DOE M 470.4-6, Nuclear Material Control and Accountability

AVAILABLE ONLINE AT: INITIATED BY: http://www.directives.doe.gov Office of Security and Safety Performance Assurance NUCLEAR MATERIAL CONTROL AND ACCOUNTABILITY U.S. DEPARTMENT OF ENERGY Office of Security and Safety Performance Assurance Approved: 08-26-05 Review: 08-26-07 DOE M 470.4-6 CANCELE D DOE M 470.4-6 08-26-05 1 NUCLEAR MATERIAL CONTROL AND ACCOUNTABILITY 1. PURPOSE. To establish a program for the control and accountability of nuclear materials within the U.S. Department of Energy (DOE), including the National Nuclear Security Administration (NNSA). 2. OBJECTIVES. a. To prescribe DOE requirements, including those for the NNSA, for nuclear material control and accountability (MC&A) for DOE-owned and DOE-leased facilities and DOE-owned nuclear materials at other facilities that are exempt from licensing by the Nuclear Regulatory Commission (NRC). b. Effect the policy in DOE P 470.1, Integrated Safeguards and Security Management (ISSM) Policy, by integrating nuclear materials control and accountability into DOE operations as determined by line management, and according to sound risk management practices. (DOE Policy 470.1, Integrated Safeguards and Security Management (ISSM) Policy, is the Department’s philosophical approach to the management of the Safeguards & Security (S&S) Program. A principal objective of the ISSM Program is to integrate S&S into management and work practices at all levels, based on program line management’s risk management-based decisions, so that missions may be accomplished without security events, such as interruption, disruption or compromise. This approach includes individual responsibility and implementation of the safeguards and security requirements found in this Manual.) 3. PROGRAM INTEGRATION. The Nuclear Material Control & Accountability program must be integrated with other programs such as S&S program planning and management, physical protection, protective force, information security, and personnel security. Additionally, the activities and requirements in the weapons surety, foreign visits and assignments, safety, emergency management, cyber security, intelligence, and counterintelligence programs should also be considered in the implementation of this Manual. 4. CANCELLATIONS. The directives listed below are canceled. Cancellation of a directive does not, by itself, modify or otherwise affect any contractual obligation to comply with such a directive. Cancelled directives that are incorporated by reference in a contract remain in effect until the contract is modified to delete the reference to the requirements in the cancelled directives. The publication of this Manual incorporates all previous memoranda and letters that were issued by the Office of Security or its predecessor organizations that established policy. a. DOE M 474.1-1B, Manual for Control and Accountability of Nuclear Materials, dated 6-13-03. CANCELE D DOE M 470.4-6 08-26-05 2 b. DOE M 474.1-2A, Nuclear Materials Management and Safeguards System Reporting and Data Submission, dated 8-19-03. 5. APPLICABILITY.

a. General. Except for exclusions listed in paragraph 5.d., this Manual applies to nuclear materials at DOE-owned and DOE-leased facilities, and DOE-owned nuclear material at other facilities that are exempt from licensing by the NRC. Where a responsibility or authority is assigned to an organization that is restructured, the responsibility or authority will be reassigned to the appropriate successor organization as explicitly determined by the appropriate Departmental Element. (Pursuant to NRC NUREG/BR-0006, Instructions for Completing Nuclear Material Transaction Reports (DOE/NRC Forms 741 and 740M), NRC licensees are responsible for routinely reporting all DOE-owned, -loaned, or - leased material in their possession to the Nuclear Materials Management and Safeguards System [NMMSS] as prescribed in DOE Orders. Hence, the NMMSS reporting sections of the Manual also apply indirectly to NRC licensees.) b. Departmental Elements. Except for exclusions listed in paragraph 5.d., this Manual applies to all Departmental Elements listed on Attachment 1. This Manual automatically applies to Departmental Elements created after it is issued. The Administrator of the National Nuclear Security Administration (NNSA) will assure that NNSA employees and contractors comply with their respective responsibilities under this Manual. c. Contractors. (1) The Contractor Requirements Document (CRD), Attachment 2, sets forth requirements of this Manual that will apply to site/facility management contracts that include the CRD. (2) The CRD must be included in all site/facility management contracts that involve nuclear materials and contain DOE Acquisition Regulation (DEAR) clause 952.204-2, titled Security Requirements. (3) Departmental elements must notify contracting officers of affected site/facility management contracts to incorporate this directive into those contracts. (4) Once notified, contracting officers are responsible for incorporating this directive into the affected contracts via the Laws, Regulations, and DOE Directives clause of the contracts. (5) As stated in DEAR clause 970.5204-2, Laws, Regulations, and DOE Directives, regardless of the performer of the work, the site/facility contractors with the CRD incorporated into their contracts are responsible for compliance with the CRD. Affected site/facility management CANCELE D DOE M 470.4-6 08-26-05 3 contractors are responsible for flowing down the requirements of the CRD to subcontracts at any tier to the extent necessary to ensure compliance with the requirements. In doing so, contractors must not unnecessarily or imprudently flow down requirements to subcontracts. That is, contractors shall both ensure that they and their subcontractors comply with the requirements of this CRD and incur only costs that would be incurred by a prudent person in the conduct of competitive business. (6) This Manual does not automatically apply to other than site/facility management contracts. Application of any of the requirements in this Manual to other than site/facility management contracts will be communicated as follows. (a) Heads of Field Elements and Headquarters Departmental Elements. Review procurement requests for new non-site/facility management contracts that involve classified information or matter, or nuclear materials and contain DEAR clause 952.204-2, titled Security Requirements. If appropriate, ensure that the requirements of the CRD of this Manual are included in the contract.

(b) Contracting Officers. Assist originators of procurement requests who want to incorporate the requirements of the CRD of this Manual in new non-site/facility management contracts, as appropriate. d. Exclusions. (1) This Manual does not apply to DOE-owned nuclear materials at U.S. Department of Defense facilities or foreign facilities. To avoid duplicative or conflicting requirements, DOE facilities, projects, and programs that are under the cognizance of the Office of Civilian Radioactive Waste Management and are subject to NRC regulation must use the rules, standards, and criteria specified by the NRC or NRC-State agreements in lieu of this Manual. Pursuant to NRC NUREG/BR-0006, Instructions for Completing Nuclear Material Transaction Reports (DOE/NRC Forms 741 and 740M), NRC licensees are responsible for routinely reporting all DOE-owned, -loaned, or -leased material in their possession to the Nuclear Materials Management and Safeguards System (NMMSS) as prescribed in DOE Orders. Hence, the NMMSS reporting sections of the Manual also apply indirectly to NRC licensees, including Department of Defense facilities licensed by NRC. (2) In accordance with the responsibilities and authorities assigned by Executive Order 12344 and to ensure consistency throughout the joint Navy and DOE organization of the Naval Nuclear Propulsion Program, the Deputy Administrator for Naval Reactors will implement and oversee CANCELE D DOE M 470.4-6 08-26-05 4 all requirements and practices pertaining to this Manual for activities under the Deputy Administrator’s cognizance. 6. DEVIATIONS. Deviations from requirements in this Manual must be processed in accordance with DOE M 470.4-1, Safeguards and Security Program Planning and Management. 7. DEFINITIONS. Terms commonly used in the program are defined in the S&S Glossary in DOE M 470.4-7, Safeguards and Security Program References. In addition to those in the Glossary, the following definitions are provided for use in this Manual. a. DOE line management refers to DOE and NNSA Federal employees who have been granted the authority to commit resources or direct the allocation of personnel or approve implementation plans and procedures in the accomplishment of specific work activities. b. Line management refers to DOE and NNSA Federal and contractor employees who have been granted the authority to commit resources or direct the allocation of personnel or approve implementation plans and procedures in the accomplishment of specific work activities. c. DOE cognizant security authority refers to DOE and NNSA Federal employees who have been granted the authority to commit security resources or direct the allocation of security personnel or approve security implementation plans and procedures in the accomplishment of specific work activities. d. Cognizant security authority refers to DOE and NNSA Federal and contractor employees who have been granted the authority to commit security resources or direct the allocation of security personnel or approve security implementation plans and procedures in the accomplishment of specific work activities. e. For the purposes of this Manual, the site/facility operator refers to the corporate or governmental entity responsible for the day-to-day operations involving storage, processing, or use of nuclear materials at the site/facility. For contractor-operated facilities, this refers to the site/facility contractor. For the DOE-operated facilities, this refers to the DOE organization operating the facility.

f. For the purposes of this Manual, the responsible Departmental Element refers to the Departmental Element with responsibility for safeguards and security of the nuclear materials to which a requirement is being applied. g. For the purposes of this Manual, nuclear materials are the materials listed in Section A, Table I-1. h. For the purposes of this Manual, the Office of Security refers to the DOE Office of Security and Safety Performance Assurance. 8. IMPLEMENTATION. Requirements that cannot be implemented within 6 months of the CANCELE D DOE M 470.4-6 08-26-05 5 effective date of this Manual or within existing resources must be documented by the cognizant security authority and submitted to the relevant program officers; the Under Secretary for Energy, Science and Environment or the Under Secretary for Nuclear Security/Administrator, NNSA; and the Office of Security. The documentation must include timelines and resources needed to fully implement this Manual. The documentation must also include a description of the vulnerabilities and impacts created by the delayed implementation of the requirements. 9. CONTACT. Questions concerning this Manual should be directed to the Office of Security at (301) 903-6008. BY ORDER OF THE SECRETATY OF ENERGY: CLAY SELL Deputy Secretary CANCELE D DOE M 470.4-6 08-26-05 i TABLE OF CONTENTS SECTION A - NUCLEAR MATERIAL CONTROL AND ACCOUNTABILITY CHAPTER I, PROGRAM ADMINISTRATION 1. General..............................................................................................................................I-1 2. Graded Safeguards ............................................................................................................I-7 3. MC&A Requirements for Source and Other Nuclear Materials.....................................I-10 4. Loss Detection Evaluation, Performance Testing and Performance Requirements .......I-12 5. Reporting Incidents of Security Concern........................................................................I-15 6. Assessment Programs .....................................................................................................I-15 CHAPTER I, TABLES Table I-1. Nuclear Materials ........................................................................................................I-2 Table I-2. Additional Attractiveness Level E Criteria for SNM..................................................I-5 Table I-3. Technical Criteria for Retained Waste........................................................................I-6 Table I-4. Graded Safeguards ......................................................................................................I-9 Table I-5. Effective Quantities...................................................................................................I-10 CHAPTER II, MATERIALS ACCOUNTABILITY 1. General............................................................................................................................ II-1 2. Accounting Systems........................................................................................................ II-1 3. Physical Inventories ........................................................................................................ II-3 4. Measurement and Measurement Control ........................................................................ II-7 5. Nuclear Material Transfers ........................................................................................... II-12

6. Material Control Indicators........................................................................................... II-16 CHAPTER II, TABLES Table II-1. Minimum Sampling Parameters for Physical Inventories ....................................... II-3 Table II-2. Inventory Periods Based on Alternative Measures for Category I and II Storage Locations................................................................................................... II-6 Table II-3. Minimum Sampling Parameters for Verification/Confirmation Measurements ..... II-6 CANCELE D DOE M 470.4-6 08-26-05 ii Table II-4, Shipper/Receiver Measurement Requirements...................................................... II-13 CHAPTER III. MATERIALS CONTROL 1. General........................................................................................................................... III-1 2. Access Controls ............................................................................................................. III-1 3. Material Surveillance ..................................................................................................... III-1 4. Material Containment .................................................................................................... III-3 5. Detection/Assessment .................................................................................................... III-4 SECTION B – BASIC REQUIREMENTS FOR NUCLEAR MATERIALS MANAGEMENT AND SAFEGUARDS SYSTEM REPORTING AND DATA SUBMISSION 1. Documentation and Reporting .............................................................................................1 2. Forms ...................................................................................................................................2 3. Reporting Identification Symbol (RIS)................................................................................2 4. Correction Data....................................................................................................................2 5. Periodic Reconciliation of Facility Data with NMMSS ......................................................2 6. Confidentiality of Data ........................................................................................................2 7. Classification of Data...........................................................................................................3 8. Contact .................................................................................................................................3 9. NMMSS Program Management and Quality Control .........................................................3 10. Specification for Software and Hardware Systems .............................................................3 CHAPTER I, INSTRUCTIONS FOR APPLYING FOR, CHANGING, OR DELETING A RIS 1. Introduction.......................................................................................................................I-1 2. Procedures and Criteria for Establishing a RIS ................................................................I-1 3. Application for a RIS ........................................................................................................I-2 4. Deactivation of a RIS........................................................................................................I-4 5. Changing RIS Information................................................................................................I-5

CHAPTER II, GENERAL INSTRUCTIONS 1. Reporting to NMMSS..................................................................................................... II-1 CANCELE D DOE M 470.4-6 08-26-05 iii 2. Data Accuracy................................................................................................................. II-1 3. NMMSS Reportable Elements and Isotopes and Reporting Units ................................. II-1 4. Material Type Codes....................................................................................................... II-2 5. Units, Standards, Conversions, and Data Definitions..................................................... II-2 6. Rounding Policy.............................................................................................................. II-2 7. Nuclear Material Blending Transactions ........................................................................ II-3 8. Owner Codes................................................................................................................... II-4 9. Limits of Error on Transfers of SNM and Tritium ......................................................... II-4 10. Normal Operational Losses (NOLs) Measured Discards and Accidental Losses .......... II-5 11. Waste and Burial Sites .................................................................................................... II-6 12. Radioactive Decay .......................................................................................................... II-7 CHAPTER II, TABLES Table II-1, Rounding Policy ....................................................................................................... II-3 Table II-2, Blending Transaction Example................................................................................. II-4 CHAPTER III, NUCLEAR MATERIAL TRANSACTION REPORTING – GENERAL 1. Introduction.................................................................................................................... III-1 2. Transfer Reporting Timelines ........................................................................................ III-2 3. Transaction Documentation Methods ............................................................................ III-2 4. Classification and Security Requirements ..................................................................... III-3 5. Distribution of DOE/NRC F 741 ................................................................................... III-3 6. Facility Transfers of Material to a Foreign Entity ......................................................... III-4 7. Facility Receives Nuclear Material from a Foreign Entity............................................ III-5 8. Tracking of Foreign Obligated Material within the U.S................................................ III-5 9. Transfers Involving the DoD ......................................................................................... III-5 10. Transfers of Nuclear Material Between DOE Contractors and Licensees .................... III-5 11. Internal Project Transfers............................................................................................... III-5 12. Nonphysical Transfer of Nuclear Material .................................................................... III-8 CANCELE D DOE M 470.4-6 08-26-05 iv 13. Other Types of Receipts and Removals......................................................................... III-9

14. Special Requirements..................................................................................................... III-9 15. Amendments or Adjustments to Previously Issued DOE/NRC F 741 ........................ III-11 CHAPTER III, TABLES Table III-1, Submission Dates, Physical Transfer of Material .................................................. III-2 Table III-2, Primary Distribution............................................................................................... III-4 Table III-3, Secondary Distribution........................................................................................... III-4 CHAPTER IV, NUCLEAR MATERIAL TRANSACTION REPORTING – SHIPPER 1. Shipper’s Data................................................................................................................ IV-1 CHAPTER V. NUCLEAR MATERIAL TRANSACTION REPORTING – RECEIVER 1. Receiver’s Data............................................................................................................... V-1 CHAPTER VI, NUCLEAR MATERIAL TRANSACTION REPORTING—DOE TO DoD 1. From DOE to DoD.........................................................................................................VI-1 2. Distribution of DOE/NRC F 741 ...................................................................................VI-4 3. Memorandum Inventory Accounts ................................................................................VI-6 4. From DoD to DOE.........................................................................................................VI-6 5. Prohibition of Use of Foreign Obligated Material.........................................................VI-7 CHAPTER VII, NUCLEAR MATERIAL TRANSACTION REPORTING—U.S. AND FOREIGN NATIONS, FOREIGN REGIONAL ORGANIZATIONS, OR SUPRANATIONAL ORGANIZATIONS 1. Introduction...................................................................................................................VII-1 2. Preparation of DOE/NRC F 741 ...................................................................................VII-1 3. Transfers to a Foreign Entity ........................................................................................VII-1 4. Transfers from a Foreign Entity....................................................................................VII-2 5. Batch Formation and Naming.......................................................................................VII-2 6. Specific Instructions for Facilities Engaged in the Import and/or Export of Nuclear Materials ...................................................................................................VII-3 7. Distribution of DOE/NRC F 741 ..................................................................................VII-5 CANCELE D DOE M 470.4-6 08-26-05 v CHAPTER VIII, NUCLEAR MATERIAL TRANSACTION REPORTING—FOREIGN OBLIGATIONS TRACKING FOR DOE/NRC F 741 BLOCKS 17, 18, 19, 20, AND 21 1. Introduction................................................................................................................. VIII-1 2. Prohibition on Use of Foreign Obligated Material ..................................................... VIII-1 3. Imports ........................................................................................................................ VIII-1 4. Completion of Obligation Information ....................................................................... VIII-2

5. Domestic Transfers, Internal Transactions, and Exports ............................................ VIII-2 CHAPTER IX, NUCLEAR MATERIAL TRANSACTION REPORTING—FACILITIES SELECTED BY THE IAEA. 1. Introduction.................................................................................................................... IX-1 2. Batch Formation and Naming........................................................................................ IX-1 3. Detailed Instructions ...................................................................................................... IX-2 CHAPTER X, NUCLEAR MATERIAL TRANSACTION REPORTING—CONCISE NOTE 1. Introduction..................................................................................................................... X-1 2. Instructions for Completing DOE/NRC F 740M............................................................ X-1 CHAPTER XI, MATERIAL BALANCE REPORTING 1. Introduction....................................................................................................................XI-1 2. Classification and Security Requirements .....................................................................XI-1 3. Reporting Units..............................................................................................................XI-2 4. Instructions for Completing DOE/NRC F 742 ..............................................................XI-2 CHAPTER XII, MATERIAL BALANCE REPORTING – FACILITIES SELECTED BY THE IAEA 1. Introduction...................................................................................................................XII-1 2. Preparation of DOE/NRC F742 ....................................................................................XII-1 CHAPTER XIII, INVENTORY REPORTING 1. Introduction................................................................................................................. XIII-1 2. Nuclear Material Composition Codes and Descriptions............................................. XIII-1 3. Authorized Profiles of Inventory Data........................................................................ XIII-2 CANCELE D DOE M 470.4-6 08-26-05 vi 4. Nuclear Material Type Codes ..................................................................................... XIII-2 5. Reconciliation of Facility Data with NMMSS............................................................ XIII-2 6. Preparation of DOE/NRC F 742C .............................................................................. XIII-3 7. Distribution of DOE/NRC F 742C Data..................................................................... XIII-5 CHAPTER XIV, INVENTORY REPORTING FACILITIES SELECTED BY THE IAEA 1. Introduction................................................................................................................. XIV-1 2. Batch Formation and Naming..................................................................................... XIV-1 CHAPTER XV, NUCLEAR MATERIAL REPORTING – DATA ITEMS SUMMARY TABLES 1. Introduction ................................................................................................................. XV-1 2. Data Items Explanatory Notes ..................................................................................... XV-1 3. Accountable Quantities, Materials Types, and Other Information Needed for Reporting................................................................................................................ XV-1

