DOE M 474.1-2, Nuclear Materials Management and Safeguards System Reporting and Data Submission

DOE M 474.1-2 2-10-98 Manual for NUCLEAR MATERIALS MANAGEMENT AND SAFEGUARDS SYSTEM REPORTING AND DATA SUBMISSION U.S. DEPARTMENT OF ENERGY POLICY, STANDARDS AND ANALYSIS DIVISION OFFICE OF SAFEGUARDS AND SECURITY Distribution: Initiated By: All Departmental Elements Office of Safeguards and Security DISTRIBUTION: INITIATED BY: All Departmental Elements Office of Safeguards and Security DOE M 474.1-2 U. S. Department of Energy MANUAL Washington D.C. 2-10-98 Change 1: 4-27-98 Change 2: 11-16-98 SUBJECT: NUCLEAR MATERIALS MANAGEMENT AND SAFEGUARDS SYSTEM REPORTING AND DATA SUBMISSION 1. OBJECTIVE. To provide clear and detailed instructions and procedures for documenting and reporting data submissions for nuclear materials transactions, inventories, and material balances to the Nuclear Materials Management and Safeguards System (NMMSS). Implementing procedures contained in this Manual are required by DOE O 474.1, CONTROL AND ACCOUNTABILITY OF NUCLEAR MATERIALS and DOE M 474.1- 1, CONTROL AND ACCOUNTABILITY OF NUCLEAR MATERIALS, to be published concurrently with this Manual. 2. CANCELLATION. DOE 5633.3B GUIDE OF IMPLEMENTATION INSTRUCTIONS FOR NUCLEAR MATERIALS MANAGEMENT AND SAFEGUARDS SYSTEM REPORTING AND DATA SUBMISSION, dated September 7, 1994, published by the Office of Safeguards and Security. 3. APPLICABILITY. a. DOE Elements. This Manual applies to all DOE Elements involved with nuclear materials at DOE-owned facilities and DOE-owned nuclear materials at other facilities which are exempt from licensing by the Nuclear Regulatory Commission (NRC). b. Contractors. Except for the exclusions in 3c. below, Attachment 1, the Contractor Requirements Document (CRD), sets forth requirements that are to be applied to contractors (and subcontractors thereunder) awarded contracts involving the management and safeguarding of nuclear materials pursuant to DOE O 474.1 at DOE-owned and -leased facilities. Contractor compliance with the attached CRD will be required to the extent set forth in a contract. c. Exclusions. This Manual does not apply to DOE-owned nuclear materials at Department of Defense facilities, foreign facilities, and facilities licensed by the NRC or by NRC Agreement States. 4. DOCUMENTATION AND REPORTING. DOE Elements and contractors shall document all nuclear materials transactions, material balances, and inventories in accordance with the instructions provided in this Manual and shall transmit this information to the national data base, NMMSS. Information The Page Changes to this Manual are located in the Page Change section on Explorer. 2 DOE M 474.1-2 2-10-98 a. The national data base shall be used to accumulate and distribute information concerning nuclear materials transactions and inventories. Submissions shall be made in a timely manner in order that the objective of the system may be met which is to achieve reporting of accurate and complete data as soon as possible after the events described by the data occur. The national data base shall provide nuclear materials information relating to safeguards, materials management and production, inventory quantities and valuations, and other programs requested or required by DOE or NRC. Facilities, projects, and programs under the cognizance of the Office of Civilian Radioactive Waste Management subject to NRC regulation shall use the rules, standards, and criteria specified by the NRC or NRC Agreement State in lieu of this Manual.

b. The national data base shall serve as the centralized reporting facility to provide the information required under the provisions of the U.S./International Atomic Energy Agency (IAEA) Safeguards Agreement. c. All NMMSS data submissions shall be sent to the following address: NAC International NMMSS Project Attention: Document Control P.O. Box 922088 Norcross, GA 30010 5. FORMS. Forms identified and described in this Manual (or an equivalent form approved by the cognizant Field Element) shall be used for the documentation and reporting of nuclear materials transactions, material balances, and inventories in accordance with the instructions provided. Instructions for completing individual forms is provided in section 6. below and Chapters I-X of this manual. A computer-generated form or other approved equivalent must contain all information necessary for proper documentation and reporting of nuclear materials transactions, material balances, and inventories, as appropriate. The forms may be obtained through NAC International from the address in 4c above. (Examples of these forms are shown in Appendix A): a. DOE Form ET-256, “Authorization for Nonweapon Transfers to the Department of Defense,” (DOD) is used to document a nonweapons transfer of special nuclear material (SNM) to DOD (see Figure A-1; Chapter I). b. Form DOE-284, “Nuclear Material Transfer Receipt” (Figure A-2; Chapter II) shall be used to document and report to the shipping facility conditional receipt of nuclear material pending verification and/or confirmatory measurement in those cases where the receiver cannot determine independent measured values within 10 calendar days of receipt of the nuclear material. DOE/NRC Form 741 may be used in lieu of Form DOE-284. DOE M 474.1-2 3 2-10-98 c. DOE F DP-733, “Automated Data Processing Transcription Sheet for Inventory Data” (Figure A-3; Chapter VI) and DOE F DP-733A, “ADP Transcription Sheet for Inventory Data” (Figure A-4; Chapter VI), request information necessary for reporting of inventories of nuclear materials in the format required for input to the NMMSS. The forms are identical except that F DP-733A provides spaces for inventory data required only from facilities selected under the provisions of the U.S./IAEA Safeguards Agreement. (1) DOE F DP-733 (or an approved equivalent) shall be used to report the status of inventory of all DOE Field Elements and contractors. (2) DOE F DP-733A or DOE/NRC F 742C (or an approved equivalent) shall be used in lieu of DOE F DP-733 by DOE facilities selected under the provisions of the U.S./IAEA Safeguards Agreement. d. DOE F DP-734, “ADP Transcription Sheet for Concise Notes” (Figure A-5; Chapter X), requests all information necessary for reporting of concise note data in the format required for input to the NMMSS. Concise Notes shall be submitted as appropriate or required by facilities selected under the provisions of the U.S./IAEA Safeguards Agreement and by facilities engaged in the import and/or export of nuclear materials. e. DOE F DP-740, “Automated Data Processing Transcription Sheet, Nuclear Material Transaction Journal” (Figure A-6; Chapter VII) and DOE F DP-740A, “ADP Transcription Continuation Sheet, Nuclear Material Transaction Journal” (Figure A-7; Chapter VII), together request all information necessary for reporting of nuclear materials transactions in the format required for input to the NMMSS. DOE F DP-740 also is used for data on conditional receipts reported on F DOE-284.

