of
material. A batch is a portion of nuclear material that is handled as a unit for accounting
purposes at a possessor’s location and whose composition and quantity are defined by a
single set of specifications or measurements. The batch may be in bulk form or
contained in a number of separate items. Otherwise, material being transferred may be
listed on one line of DOE/NRC Form 741 if the material is all of the same material type,
composition, ownership, and weight percent of isotope (except as noted in the next
paragraph). Material differing in any of these data elements must be listed on separate
lines.
Two or more lines may be necessary to describe a single batch. If a batch consists of
several material types, several consecutive lines should be used to describe the batch.
The batch name should be repeated on all lines used to describe a single batch. The
number of items is also repeated in block 26e on all lines with the same batch name.
26a.
BACK-REFERENCE NUMBER—Enter the appropriate back-reference number
adjustments to previously completed DOE/NRC Form 741 documents.
Licensees must enter the back-reference numbers for action codes C and D and for
action code M when reporting adjustments. Licensees must report both the
back-reference change digit and the back-reference line number.
The back-reference change digit represents the change digit of the document being
corrected for a nullifying entry and the change digit of the document now being completed
for a correcting entry. For example, if the DOE/NRC Form 741 being corrected is the
original, or if the line being entered represents an addition only, enter zero.
G-6
The back-reference line number represents the line number of the line being corrected for
a nullifying entry and the line number of the corresponding nullifying line for a correction
entry. If the line being entered represents an addition only or represents a net change,
enter zeros.
26b.
LINE NUMBER—In providing detailed measurement data, enter a line number beginning
with 1 for the first line of detailed shipper’s data and increase the line number by one for
each additional line of detailed shipper’s data entered on the form. When two or more
lines of measurement data refer to a single batch, repeat the unique batch name for each
line of the batch data.
26c.
TYPE OF INVENTORY CHANGE—Report all changes to inventory that meet the
reporting criteria on DOE/NRC Form 741.
Appendix B to this NUREG explains the inventory change type codes and indicates
whether they are to be entered in block 26c. Enrichment facilities may use the two-digit
numerical value for indicating a change type or proceed as directed by the NRC. When
shipping to a V RIS, the shipper must use inventory change type code 74. A measured
discard can be documented as an onsite transfer, a discard to a pond/lagoon, or a
transfer to a holding area. Discharges to a lagoon and movement to holding areas are
documented with one of the following suffixes attached to the RIS:
•
Use L when material is discarded into a pond or lagoon.
•
Use H when material is transferred to a holding area (see the term “holding
account” in the glossary in Appendix D to this NUREG) at the facility pending
possible shipment off site for disposal.
Note that the use of a holding area or lagoon account requires the establishment of the
account RIS code and prior approval by the NRC.
The shipper should enter its RIS in block 1 (SHIPPER’S RIS) and the same RIS in
block 2 (RECEIVER’S RIS), but append an L or H to the receiver’s RIS as appropriate.
For example, if a facility with RIS XYZ discards material to a lagoon, the transaction on
DOE/NRC Form 741 would be from XYZ to XYZL.
26d.
BATCH NAME—Enter a name or number, or a combination of both, that identifies the
batch of material being shipped (i.e., serial number of device). The shipper or receiver
shall enter a name that identifies a unique portion of nuclear material handled as a unit
for accounting purposes. The batch name must exclude special characters (e.g., #, :, /)
and must not exceed 16 characters.
In the case of an import, the receiver must document the shipper’s activity and use the
same batch name that the shipper used.
When two or more lines of measurement data refer to a single batch, repeat the unique
batch name for each line of the batch data.
26e.
NUMBER OF ITEMS—Enter the number of similar items of which the line entry consists
(e.g., cylinders, packs, drums, bird cages, bottles, tank vessels). In the case of a transfer
of bulk material, enter the number 1. Leave blank if an M action code is used.
G-7
26f.
PROJECT NUMBER—If reporting DOE-owned material, and a project number is
applicable, provide the project number in this field. Otherwise, leave blank.
26g.
MATERIAL TYPE—Enter the appropriate SNM or source material type code from the list
below.
26h.