CHAPTER XV, TABLES Table XV-1, Nuclear Material Reporting Units and Characteristics...................................... XV-2 Table XV-2, Nuclear Material Type Codes............................................................................ XV-3 Table XV-3, Owner Codes ..................................................................................................... XV-4 Table XV-4, Half Life and Daily Decay Factors.................................................................... XV-4 Table XV-5, Decay Factors for Monthly Reporting Periods.................................................. XV-4 Table XV-6, Decay Factors for Quarterly Reporting Periods ................................................ XV-5 Table XV-7, Instruction for Preparation of Transaction Data Items ...................................... XV-7 Table XV-8, Instructions When Either the DoD or Mutual Defense is Involved................... XV-8 Table XV-9, Processing Code (PC) ........................................................................................ XV-8 Table XV-10, Action Code (AC)............................................................................................ XV-9 Table XV-11, Nature of Transaction Code (TI) ..................................................................... XV-9 Table XV-12, Inventory Change Code – Receipts ............................................................... XV-10 Table XV-13, Inventory Change Code – Removals ............................................................. XV-10 Table XV-14, Material Type Codes and IAEA Element Codes – Import Export ................ XV-11 CANCELE D DOE M 470.4-6 08-26-05 vii Table XV-15, Foreign Obligation Codes.............................................................................. XV-11 Table XV-16, Material Type Codes, IAEA Element Codes, and Quantities for Source and SNM – Obligations Tracking.................................................... XV-11 Table XV-17, Material Type Codes Used for Specific Circumstances ................................ XV-12 Table XV-18, Inventory Change Type (ICT) Codes – IAEA............................................... XV-12 Table XV-19, DOE Contractor Reporting Procedure for Normal Operational Losses/ Measured Discards and Accidental Losses................................................... XV-13 CHAPTER XVI, ACRONYMS AND ABBREVIATIONS CHAPTER XVII, FORMS 1. DOE/NRC F 740M ....................................................................................................XVII-2 2. DOE/NRC F 741........................................................................................................XVII-3 3. DOE/NRC F 742........................................................................................................XVII-4 4. DOE/NRC F 742C .....................................................................................................XVII-6 5. DOE F DP-749...........................................................................................................XVII-7 ATTACHMENTS Attachment 1 Departmental Elements to which DOE M 470.4-6 Applies ............Attachment 1-1 Attachment 2 Contractor Requirements Document ...............................................Attachment 2-1 CANCELE D DOE M 470.4-6 08-26-05 Section A I-1 SECTION A - NUCLEAR MATERIAL CONTROL AND ACCOUNTABILITY CHAPTER I - PROGRAM ADMINISTRATION 1. GENERAL. This Chapter provides minimum requirements for implementing a nuclear

material control and accountability (MC&A) program at Department of Energy (DOE) facilities and for DOE- owned materials at other facilities that are exempt from licensing by the Nuclear Regulatory Commission (NRC). DOE line management and site/facility operators must consider MC&A requirements, systems, technologies, and activities when planning, designing, constructing, and operating new or renovated DOE facilities. The site/facility operator must use techniques and equipment that maximize material loss detection sensitivity, increase the quality of accountability measurements, minimize material holdup, and reduce the magnitude of inventory differences and associated control limits consistent with the consequences of the loss of the material. a. An MC&A program must be established and maintained for all materials identified in Table I-1, Nuclear Materials. The level of control and accountability must be graded based on the consequence of their loss. b. Special nuclear material (SNM) must not be received, processed, or stored at a facility until a facility approval has been granted. c. MC&A programs must be designed to deter and detect theft and diversion of nuclear material by both outside and inside adversaries. d. A performance testing program to verify MC&A procedures and practices and to demonstrate that material controls are effective must be established. e. MC&A programs must address both the theft and diversion of SNM and the unauthorized control of a weapon, test device, or materials that can be used to make an improvised nuclear device. f. This Manual requires that various documents, actions, and activities be approved by the DOE cognizant security authority. (1) For each site/facility subject to the requirements of this Manual, a specific DOE cognizant security authority must be designated as the approving authority for these documents, actions and plans. (2) Approval authorities may be delegated in writing to other DOE cognizant security authorities. (3) The same official can be designated as the approving authority for more than one site/facility. CANCELE D DOE M 470.4-6 08-26-05 Section A I-2 Table I-1. Nuclear Materials *Reportable quantity is the minimum amount of material subject to the requirements of this Manual. Facilities with less than a reportable quantity of a material are exempt from the requirements of the manual for that material. Reporting unit is the mass unit that facility/site nuclear materials accounting systems must use for recording and reporting inventories and transactions. 1Report as Pu-242 if the contained Pu-242 is 20 percent or greater of total plutonium by weight; otherwise, report as Pu-239-241. 2Report as Pu-238 if the contained Pu-238 is 10 percent or greater of total plutonium by weight; otherwise, report as Pu-239-241. 3Americium and Neptunium-237 contained in plutonium as part of the natural in-growth process are not required to be accounted for or reported until separated from the plutonium. 4For deuterium in the form of heavy water, both the element and isotope weight fields will be used; otherwise, report isotope weight only. 5 Tritium contained in water (H2O or D2O) used as a moderator in a nuclear reactor is not an accountable material. g. The site/facility operator must designate a management official to be responsible for the MC&A program. This official must be organizationally independent from responsibility for nuclear material utilization programs, including nuclear material production, storage, processing, research, and disposition. This official must have responsibility for and the authority to ensure the safeguards of accountable nuclear material, along with operations personnel.

h. A reporting identification symbol (RIS) must be established for all nuclear materials on inventory. Requirements for establishing and maintaining a RIS are detailed in Section B of this Manual. i. A nuclear materials representative (NMR) must be designated for each site/facility with a RIS. The NMR is to be responsible for nuclear materials reporting and data submission to the Nuclear Materials Management and Safeguards Systems (NMMSS) (see Section B of this Manual for NMMSS reporting requirements). Material Type SNM, Source, or Other Reportable Quantity* Weight Field Used for Element Weight Field Used for Isotope Material Type Code Depleted Uranium (U) source kilogram total U U-235 10 Enriched Uranium SNM gram total U U-235 20 Normal Uranium source kilogram total U — 81 Uranium-233 SNM gram total U U-233 70 Plutonium-2421 (Pu) SNM gram total Pu Pu-242 40 Plutonium-239-241 SNM gram total Pu Pu-239 + Pu-241 50 Plutonium-2382 SNM tenth of a gram total Pu Pu-238 83 Americium2413 (Am) other gram total Am Am-241 44 Americium-2433 other gram total Am Am-243 45 Berkelium (Bk) other microgram — Bk-249 47 Californium-252 (Cf) other microgram — Cf-252 48 Curium (Cm) other gram total Cm Cm-246 46 Deuterium4 (D) other tenth of a kilogram D2O D2 86 Enriched Lithium (Li) other kilogram total Li Li-6 60 Neptunium-237 (Np)3 other gram total Np — 82 Thorium (Th) source kilogram total Th — 88 Tritium5 (H-3) other gram total H-3 — 87 Uranium in Cascades SNM gram total U U-235 89 CANCELE D DOE M 470.4-6 08-26-05 Section A I-3 j. Authorities and responsibilities for MC&A functions (e.g., accounting system, measurements, measurement control, inventories, audit, material access controls, and surveillance) must be defined and documentation must be maintained. k. MC&A program implementation must facilitate, to the extent practical, the cost- effective integration of the operational mission of the program while protecting the environment, health and safety of employees, and the public. l. Personnel performing MC&A functions must be trained and qualified to perform their duties and responsibilities. (See DOE M 470.4-1, Safeguards and Security Program Planning and Management, for additional information on safeguards and security training programs.) A site-specific training program must be established, implemented and maintained. Personnel must be knowledgeable of the requirements and procedures related to their functions. m. An MC&A plan providing the safeguards authorization basis must be developed and maintained for each facility possessing nuclear materials. The MC&A plan must be approved by the DOE cognizant security authority. n. The MC&A plan must specify how nuclear material inventory holdings will be accounted for and controlled. The MC&A plan must include, at a minimum: (1) the elements of the MC&A program that are designed to deter and detect loss, theft, and diversion of nuclear materials and the unauthorized control of a weapon, test device, or materials that can be used to make an improvised nuclear device; (2) measures to ensure that nuclear materials are in their authorized locations and being used for their intended purposes; (3) a description of the local implementation of this Manual, which must document how the MC&A program meets the requirements of this Manual; (4) facility-specific requirements approved by the DOE cognizant security authority including, but not limited to, agreements between Government and contractor organizations, access control and material surveillance testing measures, and the scope and extent of the performance testing program; and

(5) MC&A plan review frequency and change control mechanisms. o. Procedures must be established by the site/facility operator for emergency conditions and periods when MC&A systems are inoperative. These measures must ensure that access to or removal of SNM would be detected during these periods. The MC&A plan must address control of SNM during emergency operations and measures to be taken before resuming operations following an emergency. CANCELE D DOE M 470.4-6 08-26-05 Section A I-4 p. Materials previously removed from inventory, for which safeguards were terminated in accordance with DOE MC&A directives in effect at the time of their removal, are exempt from the requirements of this Manual unless these materials are recovered. (Materials for which safeguards were terminated may still need to be protected and controlled pursuant to other DOE security directives based on radiological sabotage, information security, or property protection concerns. See DOE M 470.4-1, Safeguards and Security Program Planning and Management, DOE M 470.4-2, Physical Protection, and DOE M 470.4-4, Information Security). q. Termination of safeguards exempts nuclear materials from requirements of this Manual and thereby removes the safeguards basis for applying physical protection requirements for theft and diversion of nuclear material, providing termination requirements are met as specified in items (1) and (2) and below. (After safeguards termination, nuclear materials may still need to be protected and controlled pursuant to other DOE security directives based on radiological sabotage, information security, or property protection concerns. See DOE M 470.4-1, Safeguards and Security Program Planning and Management, DOE M 470.4-2 Physical Protection, and DOE M 470.4-4, Information Security). Requirements for safeguards termination depend on the safeguards attractiveness levels of the material. Attractiveness levels are described in Table I-4, Graded Safeguards. (1) Safeguards can be terminated on nuclear materials provided the following conditions are met. (a) If the material is SNM or protected as SNM, it must be attractiveness level E and have a measured value. (The second column of Table I-2, Attractiveness Level E Criteria for SNM, contains additional and more descriptive information on lower- grade forms of SNM that can be classified as attractiveness level E for purposes of terminating safeguards and/or determining appropriate levels of safeguards protection.) (b) The material has been determined by DOE line management to be of no programmatic value to DOE. (c) The radiological sabotage risks associated with the materials have been evaluated and additional measures beyond waste management regulations put in place to ensure that protection requirements, if applicable, will be met after safeguards termination. Only nuclear materials that are of radiological sabotage concern need to be evaluated against this requirement. (d) The material is transferred to the control of a waste management organization where the material is accounted for and protected in CANCELE D DOE M 470.4-6 08-26-05 Section A I-5 accordance with waste management regulations. The material must not be collocated with other accountable nuclear materials. Table I-2. Additional Attractiveness Level E Criteria for SNM

(2) In some cases, it may be necessary to dispose of nuclear materials of attractiveness level D or higher SNM. For DOE facilities, termination of safeguards for such materials must be approved by the Departmental Element after consultation with the Office of Security. For National Nuclear Security Administration (NNSA) facilities, termination of safeguards for such materials must be approved by the Associate Administrator for Defense Nuclear Security, after consultation with the Office of Security. When disposal of a SNM quantity Category II or greater is being considered, a security analysis for the theft or diversion of the material must be performed. A copy of the security analysis must be provided to the responsible approving authority (i.e., the Departmental Element or the Description/Form Maximum concentration* (wt%) for MC&A and physical protection termination Maximum SNM concentration1 (wt%) for only physical protection equivalent to Category IV SNM solutions and oxides: nitrate, caustic or chloride solutions; contaminated/impure oxides, metal fines and turnings, glove box sweepings 0.1 N/A SNM amenable to dissolution and subsequent separation: pyrochemical salts; chloride melt; hydroxide cake; floor sweepings; alumina; condensates; reduction residues; sand, slag, and crucible; magnesium oxide crucibles spent fuel and spent fuel residues 0.1 0.2 SNM in organic matrixes or requiring mechanical separation disassembly and subsequent multiple recovery operations: HEPA filters, organic solutions, oils and sludges, graphite or carbon scrap, surface contaminated plastics, metal components, combustible rubber 0.2 1.0 SNM bound in matrix of solid, sintered, or agglomerated refractory materials: SNM embedded in glass or plastic, high-fired incinerator ash, spent resins, salt sludges, raffinates, and sulfides 0.5 2.0 SNM microencapsulated in refractory compounds or in solid-dilution: vitrified, bituminized, cemented, or polymer-encapsulated materials; SNM alloyed with refractory elements (tungsten, platinum, chromium, stainless steel); ceramic/glass salvage 1.0 5.0 1SNM weight percent is based on element weight for plutonium and isotope weight for U-235 and U-233. CANCELE D DOE M 470.4-6 08-26-05 Section A I-6 Associate Administrator for Defense Nuclear Security) before approval of safeguards termination. Conditions (1)(b) and (c), above, also apply to these materials). r. Reduced safeguards can be applied to materials that both meet the criteria of Table I-3, Technical Criteria for Retained Waste, and have been removed from processing material balance areas (MBAs). Such materials are referred to as retained waste. Reductions in safeguards for retained waste require the approval of the DOE cognizant security authority. The reduced requirements for retained waste materials are: Table I-3. Technical Criteria for Retained Waste Description and Form SNM Concentration Range (Wt %) SNM solutions and oxides >0.1<0.5 SNM amenable to dissolution and subsequent separation >0.2<1.0 SNM alloyed with aluminum, thorium, zirconium, spent fuel <1.0 SNM in organic matrixes; SNM requiring mechanical separation/disassembly and multiple recovery operations >1.0<5.0 SNM bound in matrix of solid, sintered, or agglomerated refractory metals >2.0<7.5 SNM microencapsulated in refractory compounds in solid-dilution >5.0<10.0

(1) Physical protection of retained waste must be commensurate with the safeguards category of the material as defined in Table I-4, Graded Safeguards. Protection measures against other risks, such as radiological sabotage, property protection, and information security, may still be required based on results of vulnerability assessments. (2) Nuclear materials accountability information must remain on the site’s inventory records and within NMMSS. (3) Physical inventory requirements including inventory measurement requirements for material identified in Table I-3, Technical Criteria for Retained Waste, can be deferred until: (a) the material is removed from the site; or (b) the material is reintroduced into the processing MBA. s. Identification of a facility (building or other location where an MBA has been established) for decommissioning, closure, or deactivation does not exempt the facility from compliance with requirements stated in this Manual. The facility’s MC&A program must be maintained at a level commensurate with the category and attractiveness of the nuclear material on inventory until a termination survey determines that no nuclear material remains at the facility. Such a determination may be made if no material remains or the only remaining material is waste or residual holdup that meets the definition of attractiveness level E and has been written off the MC&A books to a waste management organization. Writing the CANCELE D DOE M 470.4-6 08-26-05 Section A I-7 material off the books means terminating safeguards on the material (see 1.q., above). With the approval of the DOE cognizant security authority, attractiveness level E waste and residual holdup for a facility undergoing decommissioning may be written be off the MC&A books to a decontamination and decommissioning organization rather than a waste management organization. Before a facility is decommissioned the following must be accomplished. (1) All nuclear material holdup must be measured and credited to the accountability books. (After holdup has been measured and properly credited to the accountability books, it can subsequently be written off the books pursuant to paragraph 1.q. above.) Unless demonstrated to be otherwise, the category of SNM in process holdup must be considered to be the highest category of the total SNM put into the process during its lifetime. (2) All nuclear material, except attractiveness level E residual holdup and waste, must be transferred to another facility, and the nuclear materials accounting inventory balance must be verified to be zero. (3) The termination survey must be completed. t. Site/facility operators with decommissioned facilities may still need to maintain a RIS account with NMMSS. For such facilities, transfers of nuclear material in waste to and from other RIS accounts will need to be reported to NMMSS using DOE/NRC F 741/741A, Nuclear Material Transaction Report. With the approval of the DOE cognizant security authority, attractiveness level E waste and residual holdup for a facility undergoing decommissioning may be written off the MC&A books to a decontamination and decommissioning organization rather than a waste management organization. u. DOE line management must assure that technical standards developed or adopted by voluntary consensus standards bodies, such as the American Technical Standards Institute and ASTM International, are considered in development of MC&A programs under their cognizance.

v. MC&A systems should be integrated with physical security systems to protect against radiological and/or toxicological sabotage involving nuclear materials. 2. GRADED SAFEGUARDS. The site/facility operator must establish and follow a graded safeguards program for nuclear materials. Under the graded safeguards concept, a safeguards program must provide the greatest relative amount of control and accountability for the types and quantities of SNM that can be most effectively used in a nuclear explosive device. Table I-4, Graded Safeguards, and the following paragraphs present basic information and requirements for determining nuclear safeguards categories. CANCELE D DOE M 470.4-6 08-26-05 Section A I-8 a. Categories and attractiveness of nuclear material for implementation of DOE’s graded safeguards program are shown in Table I-4, Graded Safeguards. Changes to facility safeguards categories that affect protection strategies must be reviewed and approved by the DOE cognizant security authority based on materials holdings at the facility and the credibility of rollup. b. The material category of SNM locations (e.g., MBAs, material access areas (MAA), protected areas (PA), and facilities) must be determined to establish the required protection levels. In many cases, the material category is determined directly from Table I-4, Graded Safeguards. Directions for determining the material category when multiple material types and attractiveness levels must be considered are provided in the following paragraphs. Determination of category involves grouping materials by type, attractiveness level, and quantity. Material quantities are element weights for plutonium and isotope weights for uranium-235 (U-235) and uranium-233 (U-233). The following procedures are used for determining material category. (1) One Material Type, One Attractiveness Level. Sum the material in the attractiveness level and determine the category from Table I-4, Graded Safeguards. (2) One Material Type, Multiple Attractiveness Levels (where a Category III or greater quantity of B-level material is included). (a) Determine the amounts of SNM for materials in each of attractiveness levels B, C, and D. (b) Calculate the “effective” quantity for attractiveness levels B and C by multiplying the quantity in attractiveness levels B and C by the appropriate factors in Table I-5, Effective Quantities. (c) Sum the effective amounts in attractiveness levels B and C. (d) Compare the total effective amount, as calculated in paragraph 2.b.(2)(c) above, to the amounts in attractiveness level B from Table I-4, Graded Safeguards. (e) Compare the amount of attractiveness level D to Table I-4, Graded Safeguards. (f) The material category is the highest level of material category determined using the procedures in paragraphs 2.b.(2)(a) through 2.b.(2)(d) or in paragraph 2.b.(2)(e). CANCELE D DOE M 470.4-6 08-26-05 Section A I-9 Pu/U-233 Category (kg) Contained U-235/Separated Np- 237/Separated Am-241 and -243 Category (kg) Attractiveness Level I II III IV1 I II III IV1 All E Materials Category IV WEAPONS Assembled weapons and test devices A All N/A N/A N/A All N/A N/A N/A N/A PURE PRODUCTS Pits, major components, button ingots, recastable metal, directly convertible materials B >2 >0.4<2 >0.2<0.4 <0.2 >5 >1<5 >0.4<1 <0.4 N/A HIGH-GRADE MATERIALS Carbides, oxides, nitrates, solutions (>25 g/L) etc.; fuel elements and assemblies; alloys and mixtures; UF4 or UF6 ( > 50% enriched)