Domestic Transfers
within Caribbean
Territories
Imports
into/Exports out of
the Caribbean
Territories
10
D
Depleted uranium
Kilogram
20
50
70
81
832
88
EG
P
EK
N
Pu
T
Gram
Gram
Gram
Kilogram
1/10 Gram
Kilogram
89
No code
Enriched uranium
Plutonium
U-233
Normal uranium
Pu-238
Thorium
Uranium in
cascade
Description
Reporting Units
Gram
COMPOSITION/FACILITY CODE—Enter the appropriate code from the list provided in
the facility attachment for possessors of nuclear material outside facilities.
Note: In accordance with 10 CFR 75.11, “Locations,” the licensee should communicate
to the NRC any change in operations or processes that would result in any changes in,
additions to, or deletions from the list.
26i.
OWNER CODE—This code identifies the ownership of the material at the time it was in
the shipper’s possession. Enter the appropriate code from the following:
G
J
DOE-owned
Not DOE-owned
Refer to the glossary in Appendix D to this NUREG for a description of DOE-owned
material.
26j.
KEY MEASUREMENT POINT (KMP)—Enter the appropriate code from the list provided
in the locations outside facility attachment.
26k.
MEASUREMENT IDENTIFICATION (see 26j)—Enter the appropriate code from the list
provided in the locations outside facility attachment.
26k1. BASIS—Enter the appropriate code from the list provided in the locations outside facility
attachment.
____________________
2
Report plutonium (Pu)-238 as material type 83 if the contained Pu-238 is greater than 10 percent of total
plutonium by weight; otherwise, report as plutonium (material type 50).
G-8
26k2. OTHER MEASUREMENT POINT (OMP)—Enter the appropriate code from the list
provided in the locations outside facility attachment.
26k3. MEASUREMENT METHOD—Enter the appropriate code from the list provided in the
locations outside facility attachment.
26l.
GROSS WEIGHT—Leave blank.
26m.
NET WEIGHT—Leave blank.
26n.
ELEMENT WEIGHT—Enter the weight of the contained SNM or source material rounded
to the quantities reported below.
Material
Reporting Units on Form 741
Plutonium (material type 50)
or uranium enriched in U-235
or U-233
Nearest whole gram
Pu-238 (material type 83)
Nearest 1/10 gram
Source material
Nearest kilogram
If the quantity to be entered is equal to or greater than 0.5 of the reporting unit, round the
quantity up to the next whole reporting unit. If the quantity to be entered is less than 0.5
of the reporting unit, round the quantity down to the next whole reporting unit.
Possessors with greater than 0.0 kilogram but less than 0.5 kilogram of source material
or greater than 0.0 gram but less than 0.5 gram of SNM, either of which are rounded to a
zero value when reported, shall provide a DOE/NRC Form 740M that includes the actual
weights.
26o.
ELEMENT LIMIT OF ERROR—Leave blank.
26p.
WEIGHT % ISOTOPE—Enter the weight percent of the isotope U-235 contained in either
enriched uranium or depleted uranium. Make no entry for U-235 in natural uranium. If
plutonium, enter the weight percent of the isotope Pu-240. If Pu-238 (material type 83),
enter the weight percent of the isotope Pu-238. Report weight percent to at least two but
not more than four decimal places, depending on the accuracy of the measurement
method (for example, “XX.XXXX%”). For U-233, enter the parts per million of U-232. For
depleted uranium with an enrichment of 0.5 percent or less, if enrichment is unknown,
enter “0.3%.” This column does not apply for normal uranium or thorium. Use separate
lines to report material of different enrichments. This block (26p) does not apply to
thorium. Use separate lines to report material of different enrichments.
26q.
ISOTOPE WEIGHT—Enter the isotope weight. For enriched uranium or U-233, enter the
weight to the nearest gram of U-235 or U-233, as appropriate. If plutonium, enter the sum
of Pu-239 and Pu-241 to the nearest gram. If Pu-238 (material 83), enter the weight of
the isotope Pu-238 to the nearest 0.1 gram. If natural or depleted uranium, enter the
weight to the nearest gram of U-235. Make no entry for source material.