C >6 >2<6 >0.4<2 <0.4 >20 >6<20 >2<6 <2 N/A LOW-GRADE MATERIALS Solutions (1 to 25 g/L), process residues requiring extensive reprocessing; moderately irradiated material; Pu-238 (except waste); UF4 or UF6 (> 20% < 50% enriched) D N/A >16 >3<16 <3 N/A >50 >8<50 <8 N/A ALL OTHER MATERIALS Highly irradiated forms, solutions (<1 g/L), uranium containing <20% U-235 or <10% U-2332 (any form, any quantity) E N/A N/A N/A Reportable Quantities N/A N/A N/A Reportable Quantities Reportable Quantities 1The lower limit for Category IV is equal to reportable quantities in this Manual. 2The total quantity of U-233 = [Contained U-233 + Contained U-235]. The category is determined by using the Pu/U-233 side of this table. Table I-4. Graded Safeguards CANCELE D DOE M 470.4-6 08-26-05 Section A I-10 Table I-5. Effective Quantities (3) One Material Type, Multiple Attractiveness Levels (where less than a Category III quantity of B-level material is included). (a) Determine the amounts of SNM for all attractiveness levels. (b) Compare the total amounts in each level to those in Table I-4, Graded Safeguards. (c) The material category level is the highest level of the material categories determined using the procedures in paragraphs 2.b.(3)(a) and 2.b.(3)(b). (4) Multiple Material Types. (a) Determine the category for each material type following the above procedures. (b) The category is that determined for the individual material type that requires the highest level of protection. c. Roll-up is the accumulation of smaller quantities of SNM to a higher category, based upon a compliance standard using Table I-4, Graded Safeguards. Unless it has been demonstrated by a vulnerability assessment that roll-up is not credible, SNM must be safeguarded and protected based on the total quantity of SNM for a location (e.g., MAA, PA, building, or group of buildings.) 3. MC&A REQUIREMENTS FOR SOURCE AND OTHER NUCLEAR MATERIALS. a. Separated neptunium-237 and separated americium (Am-241 and Am-243) must be protected, controlled, and accounted for as if they were SNM. For the purposes of this Manual, separated neptunium-237 and separated americium, refer to the recovered or product material generated from chemical and processing operations on the target/source material. (1) Departmental protection program strategies and graded safeguards thresholds for separated neptunium-237 and separated americium are to be identical to those for U-235. The category for these isotopes is determined using the U-235 side of Table I-3, Graded Safeguards. Attractiveness Level Pu/U-233 Factor U-235 Factor B 1 1 C 1/3 1/4 CANCELE D DOE M 470.4-6 08-26-05 Section A I-11 (2) Americium and neptunium-237 contained in plutonium as part of the natural in-growth process are not required to be controlled, accounted for, or reported until separated from the plutonium. b. Tritium is a nuclear material of strategic importance; therefore, a graded safeguards programs for tritium must be implemented according to the following categorizations. (1) Category III. Weapons or test components containing reportable quantities of tritium, deuterium-tritium mixtures, or metal tritides that can be easily decomposed to tritium gas, containing greater than 50 grams of tritium (isotope) with a tritium isotopic fraction of 20 percent or greater. (2) Category IV. All other reportable quantities, isotopic fractions, types, and forms of tritium.

c. Excluding tritium, separated neptunium-237, and separated americium (Am-241 and Am-243), source and other nuclear materials listed in Table I-1, Nuclear Materials, are exempt from the requirements of this Manual except for the following: (1) An MC&A program must be established and maintained for these materials based on the strategic and monetary value of the materials. (2) Data fields used in the materials accounting system must be consistent with Table I-1, Nuclear Materials. (3) Nuclear materials inventories and transactions must be documented in the nuclear materials accounting at a level specified by the DOE cognizant security authority. At a minimum, all RIS-level inventories and transactions must be documented by the system. (4) RIS level transactions and inventories must be reported to NMMSS in accordance with Section B of this Manual. Transactions and inventories for Berkelium are excluded from this requirement and do not need to be reported to NMMSS. (5) When these materials are potential substitution materials for SNM and are collocated with SNM, the requirements of Section A, II, 3.a.(2), Physical Inventory Frequencies, of this Manual apply. (6) The frequency and manner of conducting physical inventories must be approved by the DOE cognizant security authority and documented in the site/facility MC&A plan. (7) Other MC&A requirements are to be determined by the DOE cognizant security authority and documented in the site/facility MC&A plan or other MC&A program documents. CANCELE D DOE M 470.4-6 08-26-05 Section A I-12 4. LOSS DETECTION EVALUATION, PERFORMANCE TESTING, AND PERFORMANCE REQUIREMENTS. a. Loss Detection Evaluation. An assessment program for identifying and evaluating facility capability to detect the loss of Category I quantities of SNM must be developed for each Category I facility. Potential targets must include all Category I and any other areas for which a credible scenario for unauthorized accumulation of a Category I quantity of SNM have been identified. Vulnerability assessments must be approved by the DOE cognizant security authority and must be reviewed annually (at least every 12 months) and updated when there are system changes or new information indicates a potentially significant change in the risk of unauthorized removal of SNM. Results of the reviews, including changes in the vulnerability assessments, must be reflected in the vulnerability analyses reports. (See DOE M 470.4-1, Safeguards and Security Program Planning and Management, for additional information on vulnerability assessment programs.) b. Performance Testing. MC&A performance testing programs must be developed and documented to support and verify loss detection capability and system effectiveness. (See DOE M 470.4-1, Safeguards and Security Program Planning and Management, for additional information on performance testing programs.) The scope and intent of performance testing must be based on the graded safeguards concept, i.e., the testing program demonstrates greater testing for higher category facilities than for lower category facilities. (1) Performance tests must be designed to demonstrate that the MC&A system is functional and to ensure that the system performs as specified or required. In addition, the site/facility operator for the facilities must: (a) identify those system components that provide the greatest effectiveness against theft and diversion; (b) design, conduct, and document tests that substantiate component effectiveness; and

(c) integrate the results of these component tests into S&S risk management programs and vulnerability assessments. (2) The performance testing program must include those elements that can detect a threat in time to prevent it and those elements that can effectively account for SNM to detect material loss and ensure that safeguards and security systems are functioning properly. The performance testing program design must also focus on testing individual detection elements. Elements identified in a vulnerability assessment that contribute to detection capability must be tested on a frequency that is based on the level of risk. (3) Performance testing must include testing to determine whether S&S CANCELE D DOE M 470.4-6 08-26-05 Section A I-13 systems have failed, including testing for loss of SNM. The accuracy of the accounting system and its capability to provide information about the quantity, location, and identifying characteristics of nuclear material, must be tested. (4) Corrective action plans for systems that have failed performance testing must be developed and interim compensatory measures put in place. c. MC&A Performance Requirements. Specific performance requirements for selected MC&A system elements are established below in (1)-(7). The performance of the selected system elements must be validated on a frequency documented in the MC&A plan. If system elements fail to meet the performance requirements, a corrective action plan must be developed and, where necessary, compensatory measures must be taken. (1) Access controls. Performance tests must be designed and conducted to fully evaluate the effectiveness of access controls for Category I and II quantities of SNM. (a) At least 95 percent of the tests conducted must demonstrate detection of unauthorized access to Category I and II quantities of SNM. (b) Testing of access controls must be facility-specific, and the scope and the extent of the testing must be documented by the site/facility operator and approved by the DOE cognizant security authority. (2) Material Surveillance. Performance tests must be designed and conducted to fully evaluate the effectiveness of material surveillance activities for Category I and II quantities of SNM. (a) At least 95 percent of the tests conducted must demonstrate detection of unauthorized actions related to the control of Category I and II quantities of SNM. (b) Material surveillance testing must be facility-specific, and the scope and the extent of the testing must be documented by the site/facility operator and approved by the DOE cognizant security authority. (3) Tamper-Indicating Devices (TIDs). The TID record system must accurately reflect the location and identity of TIDs for at least 99 percent of the TIDs inspected. The TID program must ensure that TIDs are properly in place for at least 95 percent of the TIDs inspected. (a) To comply with the TID performance requirement, TIDs must be inspected for all items selected for physical inventory and/or CANCELE D DOE M 470.4-6 08-26-05 Section A I-14 transfer. (b) Testing to ensure TIDs are properly in place must include checking to see that the TID has been properly applied and the integrity of the TID has not been violated. (c) Performance must be verified at least annually (at least every 12 months) except for facilities whose physical inventories are conducted less frequently than once a year. For such facilities, performance must be verified at the same frequency as inventories are conducted.

(d) Testing for this requirement is not intended to require destruction of properly applied TIDs whose integrity has not been violated. (4) SNM and Metal Portal Monitoring. Performance testing requirements must include those necessary to verify vulnerability assessments, detection requirements, and applicable tests described in ASTM International Standard Guides. (5) Accounting Record Systems. The accounting record system must accurately reflect item identity and location for at least 99 percent of items selected. If more than 1 percent of the accounting records selected are found to be in error, corrective actions must be taken for the accounting system as a whole. (a) Accounting record systems must be verified against all items selected for physical inventory and/or transfer. (b) Performance must be verified at least annually (at least every 12 months) except for facilities whose physical inventories are conducted less frequently than once a year. For such facilities, performance must be verified at the same frequency as inventories are conducted. (6) Inventory Confirmation/Verification Measurements. For Category I and II items, acceptance/rejection criteria for verification measurements and, where possible, for confirmatory measurements, must be based on the standard deviation for the measurement method under operating conditions. Control limits for such criteria must be set at no wider than three times the standard deviation for the method. The control limits must be reviewed and approved by the DOE cognizant security authority (7) Inventory Difference Control Limits. (a) For Category I and II MBAs, limits-of-error must not exceed 2 percent of the active inventory during the inventory period or a Category II quantity of material. CANCELE D DOE M 470.4-6 08-26-05 Section A I-15 (b) For Category III and IV MBAs, limits-of-error of inventory differences must not exceed a specified percentage of the active inventory during the inventory period to a maximum of a specified quantity; the specified percentage and maximum quantity must be approved by the DOE cognizant security authority. (c) For purposes of the performances requirements (a) and (b), the term “active inventory” means the sum of additions to inventory, beginning inventory, ending inventory, inventory adjustments, and removals from inventory after all “common terms” have been excluded (in this context, “common terms” are material values that appear in the active inventory calculation more than once and come from the same measurement). 5. REPORTING INCIDENTS OF SECURITY CONCERN. a. The site/facility operator must identify MC&A loss detection elements for each MBA and must establish a graded program for monitoring these elements and associated data to determine the status of nuclear material inventories and to identify security incidents. (See DOE M 470.4-1, Safeguards and Security Program Planning and Management, for additional information on reporting security incidents.) b. In addition, the DOE cognizant security authority must independently evaluate the significance of the incident. Information and actions related to loss detection, monitoring, and assessment activities must be documented and maintained. 6. ASSESSMENT PROGRAMS.

a. General. The site/facility operator must establish a program to periodically review and assess the integrity and quality of its MC&A program and practices. The assessment program must address both normal operations and emergency conditions. The frequency and content of these assessments must be on a graded basis approved by the DOE cognizant security authority. (See DOE M 470.4-1, Safeguards and Security Program Planning and Management, for additional information on safeguards and security assessment programs.) The results of all assessments must be reported to the DOE cognizant security authority, and assessment reports must be reviewed for classification. Deficiencies must be identified and corrective action plans developed. The assessment must be performed by personnel who are knowledgeable of MC&A. Reviews must be conducted and documented before startup of new facilities or operations and when changes occur in facilities, operations, or MC&A features that might alter the performance of the MC&A system. b. Assessment Program Elements. At a minimum, the assessment program must address the following. CANCELE D DOE M 470.4-6 08-26-05 Section A I-16 (1) Identification of abnormal situations. (2) Loss mechanisms, loss detection capabilities, and localization of inventory differences. (3) Selection, maintenance, calibration, and testing functions to ensure proper equipment and system performance. (4) MC&A system checks and balances, including separation of responsibilities and duties, used to identify irregularities and detect tampering with materials or MC&A system components. (5) Change controls, including authorization requirements, to detect unauthorized or inappropriate modification of system components, procedures, or data. The change control system must address requirements for review, authorization, documentation, notification, and controls on equipment selection, procurement, and maintenance. (6) Procedures or checks to ensure the reliability and accuracy of MC&A data and information. (7) Performance testing conducted by the site/facility operator. This portion of the assessment should address the design of performance tests and the results obtained by the testing program since the last assessment. (8) Procedures for emergency conditions and for periods when MC&A system components are inoperative. (9) Material containment, material access, and material surveillance procedures. (10) Physical inventory program and reconciliation practices. (11) Accounting system procedures, capabilities, and sensitivities. (12) Identification of personnel with MC&A responsibilities who should be included in the facility human reliability program, (See 10 Code of Federal Regulations 712, Human Reliability Program, for additional information.) (13) Measurement control program. (14) TID programs. c. Independent Assessments. In addition to the assessments described above, an organization independent of MC&A must conduct internal audits of the facility’s MC&A function to assess compliance with internal plans and procedures. The frequency of these audits must be approved by the DOE cognizant security authority. CANCELE D DOE M 470.4-6 08-26-05 Section A II-1 CHAPTER II - MATERIALS ACCOUNTABILITY 1. GENERAL. This Chapter describes requirements for nuclear materials accountability.

Nuclear material accountability programs must ensure accountable nuclear materials are accounted for and unauthorized acts are detected. These requirements must be applied in a manner consistent with the graded safeguards concept. The Chapter is divided into five functional areas: accounting systems, physical inventories, measurement and measurement control, nuclear material transfers, and material control indicators. 2. ACCOUNTING SYSTEMS. A system for tracking nuclear material inventories, documenting nuclear material transactions, issuing periodic reports, and assisting with the detection of unauthorized system access, data falsification, and material gains or losses must be established and implemented. The accounting system must provide a complete audit trail for all nuclear material from receipt through disposition. The generally accepted accounting principles promulgated by the Financial Accounting Standards Board must be used in the design and operation of the nuclear material accounting system. The facility nuclear materials accounting system must include checks and balances and must be structured to ensure timely detection of errors or discrepancies in records associated with a Category I or II quantity of SNM, including, where possible, detecting falsified data and identifying the responsible persons. Timeframes for detection of errors and discrepancies must be approved by the DOE cognizant security authority and documented in the MC&A plan. The system also must be capable of detecting omissions and other data discrepancies and ensuring completeness of accounting records. a. Accounting Systems Databases and Procedures. Procedures must be established and maintained that describe the structure and operation of the nuclear materials accounting system. The procedures must accurately reflect current nuclear material accounting practices. Specific requirements for accounting procedures must include the following. (1) Descriptions of the inventory database (including procedures for updating and reconciling inventory data with the results of physical inventories) and the required data elements for each applicable material type. (2) Identification of accounting reports and their frequency, distribution, and timeliness, consistent with accounting requirements. (3) Identification of organizational responsibilities for management and operation of the accounting system. (4) Recording, reporting, and submitting data to the NMMSS, by material type and reporting unit, as specified in Section B of this Manual. b. Account Structure. (1) Facility nuclear material accounts must consist of one or more MBAs CANCELE D DOE M 470.4-6 08-26-05 Section A II-2 established to identify the location and quantity of nuclear materials in the facility. Readily retrievable accountability data must be maintained by MBA and reflect quantities of nuclear materials inventory, quantities of nuclear materials received and shipped, and other adjustments to inventory. (2) The MBA account structure must sort data by material types, processes, and functions; provide the capability to localize inventory differences; and provide a system of checks and balances for verifying the accuracy of the accountability data and records. (3) An MBA boundary must not cross an MAA boundary. Each MBA must consist of a single geographical area and be an integral operation. (4) The site/facility operator must designate an MBA custodian for each MBA to ensure that MC&A requirements are implemented in that MBA.

(5) The MBA custodian is responsible for controlling nuclear material located in the MBA, preparing and signing internal material transfer documents, and conducting and reconciling MBA physical inventories. (6) An MBA custodian must not be responsible for multiple MBAs when transfers of nuclear material occur between those MBAs (i.e., a single custodian must not serve as both shipper and receiver for material transfers). c. Records and Reports. (1) The site/facility operator must maintain records, submit data, and issue reports as required by this Manual and facility procedures. The reports must accurately describe all nuclear material transactions and inventories. Inventory adjustments must be identified by MBA and must be reported as required in this Manual. (2) Nuclear materials records must be updated by authorized personnel only. The records system must provide an audit trail for all transactions affecting the nuclear materials database. (3) The accounting records system must be capable of being updated daily or on demand for all nuclear materials transactions. This requirement is for updating records based on reports or information; it does not pertain to how quickly a facility must be able to complete measurements. The records system must also be capable of generating electronic and/or hard copy book inventory listings of all SNM within 3 hours. The listing must differentiate between SNM and other nuclear material when necessary. The accuracy of the accounting record system must be validated in accordance with requirements of Section A, Chapter I, paragraph 4.b., of this Manual. Specific performance requirements for accounting record CANCELE D DOE M 470.4-6 08-26-05 Section A II-3 system accuracy are contained in Chapter I, paragraph 4.c. 3. PHYSICAL INVENTORIES. The site/facility operator must implement a physical inventory program for nuclear materials to demonstrate that materials are present in their stated quantities and to detect the unauthorized removal of nuclear materials. Inventory requirements for separated Np-237 and separated americium are the same as for SNM. When facilities are precluded from performing physical inventories as required by this Manual, material control and protection features must be enhanced to ensure inventory integrity. Physical inventory programs must comply with the following requirements. a. Periodic Physical Inventories. Periodic and special physical inventories must be performed for each MBA according to the strategic importance of the material and the consequence of its loss. (1) Conduct of Physical Inventories. Inventories must be based on measured values, including measurements or technically justifiable estimates of holdup. Process monitoring techniques may be used for material that is undergoing processing and recovery operations and is inaccessible for measurements. Plans and procedures must be developed and documented that define responsibilities for performing inventories and specify criteria for conducting, verifying, and reconciling inventories. Statistical sampling, based on graded safeguards, may be used to verify the presence of items during inventories. Parameters for statistical sampling plans must be defined by the site/facility operator, and approved by the DOE cognizant security authority. Sampling plans must specify the population, confidence level, minimum detectable defect, definition of a defect, and action to be taken if a defect is encountered.

Table II-1, Minimum Sampling Parameters for Physical Inventories, provides minimum sampling parameters for safeguards categories. Table II-1. Minimum Sampling Parameters for Physical Inventories Category Confidence Level Minimum Detectable Defect I 95 percent 3 percent II 95 percent 5 percent III & IV 95 percent 10 percent The inventory population must be stratified according to item category as shown in Table II-1, Minimum Sampling Parameters for Physical Inventories. Separate samples must be derived for each inventory stratum. (2) Physical Inventory Frequencies. Physical inventories must be performed for Category I and II MBAs that involve activities other than processing at a frequency determined by the DOE cognizant security authority but at least semiannually (once every 6 months). The site/facility operator must ensure that physical inventories are performed bimonthly (once every 2 months) in Category I and II MBAs where processing occurs. CANCELE D DOE M 470.4-6 08-26-05 Section A II-4 In processing areas where process controls provide equivalent levels of theft and diversion detection, physical inventories may be performed upon completion of the material campaign. In such cases, the DOE cognizant security authority must approve a processing plan before starting the campaign. The process plan must identify compositions and quantities of material to be processed, projected processing timetable, process control measures used, and procedures necessary for material controls during process interruptions. Other factors to be considered for frequency determination include personnel radiation exposure, the operational mode of the facility, and credible protracted diversion scenarios. At least annually, each facility must perform a simultaneous physical inventory of all Category I and II MBAs for which the established inventory frequency is annual or more frequent. MBAs with extended inventory frequencies of greater than 1 year are excluded from this requirement. Physical inventories for Category III and IV SNM MBAs must be performed at a frequency specified by the DOE cognizant security authority, but at least every 2 years (every 24 months). Category IV source and other nuclear material in Category I and II MBAs must be inventoried at least every 2 years (every 24 months), except when the source and/or other nuclear material is a credible substitution material. When source or other nuclear materials are credible substitution materials for SNM and are collocated with SNM, facilities must inventory substitution materials with the same frequency as the SNM and use inventory measurement methods that can distinguish between SNM, source, and other nuclear material. Except for materials required to be protected as SNM and potential substitution materials collocated with SNM, source and other materials outside Category I and II MBAs must be inventoried at a frequency approved by the DOE cognizant security authority and as documented in the MC&A plan. In addition to the requirements listed above, inventory checks for Category IA items not in storage must be performed weekly for physical count verification and monthly for serial number verification. Inventory checks for stored Category IA items must consist of a physical count whenever the storage area is accessed and a monthly serial number verification. (3) Extensions to Inventory Frequency Requirements. Extensions to inventory frequencies must be approved by the DOE cognizant security authority in accordance with the alternative inventory control provisions in

CANCELE D DOE M 470.4-6 08-26-05 Section A II-5 Table II-2, Inventory Periods Based on Alternative Measures for Category I and II Storage Locations. For Category I and II storage areas, Table II-2 may be used to determine the frequency of physical inventories based on the successful implementation of alternative inventory control measures. Inventory periods specified for each alternative measure are additive so long as the measures function independently. Total inventory extension is equal to the sum of inventory periods for all alternative measures used, with a maximum allowable period of 5 years (60 months). The longest inventory extensions are given for measures that provide material attribute information. Items added to these storage areas must have appropriately measured values. If inventory extensions are granted for Category I or II storage areas other than in accordance with the provisions of Table II-2, a deviation must be submitted. (See DOE M 470.4-1 for additional information on submission of deviations.) The DOE cognizant security authority may extend inventory periods beyond 2 years (24 months), with a maximum inventory period of 5 years (60 months), for Category III and IV storage areas that have alternative inventory control measures. Inventory values must be determined by the site/facility operator in time to complete inventory computation and reconciliation and to determine inventory differences within DOE reporting requirements as specified in this Manual and based on approved inventory frequencies. (4) Physical Inventory Reconciliation Program. A physical inventory reconciliation program must be implemented in which the book inventory for each MBA is compared with, and if necessary, adjusted to the physical inventory. The reconciliation must be completed within 15 calendar days following receipt of all inventory information, measurement data, and sample analyses. Any inventory differences must be identified and reported as required. b. Special Inventories. Procedures must be established and implemented for conducting special inventories at the request of authorized facility personnel, the DOE cognizant security authority, or as a result of routine disassembly of critical assemblies, changes in custodial responsibilities, missing items, inventory differences exceeding established control limits, and abnormal occurrences. c. IAEA Inventories. Physical inventories performed during IAEA inspections may, with the concurrence of the DOE cognizant security authority, serve in place of a scheduled physical inventory. CANCELE D DOE M 470.4-6 08-26-05 Section A II-6 Table II-2. Inventory Periods Based on Alternative Measures for Category I and II Storage Locations d. Inventory Verification/Confirmation Measurements. (1) A system for performing measurements as part of a physical inventory must be established and implemented by the site/facility operator for each MBA. Verification measurements must be made on SNM items that are not tamper-indicating. Confirmation measurements must be made on tamper-indicating SNM items. Such measurements may use a statistically based sampling plan applied in a manner consistent with the graded safeguards concept. The site/facility operator must develop sampling plans, which the DOE cognizant security authority must approve. These plans must be based on the defined population and must not be a subset of the sample selected for physical inventory. Separate sampling plans must be implemented for verification and confirmation measurements to ensure that a sufficient number of non-tamper-indicating items are measured. Sampling plans must specify the population, confidence level, minimum detectable defect, definition of a defect, and action to be taken if a defect is encountered. Minimum sampling parameters for safeguards categories are as noted in Table II-3, Minimum Sampling Parameters for Verification/Confirmation Measurements, below.

Table II-3 Minimum Sampling Parameters for Verification/Confirmation Measurements Category Confidence Level Minimum Detectable Defect I 95 percent 3 percent II 95 percent 5 percent III & IV 95 percent 10 percent Alternative Inventory Control Measures1 Inventory Periods Formidable barriers 1 year Hazardous environment 1 year Bulk containment 1 year Vault enhancement above baseline requirements 9 months Continuous monitoring of physical or mechanical parameters 1 year General (area-wide) confirmatory measurements 1 year Continuous item observation (e.g., video/image, laser surveillance) 2 years Continuous item monitoring (e.g., monitoring of serial number, TIDs, movement) 2 years Mass (load cell) 2 years Confirmatory measurements on individual items (e.g., thermal, gamma, or neutron emission) 3 years Quantitative measurements on individual items May qualify as a continuous inventory2 1When multiple measures are used for storage MBAs, the inventory periods are additive as long as the alternative measures function independently. 2If the measurements are both item- and material-specific and there is a level of confidence that the measurements are correct, the monitoring may qualify as a continuous physical inventory. To be considered a continuous physical inventory, automated measurements must be made on all items on a second-to-second basis. CANCELE D DOE M 470.4-6 08-26-05 Section A II-7 The inventory population must be stratified according to item category, as shown in Table II-3, Minimum Sampling Parameters for Verification/Confirmation Measurements. Separate samples must be derived for each stratum. For tamper-indicating items stored in vaults or vault-type rooms, the DOE cognizant security authority may approve sampling plans based on sampling parameters other than those required by Table II-3. The DOE cognizant security authority may establish a material quantity threshold for requiring inventory verification and confirmation measurements. For materials not amenable to verification measurement, confirmatory measurements of two material attributes must be substituted for verification measurements. Materials not amenable to verification measurement must be identified and documented in the MC&A plan. (2) The site/facility operator must establish documented acceptance or rejection criteria for inventory confirmation and verification measurements based on valid technical and statistical principles. For Category I and II items, acceptance and rejection criteria must be consistent with performance requirements for confirmation and verification measurements shown in Chapter I, paragraph 4.c. The site/facility operator must prepare and implement a response plan for evaluating and resolving all verification and confirmation measurements that fail to meet acceptance criteria. Items that fail to meet the confirmation or verification measurement acceptance criteria must not be processed before the discrepancy is resolved. 4. MEASUREMENT AND MEASUREMENT CONTROL. Measurement and measurement control programs approved by the DOE cognizant security authority must be implemented at all facilities with nuclear material. Measurement programs used to determine Category I or II inventories of SNM or used to determine a Category I or II SNM throughput over a 6-month period must meet the requirements set forth in paragraphs 4.a. through e., below. All measurement systems used for accountability purposes must have associated measurement control programs to ensure the quality of measurement data generated.

Measurement programs used to determine Category III or IV inventories of SNM must address the topics set forth in paragraphs 4.a. through e., below ,but the specific measurement and measurement control requirements will be determined by the DOE cognizant security authority. Measurement systems used for accountability purposes must be precise and accurate enough to minimize the contribution of measurement error to the limit of error of the inventory difference. Nuclear materials not amenable to verification measurement must be identified in the facility’s MC&A plan. Inventory values for these materials must be based on measured values or technically justified estimates. Justification and supporting CANCELE D DOE M 470.4-6 08-26-05 Section A II-8 documentation for these inventory values must be maintained and readily retrievable for review. a. Organization. Measurement and measurement control programs must be independent from operations. b. Selection and Qualification of Measurement Methods. The site/facility operator must select, qualify, and validate measurement methods capable of providing the required levels of precision and accuracy. Target values for precision and accuracy of nuclear material measurements endorsed by recognized national and international nuclear organizations must be considered performance goals for facility measurement systems. Alternative measurement performance goals must be defensible and documented. Precision and accuracy requirements must be approved by the DOE cognizant security authority and documented in the MC&A plan. Procedures must be documented and implemented for each facility to ensure that only qualified measurement methods are used for accountability purposes. c. Training and Qualification of Measurement Personnel. Individuals responsible for performing nuclear material measurements must have sufficient knowledge to perform the measurements in an acceptable manner. (1) Training. A documented plan for training measurement personnel must be established and implemented for each facility. The plan must be reviewed annually (at least every 12 months) and updated as necessary to reflect changes in measurement technology and must specify training qualification and re-qualification requirements for each measurement method. (2) Qualification. A documented qualification program must be established and implemented for each facility to ensure that measurement personnel demonstrate acceptable levels of proficiency before performing measurements and that measurement personnel are re-qualified according to requirements in the training plan. Measurement personnel must demonstrate proficiency in destructive analysis of nuclear material at a minimum of once per day for each method they will use that day. d. Measurement Systems. Nuclear material measurement systems must provide accurate nuclear material values for inventories and transactions. (1) Sampling. Sampling programs must be implemented to ensure that portions of bulk material taken for measurement are representative of the bulk material. The site/facility operator must establish and implement a documented sampling plan for each measurement point used for accountability purposes. The plans must be based on valid technical and statistical principles and must take into account material type, CANCELE D DOE M 470.4-6 08-26-05 Section A II-9 measurement requirements, and any special process or operational considerations.

(a) The basis for the sampling plan must be documented and validated through studies of the materials or items being sampled. (b) The sampling plan must specify, at a minimum, the sampling procedure, number and size of required samples, mixing time and procedure (when applicable), provisions for retaining archive samples, and estimates of variance associated with the sampling method. (c) Sampling procedures must be documented and reviewed annually (at least every 12 months) or whenever changes are made, including changes to the type or composition of the material being sampled. (2) Measurement Methods. The site/facility operator must develop, document, and maintain measurement methods for all nuclear material on inventory. These methods must be written to provide clear direction to the analyst or operator and must be validated initially and revalidated whenever changes are made. (a) In determining inventory values and consistent with the graded safeguards concept, measurement methods must be selected in a manner that minimizes the contribution of measurement error to the uncertainty of the inventory difference. (b) Verification measurements, when used to adjust accountability records, must have accuracy and precision comparable to or better than the original measurement method. (c) The method used for confirmatory measurements must be capable of determining the presence or absence of a specific attribute of the material consistent with valid acceptance and rejection criteria. (d) All measurement methods must be calibrated using standard or certified reference materials or secondary standards traceable to the national measurement base and must be revalidated as necessary. (e) Measurement equipment and instruments must meet precision and accuracy requirements under in-plant conditions. (f) Documentation of measurement data must be maintained to provide an audit trail from source data to accounting records. e. Measurement Control Programs. The site/facility operator must develop and implement control programs for all measurement systems used for accountability CANCELE D DOE M 470.4-6 08-26-05 Section A II-10 purposes. Control programs must ensure the effectiveness of measurement systems and the quality of measured values used for accountability purposes. Control programs must also produce precision and accuracy values for use in determining inventory difference control limits and shipper/receiver limits of error. A measurement control program, as referred to herein, must include, at a minimum, the following elements. (1) Scales and Balances Program. All scales and balances used for accountability purposes must be maintained in good working condition, recalibrated according to an established schedule, and checked for accuracy and linearity on each day that the scale or balance is used for accountability purposes. (2) Analytical Quality Control. Data from routine measurements must be analyzed statistically to determine and ensure accuracy and precision of the measurements. (3) Sampling Variability. The uncertainty associated with each sampling method, or combination of sampling and measurement methods, must be determined and maintained on a current basis. (4) Physical Measurement Control. The precision and accuracy of volume, temperature, pressure, and density measurements must be determined and ensured.

(5) Instrument Calibration. Instruments must be calibrated using appropriate standards, when available. At a minimum, measurement values must be compared with more accurate measurement system values on a prescribed basis; the frequency is defined by demonstrated instrument performance. (6) Reference Materials (Standards). All calibration and working standards used in a measurement control program must be traceable to the national measurement base through the use of standard reference materials or certified reference materials. They must have smaller uncertainties associated with their reference values than the uncertainties of the measurement method in which they are used. Working standards used in a measurement control program must be representative of the type and composition of the material being measured when the material matrix affects the measured values. (7) Sample Exchange Programs. Each facility’s measurement control program must include participation in interlaboratory control programs to provide independent verification of internal analytical quality control. (8) Statistical Controls. For each measurement method used for accountability purposes, control limits must be calculated and monitored, and documented procedures must exist to correct out-of-limits conditions. Control limits must be established at the two-Sigma level (warning limits) CANCELE D DOE M 470.4-6 08-26-05 Section A II-11 and three-Sigma level (alarm limits). Control data exceeding the two- Sigma limits must be investigated, and when warranted, corrective action must be taken. If a single data point exceeds the three-Sigma level, the measurement system in question must not be used for an accountability measurement until the measurement system has been demonstrated to be within statistical control. For measurement methods relying substantially on operator technique, control limits must include uncertainties for each analyst/method combination. Statistical control limits must be monitored to ensure they are consistent with target values as approved in the MC&A plan. (9) Measurement Method Qualification. The site/facility operator must have a documented measurement method qualification program. The qualified measurement methods must demonstrate acceptable performance before being used for accountability purposes. For destructive analysis and nondestructive assay of nuclear material, performance must be demonstrated at least once per day for each method being used. For nondestructive analysis measurement systems for which meeting this requirement is impractical or unnecessary, the control measurement frequency must be at least one of every five measurements unless otherwise approved by the DOE cognizant security authority. (10) Measurement Control Procedures. The site/facility operator must develop and document measurement control procedures for all measurement methods used for accountability. The site/facility operator must develop and implement a program for each facility to ensure measurement control procedures are followed. (11) Statistical Programs. The site/facility operator must develop and implement a documented program for the statistical evaluation of measurement data to determine control limits and precision and accuracy levels for each measurement system used for accountability. The program must ensure the quality of measurement and measurement control data and provide estimates of uncertainty on inventory and inventory control statements.

The statistical program, at a minimum, must contain the following elements. (a) Valid statistical techniques to determine the total random error, the measurement biases generated for each measurement system or sampling/measurement system, and the control limits, rejection limits, and outlier criteria. (b) A valid statistical technique to develop sampling plans for inventory and measurement of nuclear material. CANCELE D DOE M 470.4-6 08-26-05 Section A II-12 (c) Analysis of measurement control data and reporting to the responsible organization at specified times and frequencies. (d) Documentation of all major assumptions made in each data evaluation process. 5. NUCLEAR MATERIAL TRANSFERS. The site/facility operator must develop and implement a program to control and account for both internal and external transfers of nuclear materials for each facility. This program must include documented procedures that specify requirements for authorization, documentation, tracking, verification, and response to abnormal situations that may occur during transfer of nuclear materials. The site/facility operator must establish and implement a graded system of measurements and records to monitor internal and external transfers of nuclear material and to deter/detect unauthorized removal of material during such transfers (see Section B of this Manual for requirements for submitting DOE/NRC F 741 and DOE forms required for documenting transfers for materials accounting purposes). a. External Transfers. (1) The shipper must obtain written verification and maintain documentation that the intended receiver is authorized to accept the material before the material is transferred. (2) Transfers of nuclear material between facilities having a different RIS must be documented using the electronic equivalent of DOE/NRC F 741. Manual/paper DOE M 741’s may be used to meet this requirement with the approval of the DOE cognizant security authority. These forms must be prepared and distributed to the principals of the transaction and line management, as required by Section B of this Manual. (3) Immediately after receipt, shipments must be subjected to a transfer check. Transfer checks must consist of confirming the shipping container or item count, validating the TID integrity and identification, verifying the tamper-indicating characteristics of the container, and comparing with shipping documentation to ensure the shipment was received intact. For external transfers, all SNM containers must be tamper-indicating. For purposes of transfer checks, receipt occurs when the transfer vehicle is unloaded or the transfer vehicle’s integrity is breached (TIDs removed or broken) at the receiving facility. The site/facility operator must have documented procedures that specify actions to be taken in the event discrepancies are detected. Records of transfer checks are subject to audit and must be retained at least until the next S&S survey. For accountability purposes, material in transit at the end of a reporting period must be included in the receiver’s reported inventory even though physical receipt of the material has not yet occurred. CANCELE D DOE M 470.4-6 08-26-05 Section A II-13

(4) For all unirradiated Category I and II quantities of SNM transferred between facilities having a different RIS, the receiver must perform a verification or accountability measurement unless both RISs are located on the same site and are operated by the same site contractor. Both verification measurements and accountability measurements are quantitative measurements used by the receiver to verify that the amount of SNM in a shipment is as stated by the shipper. Accountability measurements differ from verification measurements only in how they are used in receiver’s accountability system. Accountability measurements are entered in receiver’s accountability system as the value for the shipment. When verification measurements are used, the shipper’s values are entered into the receiver’s accountability records. (a) The receiver may choose to establish a new accountability value or accept and book the shipper’s accountability value considering the potential impact on the inventory difference. Transfer of nuclear material produced to program specification and inherently tamper- indicating may be verified by performing a confirmatory measurement rather than a verification/accountability measurement unless the DOE cognizant security authority requires verification/accountability measurements. Use of confirmatory measurements in lieu of verification/accountability measurements for such items requires a shipper/receiver agreement approved by both the shipper’s and receiver’s DOE cognizant security authority. For Category III and IV transfers, the DOE cognizant security authority may require that measurements be made consistent with the strategic, nonproliferation, and/or monetary value of the material, or as required for environmental, safety, and operational controls. Verification/accountability measurements must be completed prior to processing material, unless a deviation is approved or the criteria defined in paragraph 5.a.(4)(f) are met. When verification/accountability measurements are required and materials are to be processed before the verification/accountability measurements have been made, the shipper and receiver must reach an agreement as to how significant shipper/receiver differences will be handled. (b) The shipper must independently determine the measured values before shipment unless the integrity of the item and of the existing measured values have been ensured. The shipper’s measured values must be documented on DOE/NRC F 741. (c) The receiver’s confirmation and verification/accountability measurements (when required) for Category I and II quantities of SNM transfers must be accomplished in accordance with the CANCELE D DOE M 470.4-6 08-26-05 Section A II-14 requirements in Table II-4, Shipper/Receiver Measurement Requirements. The receiver’s verification/ accountability measurements for transfers involving other categories of nuclear material, when required by the DOE cognizant security authority [see paragraph 5.a.(4)(a)], must be performed in accordance with the requirements in Table II-4, Shipper/Receiver Measurement Requirements. (d) For shipment of unirradiated SNM containing greater than 250 grams of a single SNM type and for each discrete item exceeding 250 grams, limits of error at the 95 percent confidence level must be assigned to shipper and receiver accountability/verification measurements for both the element and isotope values. Limits of error need not be reflected on the DOE/NRC F 741 for external transfers when accountability measurements cannot be performed. For other shipments, the shipper and receiver may estimate the limits of error. Limits of error are also required for all measurements of external transfers of tritium that exceed 2 grams, except as noted above.