G-9
If the quantity to be entered is equal to or greater than 0.5 of the reporting unit, round the
quantity up to the next whole reporting unit. If the quantity to be entered is less than 0.5
of the reporting unit, round the quantity down to the next whole reporting unit.
Possessors are to provide a DOE/NRC Form 740M that includes the actual isotope
weights.
26r.
ISOTOPE LIMIT OF ERROR—Leave blank.
26s.
SIGNATURE OF AUTHORIZED OFFICIAL AND DATE SIGNED—An authorized
representative of the licensee must sign and date the report if submitted on paper.
Otherwise, no entry is required.
Each licensee must establish internal procedures to ensure that the information provided
in the report is accurate and that only authorized licensee staff has prepared and issued
the report.
Proprietary information must be included when necessary to provide an adequate
response. An application to withhold such information from public disclosure may be
made and will be dispositioned in accordance with the provisions of 10 CFR 2.390,
“Public Inspections, Exemptions, Requests for Withholding.” If any of this information is
of particular sensitivity, a request may be made that such information not be transmitted
to the IAEA. Such a request must refer to and conform with 10 CFR 75.13.
27.
RECEIVER’S DATA—Enter the receiver’s data in block 27. Possessors of nuclear
material outside facilities that receive imports from outside the U.S. Caribbean territories
must provide an entry in both the SHIPPER’S DATA (field 26) and the RECEIVER’S
DATA (field 27.) Information in this field is needed to facilitate a match between the
shipper and receiver reporting to NMMSS. Enter shipper and receiver measurement data
on DOE/NRC Form 741 for each batch of material.
A batch is a portion of nuclear material that is handled as a unit, for accounting purposes,
at a possessor’s location and whose composition and quantity are defined by a single set
of specifications or measurements. The batch may be in bulk form or contained in a
number of separate items. Material being transferred may be listed on one line of
DOE/NRC Form 741 if the material is all of the same material type, composition,
ownership, and weight percent of isotope (except as noted in the next paragraph). List
material differing in any of these data elements on separate lines.
Two or more lines may be necessary to describe a single batch (e.g., depleted uranium in
shielding). If a batch consists of several types of nuclear material, use several
consecutive lines to describe the batch. Repeat the batch name on all lines used to
describe a single batch. In block 27e, also repeat the number of items on all lines with
the same batch name.
The above general rules for grouping or batching material for reporting purposes also
apply to licensees reporting imports or exports in accordance with 10 CFR Part 40,
“Domestic Licensing of Source Material,” or 10 CFR Part 74, “Material Control and
Accounting of Special Nuclear Material.” Batch names are optional for other transactions
reported in accordance with 10 CFR Part 40 or 10 CFR Part 74.
27a.
BACK-REFERENCE NUMBER—Must match the shipper’s value. See block 26a.
G-10
27b.
LINE NUMBER—Must match the shipper’s value. See block 26b.
27c.
TYPE OF INVENTORY CHANGE—Must match the shipper’s value. See block 26c.
27d.
BATCH NAME—See block 26d.
27e.
NO. OF ITEMS—See block 26e.
27f.
PROJECT NUMBER—See block 26f.
27g.
MATERIAL TYPE—Must match the shipper’s value. See block 26g.
27h.
COMPOSITION/FACILITY CODE—See block 26h.
27i.
OWNER CODE—Describes the material ownership at the time it comes into the
receiver’s possession. See block 26i.
27j.
KEY MEASUREMENT POINT—See block 26j.
27k.
MEASUREMENT IDENTIFICATION—See block 26k.
27l.
GROSS WEIGHT—See block 26l.
27m.
NET WEIGHT—See block 26m.
27n.
ELEMENT WEIGHT—See block 26n.
27o.
ELEMENT LIMIT OF ERROR—See block 26o.
27p.
WEIGHT % ISOTOPE—See block 26p.
27q.
ISOTOPE WEIGHT—See block 26q.
27r.
ISOTOPE LIMIT OF ERROR—See block 26r.
27s.
SIGNATURE OF AUTHORIZED OFFICIAL AND DATE SIGNED—See block 26s.