Table II-4. Shipper/Receiver Measurement1 Requirements Material Category and Attractiveness Level Material Confirmation Verification/Accountability2 Measurements IA 3 working days Shipper’s value IB 5 working days 30 calendar days IC, II 10 working days 30 calendar days III 10 working days 120 calendar days or on input to process IV 20 working days On statistical bases within 180 days or on input to process 1Confirmatory measurement by nondestructive analysis, gross weight check, and item count (if not done as part of transfer checks). Confirmatory measurements are not required for all materials. When confirmatory measurements are required, they must be performed within the time frames of this table. 2Quantitative determination of material quantities (within designated measurement uncertainty limits). Accountability measurement values are entered into receiver’s accountability records. For verification measurements, the shipper’s values are entered into the receiver’s accountability records. Verification/accountability measurements are not required for all materials. When verification/accountability measurements are required, they must be performed within the time frames of this table. (e) Documented acceptance/rejection criteria must be established and used to evaluate confirmatory measurement data. A response plan for investigation and resolution of confirmatory measurements that fail acceptance criteria must be developed and implemented, and all anomalies must be investigated and resolved. (f) If delays in completing the receiver’s verification/accountability measurement will result in a protracted delay in closure of the transaction, a confirmatory measurement may be used to affect a “safeguards closure” of the transaction. The transaction is documented by an “A-S” entry on DOE/NRC F 741. A safeguards closure may be used when the integrity of the shipment is ensured and only verification/accountability measurement differences are CANCELE D DOE M 470.4-6 08-26-05 Section A II-15 possible between shipper and receiver. If the receiver’s verification/accountability measurement performed after a safeguards closure indicates a shipper/receiver difference, the difference may be resolved by mutual agreement of the shipper and receiver with the approval of their DOE cognizant security authorities and an adjustment (correcting entry) to the DOE/NRC F 741, if required. The safeguards closure may be affected only when all of the following conditions have been met. 1 No discrepancies are found in the verification of the piece count, identification number, integrity of the TIDs, and gross weight of the items or containers received, and no evidence indicating theft or diversion of the material is found. 2 The shipper and receiver confirmation measurements must confirm the same nuclear material attribute, must compare results of the methods on a technically valid basis, and the results must be within the established limits of agreement. 3 Criteria for closing transactions, based on confirmatory measurements, are approved by both shipper’s and receiver’s DOE cognizant security authority, and the shipper/receiver agreement is in effect for the transaction. (g) Limited processing is acceptable for materials not amenable to nondestructive assay in order to perform a receipt measurement, as approved by both shipper’s and receiver’s DOE cognizant security authority. Limited processing can include homogenization and dissolution.

(5) SNM in foreign reactor fuel returns must either be measured; or the risk of diversion of material from the fuel must be documented, and the acceptance of the fuel without measurement must be approved by the responsible Under Secretary or his/her designee. b. Internal Transfers. (1) The site/facility operator must provide a graded system of measurements and records to reflect the flow of material between MBAs within that facility and between it and other facilities on the same site. (2) The facility control system must be designed to monitor transfer activities and to deter and detect unauthorized removal of material during transfers. It must flag abnormal situations (e.g., inappropriate transfers of quantities, materials, or unauthorized personnel receiving or shipping materials). CANCELE D DOE M 470.4-6 08-26-05 Section A II-16 (3) Transfers must be documented on nuclear material transfer forms or electronic equivalents that contain required information, prepared and distributed within established time frames, and signed by authorized custodians or their alternates. (4) Materials must be subjected to a transfer check within 1 work day after receipt. These checks must include verification of shipping container or item count, TID integrity (if applied), and identification number. These transfer checks must be compared with appropriate documentation. Irradiated SNM requires only a transfer check. (5) When the isotope content of SNM transferred between MBAs is 50 grams (fissile) or more, the material must have a measured value before transfer. Measured values are not required for enriched uranium that is below 20 percent U-235 and below10 percent U-233. Confirmation/verification measurement requirements for internal transfers must be approved by the DOE cognizant security authority, including when measurements are not required. (6) Acceptance/rejection criteria must be established and documented to evaluate measurement data for internal material transfers. In addition, procedures must specify notification and response requirements if nuclear material removal or another abnormal situation is detected. (See DOE M 470.4-1, Safeguards and Security Program Planning and Management, for additional information about reporting security incidents.) 6. MATERIAL CONTROL INDICATORS. The site/facility operator must develop and implement a program that is capable of detecting losses through evaluation and assessment of shipper/receiver differences, inventory differences, and other inventory adjustments. The program must assess the material control indicators described below and ensure detection of losses and unauthorized removal of nuclear materials. Documented plans must specify responsibilities and procedures for evaluating material control indicators. a. Shipper/Receiver Difference Assessment. Written procedures must be developed for evaluating shipper/receiver differences and for investigating and reporting significant shipper/receiver differences. (1) A shipper/receiver difference is defined to be significant when it meets any of the following criteria. (a) It involves a discrepancy in the number of items, regardless of the quantity of nuclear material, or confirmation measurements for the shipment fail to meet acceptance criteria covered in a shipper/receiver agreement. (b) It is statistically significant. The determination of whether shipper/receiver difference is statistically significant is only CANCELE D DOE M 470.4-6 08-26-05

Section A II-17 required for those shipments for which verification/accountability measurements are made by both the shipper and receiver. A shipper/receiver difference is defined to be statistically significant when the magnitude of the difference exceeds either of the following: 1 the limit obtained by a statistical combination of the valid limits of error for the shipper and receiver’s measured values; OR 2 the square root of two times a single valid limit of error when either the shipper or receiver’s limit of error is invalid. When both the shipper’s and receiver’s limits of error are determined to be invalid, the limits of error must be recalculated, and the statistical significance of the shipper/receiver difference must be reevaluated. (2) Shipper/receiver difference data must be subjected to trend analysis to detect measurement bias or material loss. Analyses must be designed to detect statistically significant cumulative shipper/receiver differences and to trigger investigations when these differences are detected. (3) The receiver must notify its DOE cognizant security authority and the shipper of any shipper/receiver difference determined to be significant. Both shipper and receiver must investigate their measurements and limits of error. Such investigations must be completed and documented. (4) Shipper/receiver differences involving a discrepancy in number of items must be reported. (5) When shipper/receiver differences are determined to be statistically significant, but the quantities and strategic or monetary values are insufficient to warrant an investigation and subsequent correction to transfer documents, and when the receiver is DOE or one of its contractors or subcontractors, the difference need not be investigated and the party must record its own quantitative value. In the context of this paragraph, differences of less than 50 grams of fissile material or less than 5 grams of tritium are considered to be insufficient to require an investigation unless there are special circumstances. Authority to invoke the stipulations of this paragraph rests mutually with the shipper’s and receiver’s DOE cognizant security authority. (6) Statistically significant shipper/receiver differences may be resolved through any of the following methods. CANCELE D DOE M 470.4-6 08-26-05 Section A II-18 (a) If both the shipper’s and receiver’s DOE cognizant security authorities obtain assurance that the measurements and limits of error are valid, and the investigation indicates that theft or diversion has not occurred, the shipper and receiver must record their own quantitative values. OR (b) If either the shipper or receiver and their DOE cognizant security authority agree to accept the other’s value, the shipper or receiver must prepare a corrected copy of the shipping document using the other’s data. OR (c) If the investigation does not result in a satisfactory resolution, the shipper/receiver difference must be resolved by the Departmental Elements concerned through traditional DOE line management channels. (7) The receiving facility must not process SNM contained in a shipment involving an unresolved significant shipper/receiver difference unless a shipper/receiver agreement allowing this has been approved by both the shipper’s and receiver’s DOE cognizant security authority. b. Inventory Difference Evaluation.

(1) A program for evaluating all SNM inventory differences, including those involving missing items must be developed, documented and implemented for each facility. Programs for evaluation of inventory differences for other nuclear materials may be established at the option of DOE line management. The site/facility operator must develop and implement procedures for establishing control limits and requiring an investigation when those limits are exceeded. All inventory differences that exceed control limits must be reported. Assessments of inventory differences must include statistical tests (e.g., tests of trends and biases) and must be applied, as appropriate, to both total inventory difference and actual inventory difference on both an individual and a cumulative basis for each processing MBA. Inventory records, process logs (where available), or other information may also be used to detect anomalies and trigger investigations. (2) Procedures for establishing control limits for inventory differences of SNM must be based on variance propagation using current data. The data should reflect operating conditions for the material balance period of the inventory. Other methodologies may be used but they must be approved by the DOE cognizant security authority and must be justified based on factors such as limited data, low transfer rates, and/or material category. CANCELE D DOE M 470.4-6 08-26-05 Section A II-19 For Category IV MBAs, control limits may be based on professional judgment with the approval of the DOE cognizant security authority. Significant differences between historical limits and limits based on variance propagation must be investigated for the purpose of validating, revising, and refining the variance propagation model. (3) Documented procedures must be established and implemented for responding to and reporting missing items and inventory differences in excess of control limits. (See DOE M 470.4-1 for additional information on reporting missing items and inventory differences exceeding control limits.) c. Evaluation of Other Inventory Adjustments. (1) The site/facility operator must establish a documented program for evaluating all inventory adjustments entered in the accounting records. The program must have written procedures, including equations for applying radioactive decay and fission transmutation adjustments. A program for holdup adjustments must be justified on the basis of measurements or other factors. The program must include documented procedures for the statistical review of inventory adjustments using techniques such as tests of trends, biases, and correlation. (2) Procedures must be developed and implemented to ensure that all inventory adjustments are supported by measured values or other technically justifiable bases. The program must include procedures for measuring and monitoring environmental waste such as stack effluent and liquid waste streams as required by environmental protection program directives and regulations. (3) Procedures must be established and implemented for reporting reviews of inventory adjustments, including abnormal situations, to the DOE cognizant security authority. CANCELE D DOE M 470.4-6 08-26-05 Section A III-1 CHAPTER III - MATERIALS CONTROL 1. GENERAL. This Chapter describes the requirements for nuclear material control, consisting of four functional areas: access controls, material surveillance, material containment, and detection/assessment. The graded nuclear materials control program must be documented in the MC&A plan.

2. ACCESS CONTROLS. A graded program must be established to control personnel access to: nuclear materials; nuclear materials accountability, inventory, and measurement data; data-generating equipment; and other items/equipment the misuse of which could compromise the safeguards system. a. Materials Access. A documented program must be established and implemented for each facility to ensure that only properly authorized personnel have access to nuclear materials. This program must address procedures and mechanisms to detect and respond to access by unauthorized personnel. To minimize the potential for unauthorized access to nuclear material, the amount of material in use must be limited to that necessary for operational requirements, and excess material must be stored in repositories or kept in enclosures designed to ensure that access will be limited to authorized individuals. b. Data Access. Procedures must be established that ensure only authorized persons have the ability to enter, change, or access MC&A data and information. c. Equipment Access. Access must be controlled to data-generating and other equipment used in material control activities. Such equipment includes measurement equipment, data-recording devices, and TIDs. d. Other Considerations. Access control programs must protect against unauthorized data and equipment modification and detect unauthorized activities during emergency or other unusual conditions. 3. MATERIAL SURVEILLANCE. A nuclear materials surveillance program must: ensure that nuclear materials are in their authorized locations, be capable of detecting unauthorized activities or anomalous conditions, and be capable of reporting material status. The surveillance program must address both normal and emergency conditions and include periodic testing. a. Material Surveillance Mechanisms. Material surveillance methodologies must include: automated systems (e.g., monitoring devices, sensors, or other instrumentation); or visual surveillance/direct observation (e.g., the two-person rule, monitoring by external personnel); or other alternative safeguards measures that provide the necessary detection. When the direct observation method is used, the observer must have the means to recognize, correctly assess, and report activities that are unauthorized or inconsistent with established safeguards and security requirements. CANCELE D DOE M 470.4-6 08-26-05 Section A III-2 b. Material Surveillance Programs. Surveillance procedures must describe the methodologies and operational/control points on which the program is based and provide for investigation, notification, and reporting of anomalies. (1) Category I and II. Material surveillance programs for Category I and II quantities of SNM must ensure that materials are in authorized locations and that unauthorized material flows and transfers are detected. Category I locations must be evaluated to determine the ability of the material surveillance system to assess material losses from MAA and PA boundaries. Category II locations must be evaluated to determine the ability of the material surveillance system to assess material losses from the PA boundary. (a) Material surveillance programs for all areas containing Category I or II quantities of SNM must include the following measures. 1 Only authorized and knowledgeable personnel who are capable of detecting incorrect or unauthorized actions can be assigned responsibility for surveillance of SNM.

2 Controls must be sufficient to ensure that a lone individual cannot gain access to a secure storage area. 3 All persons in secure storage areas must be under constant surveillance (e.g., the two-person rule or equivalent surveillance) at any time the storage area is not locked and protected by an active alarm system. 4 Surveillance must ensure that unauthorized or unaccompanied authorized personnel cannot enter the storage/processing area undetected when the door is unlocked or open. 5 When items are outside an alarmed storage area within an MAA or PA, there must be a system of hardware, procedures, and administrative controls sufficient to ensure that unauthorized accumulation of a Category I quantity is detected. When the two-person rule is utilized as an administrative control, the two authorized persons assigned responsibility for maintaining direct control of the items must be physically located where they have an unobstructed view of each other and the items, and can positively detect unauthorized or incorrect procedures. 6 SNM in use or process must be under material surveillance, under alarm protection, or, with the approval of the DOE cognizant security authority, protected by alternative means that can be demonstrated to provide equivalent protection. CANCELE D DOE M 470.4-6 08-26-05 Section A III-3 (2) Category III. The material surveillance program for Category III quantities must ensure that when materials are not in locked storage, they are attended, are in authorized locations, and are not accessed by unauthorized persons. (3) Category IV. The material surveillance program for Category IV quantities must be site-specific and approved by the DOE cognizant security authority. 4. MATERIAL CONTAINMENT. A documented program must be in place to provide controls for nuclear materials operations relative to MAAs, PAs, MBAs, other authorized storage repositories, and processing areas. a. Material Access Area and Protected Area. Controls must be in place to ensure that Category I quantities of SNM are used, processed, or stored only within a MAA contained in a PA and that Category II quantities of SNM are used, processed, or stored only within a PA. The containment program must do the following: (1) identify authorized activities and locations for nuclear materials; (2) identify mechanisms used to detect unauthorized activities; (3) identify material types, forms, and amounts authorized to be removed from the MAA or PA; (4) identify containment controls for normal and emergency conditions; (5) require a periodic audit of the containment program to ensure compliance and system effectiveness; and (6) evaluate roll-up. b. Material Balance Area. Controls must be established and implemented for each facility to ensure that nuclear materials are used, processed, or stored within an MBA and are controlled in accordance with the graded safeguards concept. These controls must ensure that materials are removed only through authorized pathways or portals and are subject to transfer and verification procedures identified in Section A, Chapter II, paragraph 5 of this Manual. Controls for MBAs must meet the following: (1) be formally documented; (2) identify geographical boundaries and functions of the MBA; (3) identify material types, forms, and quantities permitted in each MBA; (4) describe administrative controls for each MBA; CANCELE D DOE M 470.4-6 08-26-05 Section A III-4

(5) define custodial responsibilities for nuclear materials contained within an MBA; (6) identify personnel authorized to receive or ship nuclear material; (7) identify material flow into and out of the MBA; (8) ensure material transfer procedures are followed; and (9) ensure that material quantities transferred across MBA boundaries are based on measured values consistent with Chapter II, paragraph 5.b.(5). c. Storage Repositories. (See DOE M 470.4-2) d. Processing Areas. Controls must be established for nuclear materials being used or stored in processing areas. The controls for in-process areas must do the following: (1) describe activities and locations for storing material; (2) identify components used to detect unauthorized activities or conditions; (3) include procedures for moving material into or out of the processing area; (4) describe control procedures for normal and emergency conditions and for maintenance activities; (5) describe response actions to be taken in abnormal situations; and (6) provide for audit of the processing controls on a periodic basis to ensure system effectiveness. 5. DETECTION/ASSESSMENT. Systems must be in place to detect and assess the unauthorized removal of nuclear materials, consistent with the graded safeguards concept. The system must be interfaced with the facility’s physical protection and other organizational systems, as appropriate, and must be able to detect and localize removal of SNM from its authorized location, and notify the protective force and other organizations to respond when such events are detected. a. Tamper Indicating Devices. A documented program, administered by the MC&A organization, must be in place to control TIDs and ensure that TIDs are used to detect violations of container integrity. TID programs cannot be regarded as effective unless used in conjunction with a material surveillance program. Verification measurements rather than confirmation measurements must be used for Category III or greater items that are not under a material surveillance program. Testing of TID integrity, location, application, and the TID record system must be conducted. The TID control program must include the following elements: CANCELE D DOE M 470.4-6 08-26-05 Section A III-5 (1) TID acquisition/procurement/destruction; (2) types of TIDs used; (3) unique TID identification; (4) storage; (5) issuance; (6) personnel authorized to apply, remove, and dispose of TIDs; (7) containers on which TIDs are to be applied; (8) procedures for application TIDs; (9) frequency and method of TIDs verification; (10) procedures for responding to and reporting of TIDs violations; (11) assurance that TIDs cannot be reused after violation; (12) frequency and method of internal program audits; (13) a DOE cognizant security authority approved listing of all containers considered to be intrinsically tamper-indicating. b. Portal Monitoring. The detection level of the SNM portal monitors must be based on the types and forms of SNM used, stored, or processed in the area and the credible number of removals associated with theft of a Category I quantity of SNM. Controls must be established to prevent unauthorized access to portal monitor instrumentation and cabling. A written response plan must be prepared and implemented to provide evaluation and resolution of all alarm conditions. (See DOE M 470.4-1, Safeguards and Security Program Planning and Management, for additional information on reporting security incidents.)

c. Controls. Controls must be established to ensure detection equipment remains operational during emergency conditions. Detectors and calibration standards must be maintained and controlled to ensure that portal monitors are capable of meeting detection requirements. Periodic performance testing of portal monitors must be conducted in accordance with this Manual. d. Waste Monitors. (1) All liquid, solid, and gaseous waste streams leaving an MAA must be monitored to detect the theft or diversion of SNM. Facility waste- monitoring equipment must be maintained and controlled to ensure that the equipment is capable of detecting specified amounts of SNM as determined by the DOE cognizant security authority. Instrumentation CANCELE D DOE M 470.4-6 08-26-05 Section A III-6 used to monitor waste and equipment removed from an MAA must be able to detect, in combination with other detection elements, the removal of a Category I quantity of SNM through a credible theft or diversion scenario. (2) A response plan for evaluating and resolving situations involving any discharge exceeding facility-specific limits must be established by the site/facility operator for the facility, and approved by the DOE cognizant security authority. e. Daily Administrative Checks. Daily administrative checks must be implemented for each Category I MBA (or multiple MBAs where roll-up to a Category I quantity of SNM is credible). The DOE cognizant security authority must determine and approve the scope and extent of the checks and specify the detection objectives on the basis of recognized vulnerabilities. f. Other Detection/Assessment Mechanisms. MC&A systems must be established for monitoring and control to provide the capability of detecting and assessing unauthorized SNM removals. Systems can include weight sensors, SNM/physical presence detectors, fiber optic seals, surveillance cameras, vault monitors, emergency egress radiation monitors, real-time inventory locator systems, etc. The MC&A system must provide sufficient information to correctly assess the alarms, localize the removal, and estimate the quantity and form of the diverted or stolen material. CANCELE D DOE M 470.4-6 08-26-05 Section B 1 SECTION B - BASIC REQUIREMENTS FOR NUCLEAR MATERIALS MANAGEMENT AND SAFEGUARDS SYSTEM REPORTING AND DATA SUBMISSION 1. DOCUMENTATION AND REPORTING. a. All RIS-level nuclear materials transactions, material balances, and inventories must be documented in accordance with the instructions provided in Section B of this Manual and reported to the Nuclear Materials Management and Safeguards System (NMMSS), the national database for nuclear materials. b. The NMMSS will be used to accumulate and distribute information concerning nuclear materials transactions, material balances, and inventories. c. Submissions must be made in a timely manner to achieve reporting of accurate and complete data as soon as possible after the events described by the data occur. d. The national database will provide nuclear materials information relating to safeguards, materials management and production, inventory quantities and valuations, and other information requested or required by DOE and NRC. e. The national database will serve as the centralized reporting facility to provide the information required under the provisions of the United States/International Atomic Energy Agency (IAEA) Safeguards Agreement. f. All NMMSS data submissions that are mailed will be sent to the NMMSS operator at—

NAC International NMMSS Project P.O. Box 922088 Norcross, GA 30010 Attn: Document Control g. The correct manuals to use when reporting nuclear material to NMMSS are as follows. (1) This Manual will be used to report all United States (U.S.) Government owned (owner code G) nuclear materials (See Tables XV-1 and XV-3), and non-Government owned (owner code J) nuclear materials located on a DOE site. (2) NRC NUREG-006 and NRC NUREG-007 are used to report non-Government owned (owner code J) nuclear materials located at a licensee facility. (3) Facilities, projects, and programs under the cognizance of the Office of Civilian Radioactive Waste Management subject to NRC regulation must use the rules, standards, and criteria specified by the NRC or the NRC CANCELE D DOE M 470.4-6 08-26-05 Section B 2 Agreement State in lieu of this Manual. 2. FORMS. a. Data collection forms identified and described in this Manual (see Chapter XVII) (or the electronic equivalent) will be used to document and report nuclear materials transactions, material balances, and inventories in accordance with the instructions provided in this Manual. b. A computer-generated form must contain all information necessary for proper documentation and reporting of nuclear materials transactions, material balances and inventories. Examples of the paper forms are provided in Chapter XVII for informational purposes and are not to be used to supply data to the NMMSS. The required forms that must be used are available from the NMMSS operator and online at the DOE Directives website (www.directives.doe.gov). 3. REPORTING IDENTIFICATION SYMBOL (RIS). a. Data entered into the NMMSS is keyed to sets of RISs. The establishment, maintenance, and deactivation of an individual RIS will be based on criteria detailed in Chapter I of this Manual. b. Unless a shipment is covered by one of the exclusions noted in this Manual (e.g., shipments to DoD), in other DOE Orders or Manuals, or other agreements, reportable quantities of accountable nuclear material will be shipped only to facilities with a valid RIS. c. Following annual review of RIS information, cognizant DOE line management will provide to the NMMSS operator a locally generated memorandum verifying the information listed for the RISs under their purview, or noting any changes. The memorandum may be submitted via facsimile, e-mail, or online, as appropriate. d. A yearly updated copy of the RIS directory is available from the NMMSS operator. 4. CORRECTION DATA. Corrections of data previously submitted and found to be in error must be submitted to NMMSS within 1 working day following notification of the error. 5. PERIODIC RECONCILIATION OF FACILITY DATA WITH NMMSS. Reconciliation of inventory data is required of facilities following September submissions. The process to be followed is set forth in Chapter XIII, Inventory Reporting. 6. CONFIDENTIALITY OF DATA. a. Information requested must be classified as required by DOE classification guidance. Classified information is exempt from public disclosure under the CANCELE D DOE M 470.4-6 08-26-05 Section B 3 Freedom of Information Act (FOIA). (See 5 U.S.C. 552.) b. Unclassified information collected in NMMSS is subject to public disclosure. Exemption from disclosure can be requested. (See exemption categories in DOE G 471.3-1, Guide to Identifying Official Use Only Information, dated 4-9-03.) A respondent may specifically request that data be withheld under the applicable FOIA exemption; however, the final determination with regard to disclosure or nondisclosure of information will be made by DOE.

c. DOE regulations for handling proprietary information of a private business, foreign government, or an international organization [10 CFR 1004.11(b)] allow a respondent to advise DOE that data submitted on the forms should not be made available to the public. A new written justification need not be submitted each time data is submitted if the respondent’s views with regard to the confidentiality of the information requested have not changed. 7. CLASSIFICATION OF DATA. Data submitted to NMMSS must be classified, marked, transmitted, and handled commensurate with DOE M 470.4-6, Information Security, DOE M 475.1-1A, Identifying Classified Information, and applicable DOE classification guidance. 8. CONTACT. Comments and inquiries may be directed to the Office of Plutonium, Uranium and Special Materials Inventory, or the NMMSS operator (www.nmmss.com) at the following address. NAC International NMMSS Project P.O. Box 922088 Norcross, GA 30010 Attn: Document Control 9. NMMSS PROGRAM MANAGEMENT AND QUALITY CONTROL. Two sources for information regarding quality assurance of the NMMSS database and program are the DOE Chief Information Office (CIO) and the DOE Management Control Program. (See DOE O 413.1A, Management Control Program, dated 4-18-02.) In the CIO’s Office, the DOE Information Architecture program helps ensure compliance with OMB Circular A-130, Management of Federal Information Resources (2003) and the Clinger-Cohen Act of 1996 by promoting standard architectural practices, providing a framework for corporate systems modernization, and establishing an information architecture vision aligned with the Department’s strategic goals. 10. SPECIFICATIONS FOR SOFTWARE AND HARDWARE SYSTEMS. Software and hardware systems used to implement NMMSS must follow guidelines promulgated by the DOE CIO’s office in accordance with OMB Circular A-130 and the Clinger-Cohen Act of 1996. One of the goals of these standards is to ensure compatibility of systems and databases and thereby decrease the costs associated with non-standard or incompatible systems. CANCELE D DOE M 470.4-6 08-26-05 Section B I-1 CHAPTER I - INSTRUCTIONS FOR APPLYING FOR, CHANGING, OR DELETING A REPORTING IDENTIFICATION SYMBOL 1. INTRODUCTION. a. Each contractor and facility Reporting Identification Symbol (RIS) is associated with a specific DOE element. A RIS must consist of a minimum of three alphabetic characters, and in special circumstances, a maximum of four characters. This and other information concerning instructions for RIS lettering conventions can be obtained from the NMMSS operator. b. DOE line management must forward requests for new RISs or revisions of RIS information and any requests for activation, or deactivation, of a RIS accompanied with the effective date of activation, deactivation, and/or transfer, to the following address: NAC International NMMSS Project P.O. Box 922088 Norcross, GA 30010 Attn: Document Control 2. PROCEDURES AND CRITERIA FOR ESTABLISHING A RIS. a. To establish a RIS the following procedure applies. (1) A request from the MC&A field representative, who may be either a DOE Federal or contractor employee, is routed to the DOE cognizant security authority for review and approval. (2) A DOE Headquarters (HQ) sponsoring program office must approve activities for which the RIS is requested.

(3) The request is then sent from the DOE cognizant security authority, through the appropriate HQ program office, for coordination with the Office of Plutonium, Uranium and Special Materials Inventory to establish the RIS required for DOE approved activities. (4) The Office of Plutonium, Uranium and Special Materials Inventory instructs the NMMSS operator to add the RIS. b. Justification must exist before a new RIS can be established. The following is a list of common reasons for requesting a new RIS. The facility must: (1) anticipate Departmental authorization to contain an inventory of nuclear materials within the next 12 months; (2) be involved in international shipments or receipts of nuclear materials; or CANCELE D DOE M 470.4-6 08-26-05 Section B I-2 (3) be storing or processing material under International Atomic Energy Agency safeguards. c. A facility that does not meet the above criteria, but believes a RIS is necessary for operations, can request a RIS by submitting proper justification and documentation through the DOE Cognizant Security Authority to the Office of Plutonium, Uranium and Special Materials Inventory by following the procedure outlined in paragraphs 2.a.(1)-(4) above. 3. APPLICATION FOR A RIS. To establish a new RIS, the DOE cognizant security authority must provide the following information to be listed in the NMMSS directory. a. Facility/RIS information. (1) Facility name. (2) Date RIS issued. (3) Contract number. (4) Code of responsible financial organization. (5) DOE field element or site office RIS. (6) Contractor type. (7) Operation type. (8) FAX Numbers. (a) Classified. (b) Unclassified. (9) FAX verification number. (a) Classified. (b) Unclassified. (10) Secure Information Management and Exchange Network (SIMEX) routing indicator. (11) Additional information on facility/RIS. b. Contact information. (1) Nuclear materials representative (NMR). CANCELE D DOE M 470.4-6 08-26-05 Section B I-3 (a) Name. (b) Telephone number. (2) Alternate NMR (NOTE: More than one alternate NMR is allowed). (a) Name. (b) Telephone number. (3) Nuclear materials financial representative. (a) Name. (b) Telephone number. (4) Authorized contact for information changes. (a) Name. (b) Telephone number. (5) Any additional contact/inquiry information. c. Mailing information. (1) Addresses (including facility name and unclassified address). (2) For a classified address, use guidance from the Safeguards and Security Information Management System (SSIMS). Contact a cognizant security authority for the current phone number. Do not enter a classified address with this data. (3) Any additional financial and mailing information. d. Shipping address and information. e. Additional information not covered elsewhere. f. The following logistical information is required for RIS directory appendices and program controls. Enter “N/A” where requested data is not applicable. (1) Effective date nuclear materials will be transferred from old contractor/facility (enter old RIS) to new contractor/facility. (2) Effective date the DOE office will assume responsibility for the new RIS. (3) Frequency of the new RIS inventory reporting. CANCELE D DOE M 470.4-6 08-26-05 Section B I-4 (4) The nuclear materials inventory profile (I-17 report from NMMSS) for the new RIS (may be the same as the old RIS; if not, provide new profiles).

(5) Level of classification for transactions, inventory, and material balance reports (MBRs) throughput for the new RIS and for related reporting products from NMMSS. (6) Mode of transmitting input data from the new RIS to NMMSS. (7) Cost center for new RIS’s financial activity. (8) Authorized contacts (may be different from NMR or alternate) and phone numbers. g. NMMSS operator staff will work with each facility to identify reports that must be submitted for each RIS. 4. DEACTIVATION OF A RIS. a. RIS deactivation will occur when a facility’s authorization to store/handle nuclear materials inventory is withdrawn. Before deactivation, all open transactions must be resolved and all inventory removed to a balance of zero. b. The NMR of the RIS being deactivated should initiate and receive certification from the NMMSS operator that no project numbers exist for that RIS. If there are project numbers associated with the RIS that is to be deactivated, the project numbers must be cancelled or changed to reflect proper status of the material. c. An assessment by the MC&A field representative must conclude the following. (1) All physical MC&A activities have been terminated. (2) All material has been shipped from the facility. (3) The balance for that RIS in NMMSS is zero (0). (4) No investigations or audits are under way concerning any aspect of MC&A. d. Notification of deactivation is sent from the DOE cognizant security authority to the Director, Office of Plutonium, Uranium and Special Materials Inventory, who will instruct the NMMSS operator to deactivate the RIS. e. A waste facility’s RIS must not be removed except with specific approval of the responsible Departmental Element through the DOE cognizant security authority and upon coordination with the Director, Office of Plutonium, Uranium and Special Materials Inventory. f. A parent RIS must not be deactivated when a sub-RIS is still active. CANCELE D DOE M 470.4-6 08-26-05 Section B I-5 5. CHANGING RIS INFORMATION. a. The following procedure must be followed to change information entered on a facility’s RIS directory page. (1) Make a copy of both sides of the page from the RIS directory for each affected RIS. (2) Draw a line through the outdated/erroneous information on the copy. (3) Immediately above the strike-out, print the new information clearly. (4) Submit the pages marked for change to the NMR, or other authorized person who will sign and date all directory pages on which changes have been recorded. Unsigned changes cannot be made. (5) Send page changes to the DOE cognizant security authority for approval and forwarding to the NMMSS operator. b. The NMMSS operator will provide a written copy to the Office of Plutonium, Uranium and Special Materials Inventory for information/file purposes. CANCELE D DOE M 470.4-6 08-26-05 Section B II-1 CHAPTER II - GENERAL INSTRUCTIONS This Chapter provides general instructions for all reports sent to NMMSS and additional guidance where appropriate. Three types of information are submitted to NMMSS: transactions, material balances, and inventories. Additional guidance for specific types of reporting is provided in subsequent Chapters. 1. REPORTING TO NMMSS. a. Facilities must report data to the NMMSS electronically. If electronic means are unavailable, reporting using paper forms is permitted; however, it must be coordinated through the DOE cognizant security authority. Under emergency conditions or if a special, non-standard report is required, paper forms may be used.

NOTE: In this Manual, paper forms and numbers (e.g., DOE/NRC Form (F) 741) are mentioned for instructional purposes. The fact that a paper form is available does not relieve the facility from the requirement to report electronically. b. When a reportable quantity of an accountable nuclear material is recovered during deactivation, decommissioning, or decontamination, the recovered material must be reported to NMMSS, even when the material has been previously written off the NMMSS records. A DOE/NRC F 741 must be used. c. Facilities are encouraged to use the NMMSS software package, Safeguards Management of Software, to edit site data prior to submitting electronic data to NMMSS. This software may be obtained from the NMMSS operator. 2. DATA ACCURACY. DOE line management is responsible for ensuring that the NMMSS accurately reflects nuclear material inventory data at license-exempt facilities, and DOE-owned nuclear material inventory data at licensed facilities. 3. NMMSS REPORTABLE ELEMENTS AND ISOTOPES, AND REPORTING UNITS. a. The elements and isotopes that must be reported to NMMSS are shown in Table XV-1. b. Weights must be reported in the metric weight units specified for each nuclear material as shown in Table XV-1. c. Both element and isotope weights are reported if they round to a reportable quantity. In cases where the element is a reportable quantity, but the isotope is not a reportable quantity, the material must still be reported, but for the isotope, enter 0 (zero). In cases where the isotope is a reportable quantity, but the element is not a reportable quantity, the material must still be reported but for the element enter 0 (zero). (See paragraph 6. and Table II-1, below) CANCELE D DOE M 470.4-6 08-26-05 Section B II-2 4. MATERIAL TYPE CODES. Table XV-2 provides the material type (MT) codes used by DOE for reporting nuclear materials. Note that other entities (e.g., IAEA) may use different codes for the same materials. 5. UNITS, STANDARDS, CONVERSIONS, AND DATA DEFINITIONS. a. Metric units are required for reporting information to the NMMSS. b. If weights are in pounds, the conversion factor 0.45359 kg/pound must be used. c. A year is defined as 365.2422 days. d. Nuclear material properties (e.g., half-lives) can be found online at www.nndc.bnl.gov. For other material properties and equations, see CRC Handbook of Chemistry and Physics. e. Measurements that have been made, and records that have been kept, in volume units must be converted to the reporting unit for the material type. Material properties and equations in the CRC Handbook of Chemistry and Physics must be used to convert gas or liquid volumes to the appropriate units. f. Parts per million calculations will be recorded as— (1) ppmv for volume basis, (2) ppm for mass basis, and (3) ppma for number of atoms basis. g. The calculation for ppm of U-232 in total uranium is a mass basis. h. NMMSS will not accept slashes (\ and/), semi-colons (;), colons (:), question marks (?) or number sign (#). Do not use those characters when entering data. i. For the definitions of data elements, e.g., field length and whether a numeric or alpha character is allowed, see NMMSS Reports D-23 (for DOE) and D-24 (for NRC), available from the NMMSS operator. 6. ROUNDING POLICY. a. Quantities will be reported as shown in Table II-1, below with fractions of ½ or greater rounded upwards and fractions of less than ½ of a reporting unit reported as the number zero (0).