G.2.2 Preparation of DOE/NRC Form 741 in Computer-Readable Format
NMMSS Report D-24, “Personal Computer Data Input for NRC Licensees,” provides instructions
for preparing DOE/NRC Form 741 in computer-readable format as required for submittals.
G.2.3 Distribution of DOE/NRC Form 741
Each shipper of reportable quantities of SNM or source material must dispatch a DOE/NRC
Form 741, as described below, no later than the close of business the next working day after the
shipment. Burials are reported when shipped. The burial site operator must prepare a
DOE/NRC Form 741 and transmit it to NMMSS to document receipt and disposal.
Each receiver of reportable quantities of SNM or source material must dispatch a DOE/NRC
Form 741, as described below, no later than 10 working days after receipt of the shipment.
G-11
When submitting safeguards information, a Concise Note (DOE/NRC Form 740M) must be
submitted stating that the submission is safeguards information and should be handled in
accordance with 10 CFR 73.21, “Protection of Safeguards Information: Performance
Requirements.”
The completed DOE/NRC Form 741 is distributed as follows:
•
Submit one copy in a computer-readable format to NMMSS. See Section 1.5 of this
NUREG for information on the documentation and distribution of classified and
unclassified reports.
•
Retain one copy for the file.
•
Provide a copy to another possessor of nuclear material outside facilities within the
U.S. Caribbean territories.
There is no requirement to provide a copy of DOE/NRC Form 741 to shippers or receivers of
nuclear material outside the U.S. Caribbean territories.
G.2.4 Instructions for Onsite Gains and Losses
When using action code M, possessors of nuclear material outside facilities should complete and
distribute DOE/NRC Form 741 in accordance with the instructions in Chapter 3 of this NUREG.
G.2.5 Instructions for Correcting a DOE/NRC Form 741
When correcting a DOE/NRC Form 741, possessors of nuclear material outside facilities should
follow instructions in accordance with Chapter 4 of this NUREG.
The revised DOE/NRC Form 741 is distributed as follows:
•
Submit one copy in a computer-readable format to NMMSS.
•
Retain one copy for the file.
•
Provide a copy to another possessor of nuclear material outside facilities within the
U.S. Caribbean territories.
There is no requirement to provide a copy of the revised DOE/NRC Form 741 to shippers or
receivers of nuclear material outside the U.S. Caribbean territories.
G.2.6 Instructions for Completing a DOE/NRC Form 740M
A DOE/NRC Form 740M is used to explain circumstances under which Concise Notes must be
submitted to the IAEA.
Possessors of nuclear material outside facilities should follow the instructions in Chapter 5 of this
NUREG to complete numbered blocks 1–10 of DOE/NRC Form 740M.
G-12
DOE/NRC Form 740M should be put into computer-readable format following the guidance in
NMMSS Report D-24.
Copies of DOE/NRC Form 740M must be attached to, and distributed with, DOE/NRC
Forms 741, 742, or 742C, “Physical Inventory Listing,” as appropriate.
G-13
NUREG/BR-0006
Revision 9
Instructions for Completing Nuclear Material Transaction
Reports (DOE/NRC Forms 741 and 740M) - FINAL
Mirabelle Shoemaker
August
2020
Technical
Division of Fuel Management
Office of Nuclear Material Safety and Safeguards
U.S. Nuclear Regulatory Commission
Washington, DC 20555-0001
Same as above.
U.S. Nuclear Regulatory Commission (NRC) regulations require licensees who ship, received, or adjust
their physical inventory of source or special nuclear material (SNM) to document and report such activities.
The reports are submitted using U.S. Department of Energy (DOE)/NRC Form 741. Licensees may need
to provide additional information on some imports or exports of source or SNM. The additional information
is reported using DOE/NRC Form 740M. This NUREG contains instructions for preparing these forms.
Material Control and Accounting
Nuclear Materials Management and Safeguards System (NMMSS)
Form 741
Form 740M
Nuclear Material Transaction Reports
NUREG/BR-0006, Rev. 9
Final
Instructions for Completing Nuclear Material Transaction Reports
August 2020
| File Type | application/pdf |
| File Modified | 2020-08-27 |
| File Created | 2020-08-17 |