b. Nuclear material transactions should be documented and reported as accurately as possible to reflect the actual quantity of material transferred. If a transaction of discrete items, each of which is less than a reportable quantity, sum to a reportable quantity, the transaction should be recorded to most accurately reflect the actual quantity involved. The shipper and receiver will decide how to ensure appropriate CANCELE D DOE M 470.4-6 08-26-05 Section B II-3 accounting documentation in NMMSS. Both the shipper and receiver must agree on the method to use. If the shipper and receiver cannot agree, the Office of Plutonium, Uranium, and Special Material Inventory will decide how best to document the transaction. c. When performing general calculations not related to discrete items in a transaction (see paragraph 6.b. above), do the calculation first before rounding. d. For software development purposes, sites or facilities may use more significant digits than noted in this Manual. Table II-1. Rounding Policy. Quantity Action Equal to or greater than 0.5 of the reporting unit Report to the nearest whole reporting unit Less than 0.5 of the reporting unit Report as 0 (zero) 7. NUCLEAR MATERIAL BLENDING TRANSACTIONS. a. Blending or crossovers of materials are reported to the NMMSS to ensure accurate records of the facility’s material inventory. The report to the NMMSS would show the reduction in one or more quantities and the increase in another. (1) Inventory change code 22 (from other materials) is used to show the gain in material. (2) Code 71 (degradation to other materials) is used to show the reduction of material. b. The NMMSS has been programmed to recognize a blending or crossover operation by the order in which the codes 22 and 71 are presented. The lines of data on DOE/NRC F 741 must appear in sequence. That is, a line or lines with code 22 must be followed by matching line or lines with code 71. There are two methods of matching codes 22 and 71. One method is to pair code 22 with the corresponding 71, a second method is to list a series of code 22s followed by corresponding 71s (See Table II-2 below for an example). c. When reporting a blending transaction with multiple sets of code 22/71 combinations, the position of the 22 in the data set must correspond to the position of the 71 in the data set. For example, row number 1 must correspond to row number 6. This case represents the blending of material from summary MT 10 to summary MT 20. Row 2 must correspond with row 7 in the data set, etc. For specific format requirements, refer to the guidance for electronic format data submissions. CANCELE D DOE M 470.4-6 08-26-05 Section B II-4 Table II-2. Blending Transaction Example. Row Number Type Inventory Code Summary Material Type 1 22 10 2 22 10 3 22 50 4 22 50 5 22 50 6 71 20 7 71 81 8 71 83 9 71 83 10 71 83 d. In reporting blending operations, follow the code 22 and 71 matching rules in addition to the following. (1) As an internal transaction, RIS entries must be identical. (2) Use action code M. (3) The two data lines, codes 22 and 71, must agree in terms of quantities, plus or minus a reportable unit. (4) Plutonium blending operations must also be reported. For such blending operations, only the element weight (total plutonium) is compared. The different MTs of plutonium account for the different isotopes of plutonium. For example, the reportable isotope for MT 50 is Pu-239+241. The reportable isotope for MT 83 is Pu-238. When blending these plutonium MTs, there is no direct relationship between the individual isotope weights.

(5) For blending operations with different accountable nuclear materials, the relative quantity (mass) of each accountable material is to be maintained. 8. OWNER CODES. The codes in Table XV-3 are used to identify ownership of nuclear material for transactions and inventory reporting. For instructions regarding the proper owner code to be used in a particular circumstance, contact the NMMSS operator. 9. LIMITS OF ERROR ON TRANSFERS OF SPECIAL NUCLEAR MATERIAL AND TRITIUM. a. DOE contractors will determine and notify DOE of limits of error on transfers of SNM and/or tritium (except in the case of tritium in reservoirs), as required by Section A, Chapter II, 5.a.(4)(d). b. Such notification will be made on a DOE/NRC F 741. CANCELE D DOE M 470.4-6 08-26-05 Section B II-5 c. Limits of error will be recorded on all copies of the form. 10. NORMAL OPERATIONAL LOSSES (NOLs), MEASURED DISCARDS AND ACCIDENTAL LOSSES. a. The instructions in this Section are provided to supplement the reporting procedures for NOLs, measured discards and accidental losses. Losses and discards are reported using a DOE/NRC F 741. b. When reporting NOLs, measured discards or accidental losses, the following apply. (1) License-exempt and/or licensed contractors not subject to the requirements of the U.S./IAEA Safeguards Agreement will use one of the following. (See Chapter IV for transaction definitions.) (a) A-M transactions to remove loss or discard material from active inventory for subsequent shipment to a waste management site. (b) A-A transactions remove material from active inventory when— 1 it is shipped to a waste management site, 2 it has been discharged to the atmosphere or the ground, or 3 it has been consumed in use. (2) License-exempt and/or licensed contractors subject to the requirements of the U.S./IAEA Safeguards Agreement will use A-A transactions. (3) If paragraph 10.b.(1)(a) or 10.b.(1)(b) applies, one of the letters listed below may be appended to the facility’s 3-character RIS, as appropriate. The 3-character identifier will be entered as the shipper’s RIS in block 1 of DOE/NRC F 741 or as the receiver’s RIS in block 2. The 3-character identifier must be on file with the NMMSS before it is used for reporting to the system. The following letters are for use by all reporting facilities. (a) A—discharge to the atmosphere, (b) G—discharge to the ground or a body of water or stream, (c) I—discharge to run-off, and (d) R—consumed during use. NOTE: It is understood that recovery of material discharged to the ground as a result of an accidental loss may not be possible. (4) The following letters are for use only by license-exempt contractors CANCELE D DOE M 470.4-6 08-26-05 Section B II-6 subject to the requirements of the U.S./IAEA Safeguards Agreement and licensed contractors. (a) H—a waste holding area from which material could be recovered and (b) L—a lagoon, holding pond, or tank from which material could be recovered. (c) The use of codes H and L is optional for non-licensed contractors not under IAEA reporting requirements. (5) When reporting NOLs or measured discards, enter code 74 as the inventory change code in block 26c or 27c of DOE/NRC F 741, as appropriate. (6) When reporting accidental losses, enter code 75 as the inventory change code in block 26c or 27c of F 741, as appropriate. (7) When reporting the return to active inventory of material previously reported as a NOL, measured discard, or accidental loss, follow the instructions below. (See Table XV-19 for additional information.)

(a) A previously reported NOL, measured discard, or accidental loss may be reversed through the adjustment process. (b) An A-B transaction with no inventory change code, (transfer from a V RIS, or waste disposition area, to a facility) may be reported to the NMMSS as a receipt on line 30 of the MBR generated for the receiving facility. [NOTE: This applies only if the waste disposition area is an onsite waste holding area (H) or a lagoon (L).] 11. WASTE AND BURIAL SITES. a. For site closure or decommissioning, or if the receiver requires documentation, report waste transactions as follows. (1) Document transactions of waste material using DOE/NRC F 741. (2) For transfers of nuclear material from a waste disposition area (i.e., a 3-character RIS with a fourth character H, G, or L appended) to a waste management site (V RIS), the applicable composition/facility code will be entered in block 26h of the DOE/NRC F 741 documenting the transfer. (3) Transfers to or from a waste management site (V RIS), including transfer from one waste management site to another, and transfers identified with character H appended to the RIS, will be reported to the NMMSS on a CANCELE D DOE M 470.4-6 08-26-05 Section B II-7 DOE/NRC F 741. (4) Shippers and receivers will evaluate and make changes and adjustments to records, as necessary, based upon remeasurement. b. A waste disposition area on the site subject to both DOE and NRC reporting requirements will be assigned at least one 4-character RIS. The first three characters must correspond to the DOE or the NRC RIS for the facility. It is only required that one 3-character RIS be assigned for reporting data for the waste disposition area. The assignment of more than one RIS to a waste disposition area will be at the discretion of DOE line management. 12. RADIOACTIVE DECAY. a. Radioactive decay will be reported in accordance with Chapter XV, Tables XV-4, XV-5, and XV-6. b. Facilities will send data on reportable quantities of radioactive decay to the NMMSS on a DOE/NRC F 741 in accordance with instructions in Chapter III of this Manual. c. The shipping facility will calculate and report decay on material in transit up to the first day of the month in which the material was shipped. d. Using a locally generated report or memorandum, the shipper will inform the receiver of the date on which decay for the items being shipped was last calculated. e. The receiving facility will calculate decay for the entire month in which the shipment was received or in which the shipment was in transit at the report date; however, no decay will be reported until the end of the month in which the material is actually received. f. For material in transit over the period from the end of one month through the beginning of another, the receiving facility will calculate and report decay for a 2-month period, i.e., the month in which the material was shipped and the month in which it was received. g. Daily decay constants will be calculated using the formula below (unless half-lives are stated in days). Decay Constant (days-1) = Ln(2) / (T½ * 365.2422) where— T½ = Half Life (years) CANCELE D DOE M 470.4-6 08-26-05 Section B II-8 h. Decay calculations are made for days, months, and quarters. Month and quarter decay factors are provided for the convenience of the user. To calculate decay, use the following formula. Qt = Qo * e^(-d* C) where—

Qt = quantity of material left at time t after undergoing decay Qo = initial quantity of material before calculating decay d = number of days C = decay constant from table. Can be either days, months, or quarters. CANCELE D DOE M 470.4-6 08-26-05 Section B III-1 CHAPTER III - NUCLEAR MATERIAL TRANSACTION REPORTING—GENERAL 1. INTRODUCTION. This Chapter provides general instructions for transaction reporting. In addition to the instructions in this Chapter, specific procedures for completing each form and for submitting the data to NMMSS are contained in Chapters IV and V. The in-transit accounting rule that DOE has adopted states that when nuclear material leaves the shipper, it officially goes on the receiver’s books in NMMSS. a. Shipper-Receiver Differences. Consult Section A of this Manual for requirements on evaluating shipper-receiver differences. b. Transactions within the U.S. (non-DoD). Instructions are provided in Chapters III, IV, and V. c. Transactions of Obligated Material. See Chapters III, IV, V, and VIII of this Manual. d. Transactions Involving DoD. In any instance where either a contractor of U.S. Government facility has a transaction involving a shipment to or receipt from DoD pursuant to 42 U.S.C. 2121(b), or 2121(c) (which address DOE and mutual defense activities) such facility must prepare and distribute DOE/NRC F 741 in accordance with instructions provided in Chapter VI of this Manual and any additional guidance which may be provided by DOE line management or the DOE cognizant security authority. e. Transactions Involving International Accounts. See Chapter VII of this Manual for details. (1) Foreign nations, foreign regional organizations, supranational organizations, or foreign facilities (hereinafter referred to collectively as foreign entities) may receive or return U.S. Government-owned material obtained by sale, lease, grant, donation, or loan from contractor facilities, or from NRC or Agreement State licensees, pursuant to 42 U.S.C. 2074 and 2094 and 42 U.S.C. 2112 or 2121(c). (2) For a transaction involving an export/import, the facility must prepare both the shipper’s and the receiver’s data and distribute the forms. (a) For exports, the shipper should request that the foreign receiver sign and return the DOE/NRC F 741 to the shipping facility to document the transfer. (b) For imports, if the foreign shipper’s data are incomplete or unknown, the receiver should contact the DOE cognizant security authority for further guidance. (3) International transfer data should be handled according to the instructions CANCELE D DOE M 470.4-6 08-26-05 Section B III-2 for data input to the International Nuclear Material Tracking System (INMTS) contained in INMTS Data Entry Procedures. For further guidance regarding INMTS, contact the NMMSS operator. (4) For international transfers that are covered by more than one export/import license, a separate DOE/NRC F 741 must be prepared for the material covered by each individual export/import license. See Chapter VII of this Manual for details. (5) Tracking imported material having foreign accounting obligations requires the use of special tracking procedures. See Chapter VIII of this Manual for details. 2. TRANSFER REPORTING TIMELINES. Data on all transactions occurring during a calendar month will be submitted no later than 8 working days following the end of the month during which the transactions occurred. These extra days are justified as time needed for monthly closure of the books for reasons of monthly adjustments. Table III-1 shows deadlines for distribution of DOE/NRC F 741.

Table III-1. Submission Dates for Physical Transfer of Material. Type of Physical Transfer Requiring DOE/NRC F 741 Preparation and Distribution Reporting Timelines Shipper distributes to NMMSS and receiver for domestic shipment 1 workday after receiving the foreign receiver’s data. Domestic receiver distributes to NMMSS and Shipper on domestic shipment 10 workdays after receipt of shipment Shipper distributes to NMMSS shipment and foreign receiver’s side of the form 1 workday after receipt of shipment Domestic distribution to NMMSS reporting material received from foreign shipper 10 workdays after receipt of shipment Corrections to submitted data sent to NMMSS and other party 1 workday after receipt of shipment 3. TRANSACTION DOCUMENTATION METHODS. Facilities must distribute transaction documentation electronically unless manual/paper submission is coordinated through the DOE cognizant security authority. a. Electronic Method. (1) Procedures and instructions in this Manual will apply except that signatures on transaction documents are not required. Internal controls will ensure that data transmitted has been properly authorized. (2) The sender and recipient of electronic data will produce hard copies as needed by organizations on the distribution lists in Table III-2 and Table III-3, below. CANCELE D DOE M 470.4-6 08-26-05 Section B III-3 (3) The hard copies will contain the information normally included on DOE/NRC F 741. (4) For activities involving NRC or Agreement State licensees, the electronic method of handling and transmitting transfer data will follow all requirements of 10 CFR 74, Material Control and Accounting of Special Nuclear Material. b. Manual Method. (1) Facilities with a low volume of reporting activity may prepare DOE/NRC F 741 in paper form if coordinated with the DOE cognizant security authority. (2) Such facilities are encouraged to convert to electronic form preparation in coordination with the NMMSS operator. c. Either Method. (1) Regardless of method used, nuclear material types, elements, and isotopes to be reported, and their respective reporting units will be as specified in Table XV-1. (2) For each detail line of shipper/receiver data entries on DOE/NRC F 741, material quantities reported by assay may be summarized, but only within detailed MT assay ranges (e.g., for enriched uranium, within 10 to 20 percent U-235 or within 80 to 92 percent U-235, as appropriate) required for reporting inventory (See Chapter XIII, Inventory Reporting). d. Agreement of Transaction Data. Data sent to NMMSS will agree on a line-for-line-basis with data sent between the shipper and receiver on DOE/NRC F 741, or electronic equivalent. 4. CLASSIFICATION AND SECURITY REQUIREMENTS. DOE/NRC F 741 will be classified using appropriate guidance and following the procedures contained in DOE M 475.1-1A, Identifying Classified Information, and will be marked with appropriate classification markings and transmitted following procedures contained in DOE M 470.4- 4, Information Security. 5. DISTRIBUTION OF DOE/NRC F 741. a. Transaction information is generally distributed electronically; however, a few small facilities continue to use the paper DOE/NRC F 741. b. The distribution requirements, below, are to be followed regardless of transaction format. CANCELE D DOE M 470.4-6 08-26-05 Section B III-4 (1) If an electronic format is used, do not also distribute a paper copy unless specifically requested by the recipient.

(2) It is recognized that some field elements or site offices do not desire copies of transaction information in any format but, instead, rely on NMMSS reports to satisfy local needs. (3) As an absolute minimum requirement for distribution of transactions information, copies should be provided to the other party to the transaction and to the NMMSS operator at RIS QFA. For one-party transactions, the facility generating the transaction must also provide a copy to the NMMSS operator at QFA. c. Primary Distribution is illustrated in Table III-2. Table III-2. Primary Distribution. Type of Transaction Other Party To Transaction QFA Shipper’s Field Element (If Desired) Receiver’s Field Element (If Desired) Shipment of Material Yes Yes Yes Yes Receipt of Material Yes Yes Yes Yes One-party Transaction Yes Yes Yes Yes d. Secondary Distribution is illustrated in Table III-3. Secondary distribution is the distribution of transaction data by NMMSS operator staff, RIS QFA, based on receipt of transaction data by primary distribution. Table III-3. Secondary Distribution. Transactions With Specific Material Types and Conditions Copy Distributed to Operations/Site Office Depleted uranium, normal uranium, enriched uranium, californium, enriched lithium, U-233, thorium under loan/lease to a licensee Oak Ridge Field CFO and or Financial Managers Americium-241, plutonium, plutonium-238, plutonium-242, neptunium-237, tritium, deuterium under loan/lease to a licensee Savannah River Field CFO’s and or Financial Managers e. The transaction data selected for secondary distribution is limited to ownership code G, reflecting U.S. Government ownership of material under the loan/lease program or sales of material. f. Distribution is made to the field element or site office responsible for the specific material under loan/lease to the element’s or office’s financial representative. 6. FACILITY TRANSFERS OF MATERIAL TO A FOREIGN ENTITY. The shipper will include with the shipment a copy of DOE/NRC F 741 containing the shipper’s data. (See Chapters VII, VIII, and IX and refer to DOE line management or the DOE cognizant CANCELE D DOE M 470.4-6 08-26-05 Section B III-5 security authority for guidance and further instructions.) 7. FACILITY RECEIVES NUCLEAR MATERIAL FROM A FOREIGN ENTITY. See Chapters VII, VIII, and IX and refer to DOE line management or the DOE cognizant security authority for guidance and further instructions. 8. TRACKING OF FOREIGN OBLIGATED MATERIAL WITHIN THE U.S. a. Each facility will submit information necessary to track materials among facilities that use foreign obligation codes. b. The shipper is responsible for supplying foreign obligation information for each shipment. Refer to Chapter VIII for further information. c. If the resolution of a shipper-receiver difference on a detail line of data results in a reduction of the shipper’s value to an amount less than the obligated amount, the obligated amount must also be reduced. The obligated amount may not be greater than the amount of like material shipped. 9. TRANSFERS INVOLVING THE DoD. Except for transfers of nuclear material in naval cores and associated items, transactions will be documented in accordance with the instructions provided in Chapter VI. 10. TRANSFERS OF NUCLEAR MATERIAL BETWEEN DOE CONTRACTORS AND LICENSEES. a. Transfers to Licensees. DOE contractors who receive authorization and requests for distribution of nuclear material to a licensee, pursuant to 42 U.S.C. 2073, 2093, and 2111, will document such transfers using DOE/NRC F 741.

b. Transfers from Licensees. Transfer documents for nuclear material shipped to DOE for credit or service by a licensed facility will be prepared and distributed by the shipper in accordance with the requirements of the CFR. When such material is received it will be documented by the receiver using DOE/NRC F 741. 11. INTERNAL PROJECT TRANSFERS. It is required that transfers of material between DOE projects under the same RIS be reported to the NMMSS (i.e. a change in project numbers). Reporting is accomplished by submitting DOE F DP-749 or by electronic data submission. Instructions for internal project transfers follow the general instructions for transaction reporting with the following special guidance. a. Facilities transmitting data to the NMMSS by automated means need not complete DOE F DP-749, but must follow the data format defined below. (1) Negative Values. Enter a minus sign or a dash preceding the digits to show a negative number. (2) Transaction Identification Information (columns 1–18 on DOE F DP-749), CANCELE D DOE M 470.4-6 08-26-05 Section B III-6 described below, is common to both header and detail records. (a) Shipper columns 1–4. Enter the shipper’s or originator’s RIS for transactions involving project transfers, left justified. (b) Receiver columns 5–8. For project transfers enter the receiver’s RIS left justified. The shipper’s and receiver’s RISs must be the same. (c) Columns 9–14, Internal Transaction Number. Enter the number which indicates a specific transfer in a transfer series. An alphanumeric journal entry number may be used in lieu of the transfer number. (d) Column 15, Correction Number. When a shipper or receiver issues a corrected document to adjust data previously reported, an alphanumeric character is appended to the original transfer number to identify the transaction as a correction. For correction or adjustment entries, this is a required data field. For all other transactions, this field is left blank. (3) Transaction Codes (THAN CODE). (a) Column 16, Processing Code (PC). Enter the appropriate 1-character, alphabetic code from the list below to identify the specific type of processing action required. 1 A—initial entry of data to report a transaction. 2 C—replacement of data for a transaction. An initial entry cannot be replaced after the close of a processing period. 3 D—deletion of a transaction. An initial entry cannot be deleted after the close of a processing period. (b) Column 17. Make no entry. (c) Column 18, Action Code (ACT CODE). Code letter P is preprinted on the form to identify in-place transfers between projects. (4) Header Information—Data Record Number 1. (a) Column 19, Data Code. Code number 1 is preprinted on the form. (b) Columns 20–21, Number of Lines. Enter numeric digits (01-99) to indicate the total number of detail information lines pertaining to CANCELE D DOE M 470.4-6 08-26-05 Section B III-7 a specific transaction. (c) Columns 22–23. Make no entry. (d) Columns 24-33, Sealed Source Serial Number. Make no entry. (e) Columns 34–50, Contract/Identification Number. Use is optional. (f) Columns 51-69. Make no entry. (g) Columns 70–77, Action Date. Enter the date the activity occurs. In the event of a correction, the date to be entered here is the date of the activity and not the date of the original transaction. The numbers representing the month should be entered in the first two columns, the day of the month in the next two columns, and the year in the final four columns. For example, January 5, 2000, would be recorded as:

MO DAY YEAR 0 1 3 1 2 0 0 0 (h) Columns 78–80. Make no entry. (5) Detail Information—Data Record Number 2. (a) Column 19, Data Code. Code number 2 is preprinted on the form. (b) Columns 20–21, Line Number. Enter a sequential number (01-99) for one transaction to identify a discrete line. (c) Columns 22–31, from Project Number. Enter the project number from which the material is being transferred, left justified. (d) Columns 32–35, From Composition Code. Enter the numeric code that identifies the chemical and/or physical form of the material under the project number from which it is being transferred, left justified. A complete set of composition codes is listed in the DOE inventory profile (NMMSS Report I-17) which consists of available nuclear material composition codes and descriptions. When reporting unirradiated enriched uranium or plutonium scrap material, enter the appropriate ANSI alphanumeric code (see ANSI N15.1-1970 and N15.10-1987). (e) Columns 36–45, To Project Number. Enter the project number to which the material is being transferred, left justified. CANCELE D DOE M 470.4-6 08-26-05 Section B III-8 (f) Columns 46–49, To Composition Code. Enter the numeric code that identifies the chemical and/or physical form of the material under the project number from which it is being transferred, left justified. Composition codes and descriptions are listed in the DOE inventory profile (NMMSS Report I-17). When reporting unirradiated enriched uranium or plutonium scrap material, enter the appropriate ANSI alphanumeric code (see ANSI N15.1-1970 and N15.10-1987). (g) Columns 50–51, Material Type. Enter the appropriate two-digit numeric code to identify the type of nuclear material being reported. See Table XV-1. (h) Column 52, Owner Code. Code letter G is preprinted on the form. (i) Columns 53–63, Element Weight. Enter the metric weight of the contained nuclear material. 1 Enter decimal units, when required, in columns 62 and/or 63 (segregated by broken lines). 2 To show negative numeric data, enter a minus sign in the column preceding the first digit. In instances where negative data are shown in whole units or tenths of a unit, zeros must be entered in the remaining decimal places with a minus sign in the column preceding the first digit. (j) Columns 64–69, Weight percent Isotope. For each line, enter the weight percent of the isotope U-235, Li-6, Pu-240, Pu-242, or Pu-238 reported to not more than four decimal places. For U-233, enter the parts per million of U-232 right justified to column 69. (k) Columns 70–80, Isotope Weight. Enter the metric weight of accountable isotopes using instructions for rounding off data in paragraph 11.a.(5) above. 1 Enter decimal units, when required, in columns 79 and/or 80 (segregated on DOE F DP-749 by broken lines). 2 To show negative numeric data, enter a minus sign in the column preceding the first digit. In instances where negative data are shown in whole units or tenths of a unit, zero(s) must be entered in the remaining decimal places(s) with a minus sign in the column preceding the first digit. 12. NONPHYSICAL TRANSFER OF NUCLEAR MATERIAL. DOE/NRC F 741 or electronic equivalent will be used to record a change in ownership or financial CANCELE D DOE M 470.4-6 08-26-05 Section B III-9 responsibility. 13. OTHER TYPES OF RECEIPTS AND REMOVALS.

a. Various other types of receipts and removals including, but not limited to, production, transfers to and from other materials, sales, decay, losses, inventory changes, and inventory differences (see Chapter XIII), will be documented using DOE/NRC F 741 or electronic equivalent. b. Such other types of receipt and removal data involving reportable quantities will be documented and reported consistent with the use of inventory change codes specified in Tables XV-12, XV-13, and XV-19. 14. SPECIAL REQUIREMENTS. a. Authority to transfer material. Each facility must maintain documentation of authorities and responsibilities for MC&A functions, including the process and authorized signatures required to transfer nuclear material. b. Authority to receive material. The shipper must verify that the receiver is authorized to receive the amount and type of material that is to be shipped. c. Notifying Receiver of Nuclear Material Shipments. (1) Each shipper will be responsible for advising and obtaining authorization from the intended receiver of proposed shipments of nuclear material and for providing all pertinent advance information. (2) Specific notification requirements applicable to individual facilities are contained in the RIS Directory (available from the NMMSS operator). d. Reporting of Nuclear Material in Transit for Domestic Shipments. (1) Material in transit at the end of a reporting period will be entered into the intended receiver’s inventory. (2) A facility making a shipment of nuclear material and/or initiating a DOE/NRC F 741 during the last 5 calendar days of a month will, on the day of shipment, provide the intended receiver with the following information to facilitate the reporting of material balance, transaction, and inventory data. (a) Transfer series (shipper’s RIS, receiver’s RIS, and transaction number). (b) Material types. See Table XV-1. (c) Total element weights and (if warranted) isotope weights, CANCELE D DOE M 470.4-6 08-26-05 Section B III-10 weight percent and/or parts per million (based on estimates, if necessary). See Table XV-1. (d) Project number (for owner code G material). (e) Obligation tracking data, blocks 17 through 21. (f) Number of items. (g) Composition codes. (h) Owner codes. (i) Date of shipment. (3) The information specified above will be transmitted to the receiver by telephone on the agreed day of shipment, with confirmation by facsimile, Internet, or other electronic means (e.g., SIMEX). (4) This requirement may be satisfied by the timely distribution of DOE/NRC F 741 data via appropriate telecommunications systems when both the shipper and receiver possess such capabilities. e. Delayed Receiver Measurements. In cases where the receiver can not determine independent measured values for a shipment within 10 calendar days of receipt of the shipment, and there is no agreement in place whereby the receiver can accept shipper’s values, the receiver will confirm receipt of the material with either an action code N, U, or S. (see Table XV-10 and the footnotes to Table XV-10 for additional information). f. Mixtures of U-233 and U-235. For the case where reportable quantities of U-233 and U-235 are mixed together, a transaction on a DOE/NRC F 741 must contain two lines and be reported as follows. (1) Line 1 will be reported with MT 20. The element weight will be the total uranium weight. The isotope weight will be the isotopic weight of U-235.

(2) Line 2 will be reported with MT 70. The element weight will be the total uranium weight. The isotope weight will be the isotopic weight of U-233. 15. AMENDMENTS OR ADJUSTMENTS TO PREVIOUSLY ISSUED DOE/NRC F 741. a. When one party makes an adjustment to a transaction, DOE line management will ensure that contractors under their jurisdiction will document the adjustment on a DOE/NRC F 741 or electronic equivalent. b. For specific instructions regarding corrections or adjustments, see Chapters IV and V. . CANCELE D DOE M 470.4-6 08-26-05 Section B III-11 c. Contractors must transmit the completed form to the other party to the transaction within 1 workday after obtaining the adjustment data. CANCELE D DOE M 470.4-6 08-26-05 Section B IV-1 CHAPTER IV - NUCLEAR MATERIAL TRANSACTION REPORTING—SHIPPER The instructions that follow provide specific guidance in the preparation of the DOE/NRC F 741 or the electronic equivalent. The file formats for reporting electronically are maintained by the NMMSS operator and can be provided upon request. 1. SHIPPER’S DATA The shipper of the material will complete the shipper’s portion of DOE/NRC F 741 by completing the numbered blocks as follows: a. Block 1, Shipper’s RIS. Enters the shipper’s facility RIS his/her facility, normally a 3-character field. Under some circumstances, a 4-character RIS will be entered (e.g. appending a letter to the end of a 3-character RIS to denote discharge of material to air or ground). See subsequent Chapters for special instructions for importers and exporters of nuclear materials. This block must be completed for the following types of transactions. (1) Transfers between facilities. (2) Transfers between RISs within a facility. (3) Transfers between facilities and DoD. (4) Transfers between domestic and foreign facilities. (5) Loan/lease, sale or donation. (6) One-party transactions (e.g., transactions with a M action code) (7) Corrections to the above transactions. b. Block 2, Receiver’s RIS. Enter the receiver’s RIS, normally 3-characters when the transaction is a transfer of material from the shipper to another facility. Care should be taken to ensure that the receiving facility’s RIS is reported and not the RIS for the agent handling the shipment. The shipper or originator enters its facility’s RIS in this block for a one-party transaction (e.g., a transaction with a M action code). This field is completed for the types of transactions listed in paragraphs 1.a.(1) through 1.a.(7) above. See Chapter VII for special instructions for importers and exporters of nuclear materials. c. Block 3, Transaction Number. Enter a consecutive number for the same shipper-receiver combination and ensures that a number is not skipped in the series or duplicated. (NOTE: An exception to the consecutive numbering requirement is allowed when a facility has pre-assigned or reserved numbers for programmatic needs, but the shipment does not subsequently occur. This applies to both physical and nonphysical transfers of material.) For one-party transactions, it is desirable that the shipper enter the appropriate journal entry number to identify the transaction as it occurs (e.g., 000105), the first two digits indicating the year, the next two digits indicating the month (i.e., 01 through 12), CANCELE D DOE M 470.4-6 08-26-05 Section B IV-2

and the last two digits identifying the specific transaction in the month. (The example above is for transaction 5 for January of 2000.) Do not prefix or suffix the transfer series number. For one-party or in-place transactions between projects or uranium enrichment contracts, an alphanumeric number may be used when necessary to maintain uniqueness. d. Block 4, Correction Number. This block is used to correct or adjust a previously issued DOE/NRC F 741. In preparing the corrected copy, the shipper or receiver will enter in blocks 1, 2, and 3, the same shipper RIS, receiver RIS, and transaction number (transfer series) used in the original report, and then enter in block 4 a consecutive correction number, beginning with 1 (numeral one). The corrected copy will clearly identify the items being corrected. The party making the adjustment will notify the other party to the transaction that an adjustment is necessary and follow up by issuing a corrected DOE/NRC F 741. The correction number is a 1-character field. An alpha correction number may be used by a facility when the correction does not affect the other facility. The shipper and/or receiver must enter the date the adjustment is entered in the facility records in block 22b or 22e, as appropriate. The shipper and receiver will distribute the corrected copy in accordance with the distribution pattern for the original DOE/NRC F 741. This field must be completed when: (1) A shipper or receiver issues a corrected DOE/NRC F 741 to adjust data previously reported to the NMMSS; (2) A correction affects another facility. A numeric character is required, action code C for the shipper and action code D for the receiver [also see blocks 26a and 27a for further guidance (back reference line number)]; (a) For each detail line in block 26 or 27 being corrected, two lines must appear on the corrected copy one with the data originally submitted and the other with the correct data. The line containing the original data must show the number of items, element weight, isotope weight, and limits of error as negative quantities. (For correcting lines that were originally negative, add a positive quantity.) The corrected line must show current quantities in these data fields. (b) For each detail line in block 26 or 27 being deleted, the original line must be repeated, with the number of items, element weight, isotope weight, and limits of error shown as negated quantities. (For deleting lines that were originally negative, add a positive quantity.) (3) Either the shipper or receiver makes an adjustment. The other party to the transaction must either accept the adjustment or acknowledge that an adjustment has been made; CANCELE D DOE M 470.4-6 08-26-05 Section B IV-3 (4) It is necessary to adjust or correct any data element in a M action code (one-party) transaction reported in a previous period. Either a numeric or an alphabetic character may be used; (5) Scrap material is recovered or remeasured for a more accurate total value for the amount of nuclear material in the original shipments. The DOE/NRC F 741 for the original shipments should be corrected by prorating the total amount of the correction according to the amounts of the original shipments. When this method is determined to be impracticable, e.g., for reprocessing campaigns, measurements on several shipments of material recovered simultaneously may be reported as a correction to a single document with additional details provided to the other party.

e. Block 5, Processing Code. Enter the appropriate 1-character, alphabetic code to identify the specific type of processing action required. (1) A—initial entry of data. (2) C—replacement of data. An entire data set may be replaced at any time prior to the close of the processing period in which the initial entry was made with the concurrence of the other party to the transaction. (3) D—deletion of data. Data may be deleted at any time prior to the close of the processing period in which the initial entry was made. f. Block 6, Action Code. Enter a code letter from the list below which describes the shipper’s purpose in issuing the DOE/NRC F 741. The action code field is a 1-character alpha field. (1) A—shipper’s original data (requires completion of block 22a, action date of shipment). (2) C—shipper’s adjustment or acknowledgment of receiver’s adjustment (requires completion of block 22b, action date of shipper’s correction). (3) M—one-party transaction, (e.g., an onsite gain or loss) reported on DOE/NRC F 741 (or electronic equivalent), and requires completion of block 22a, 20b, 22c, or 22e. (4) R—a one-party transaction to remove the WR obligation on material. (5) X—a shipper’s side of an obligation exchange. g. Block 7. Enter the number of pages if the submission is classified as Secret. NOTE: The block is reserved for paper copy submissions only. h. Block 8, Shipper. No data required. This information is not captured in the CANCELE D DOE M 470.4-6 08-26-05 Section B IV-4 NMMSS but is for documentation purposes or desired by one or more users of the transaction information. (1) Block 8a. Enter the name and address of the shipper. (2) Block 8b. Enter the appropriate possession license number if the shipper is a licensee. (Do not enter an export/import license number in this block.) (3) Block 8c, Attention. Enter the name of a specific individual to be contacted concerning the shipment. (4) Block 8d, Telephone. Enter the telephone number of the individual identified in block 8c. i. Block 9, Receiver. No data required. This information is not captured in the NMMSS, but is for documentation purposes or desired by one or more users of the transaction information. (1) Block 9a. Enter the name and address of the receiver. (2) Block 9b, License Number. Enter the receiver’s possession license number if the receiver is a licensee. (Do not enter an export/import license number in this block.) (3) Block 9c. Attention. Enter the name of the individual designated by the receiver to be contacted concerning receipt of the shipment. (4) Block 9d, Telephone. The shipper enters the telephone number of the individual identified in block 9c. j. Block 10, Number of Data Lines. Enter the total number of detail information lines supplied in block 26 for the shipper’s transaction data. The total number of data lines should be between 01 and 99. k. Block 11, Nature of Transaction. (1) This block is to be completed for DOE-owned material under lease or loan agreements, material sold or donated by or to DOE. See Table XV-11 for TI codes. (2) If applicable, enter the appropriate code from the list in Table XV-11. (3) This list is not applicable to one-party transactions. (4) This block is not to be completed for transfers of DOE-owned contract nuclear material within or between DOE programs, transfers of material owned by other U.S. Government agencies, transfers of privately owned material, or transfers to DOE under 42 U.S.C. 2121(b) or (c), as amended.

CANCELE D DOE M 470.4-6 08-26-05 Section B IV-5 l. Block 12, For Account. (1) The shipper completes block 12 if the material is either DOE-owned leased/loaned material or DOE-owned contract material being transferred to a licensee or foreign entity, if the shipment represents a sale or donation of privately owned material to DOE, or if the DOE field element or site office having programmatic responsibility for the material being transferred is different from both the shipper’s and receiver’s DOE field elements or site offices. (2) Enter the address of the facility or entity having lease or loan financial responsibility for the material in block 12a and the RIS in block 12b. (3) For shipments by DoD, under 42 U.S.C. 2121(b) with the exception of transfers of Navy cores and associated items, the initiator of the DOE/NRC F 741 enters the appropriate RIS for the DOE shipping point reported in block 12a. For transfers of Navy cores and associated items from DoD to DOE, under 42 U.S.C. 2121(b) the RIS QZD will be entered in block 12b. m. Block 13, To Account. (1) The shipper completes this block if the material is either DOE -owned leased/loaned material or DOE-owned contract material being transferred to a licensee or foreign entity, if the shipment represents a sale or donation of privately owned material to DOE, or the DOE field element or site office having programmatic responsibility for the material being transferred is different from both the shipper’s and receiver’s DOE field elements or site offices. (2) Enter the address of the facility or entity having lease or loan financial responsibility for the material in block 13a and the RIS in block 13b. (3) For shipments to DoD, under 42 U.S.C. 2121(b) (with the exception of transfers of Navy cores and associated items), the initiator of DOE/NRC F 741 enters the appropriate RIS for the DoD first destination point reported. For transfers of Navy cores and associated items from DOE to DoD under 42 U.S.C. 2121(b) the RIS QZD will be entered in block 13b. n. Block 14, Transfer Authority—Contract, Nuclear Material Draft or Order Number. (1) Enter transfer authority for DOE-owned materials as may be appropriate, e.g., DOE contract or usage agreement number, loan/lease agreement number, draft number, SNM order number, purchase order number