f. DOE/NRC F 740M, “Concise Note”; (Figure A-8; Chapter III) shall be used by facilities selected under the provisions of the U.S./IAEA Safeguards Agreement to supply the IAEA with additional nuclear materials transaction, material balance, or inventory data in free- text format, either at their option or as required by facility attachment or transitional facility attachment and by facilities engaged in the import and/or export of nuclear materials. In addition to any standard DOE/NRC F 740M that may be used, exporters of nuclear materials are required to attach a special preprinted version of DOE/NRC F 740M (containing the designation “207 EXPORT NOTE” in block 8.B, “Entry Reference”; Figure A-9; Chapter III) to DOE/NRC F 741/741A for every shipment to a foreign entity, except for those transfers for purposes of mutual defense. 4 DOE M 474.1-2 2-10-98 g. DOE/NRC F 741, “Nuclear Material Transaction Report” (Figure A-10; Chapter I) and DOE/NRC F 741A, “Nuclear Material Transaction Report (Continuation Page)” (Figure A-11) hereinafter referred to together as DOE/NRC F 741/741A, request information necessary for documenting and reporting transactions involving nuclear materials. The forms (or approved equivalents) shall be used to: (1) Document transfers of nuclear material between facilities, adjustments to inventories, programmatic transfers within facilities, and changes in financial responsibility. (2) Document inventory changes by all DOE facilities selected under the provisions of the U.S./IAEA Safeguards Agreement. h. DOE/NRC F 742, “Material Balance Report” (Figure A-12; Chapter IV) requests the information necessary for documenting and reporting transactions and events contributing to the development of material balances. i. DOE F DP-742B, “Material Activity Schedule” (Figure A-13; Chapter V) shall be used to report information on DOE-owned loaned/leased nuclear material held by DOE contractors for the account of another Reporting Identification Symbol (RIS). j DOE/NRC F 742C, “Physical Inventory Listing” (Figure A-14; Chapter VI), requests information necessary for documenting and reporting nuclear materials inventories. DOE/NRC F 742C requests essentially the same information as DOE F DP-733A. All requirements applicable to DOE F DP-733A shall also apply to DOE/NRC F 742C. k. DOE F DP-749, “ADP Transcription Sheet, Internal Project Transfers” (Figure A-15; Chapter VIII) requests all information necessary for reporting of transfers of nuclear material between DOE projects or programs under the same RIS in the format required for input to NMMSS. l. DOE/NRC F 749A, “ADP Transcription Sheet, Contract Reclassifications” (Figure A- 16, Chapter IX) requests the data necessary to report transfers of nuclear material between uranium enrichment contracts under the same RIS in the format required for input to NMMSS. Its use is limited to the reporting of uranium enrichment activities. DOE M 474.1-2 5 2-10-98 6. PROCEDURES AND REQUIREMENTS FOR DOCUMENTATION OF TRANSACTIONS. In addition to the instructions in this paragraph, specific procedures for completing each form and for submitting the data to NMMSS are in Chapters I-X of this Manual. a. Documentation Methods of Transactions. (1) Manual Method. All transfers of reportable quantities of nuclear material (see Figure I-2; Chapter I) between organizations with different RISs within the U.S., or between facilities in the U.S. and foreign entities, shall be documented on a Nuclear Material Transaction Report (DOE/NRC F 741 and 741A, if required). The procedures and requirements for documentation of transactions assure that accountability for nuclear materials is transferred from shipper to receiver.

(2) Automated Method. Consenting Heads of Field Elements may elect to have transaction data automated and transmitted over appropriate telecommunications systems, thus eliminating the manual preparation of the required forms. If this method is used, all procedures and instructions of DOE O 474.1, DOE M 474.1-1, and this Manual shall apply except that signatures on the transaction documents are not required. Internal controls shall assure that the data transmitted have been properly authorized. The sender and recipient of such automated messages shall produce hard copies of the messages for use by all parties needing copies. The hard copies shall contain the information normally included on DOE/NRC F 741 and DOE/NRC F 741A, if required. The automated method of handling and transmitting transfer data shall follow all requirements of the Code of Federal Regulations for activities involving NRC or "Agreement State" licensees (i.e., commercial waste management sites and those parties with RISs beginning with the letters "X" through "Z"; see Paragraph 12f). (3) Either Method. Nuclear material types, elements, and isotopes to be reported, and their respective reporting units, shall be as specified in Figure I-2; Chapter I. For each detail line of shipper/receiver data shown on DOE/NRC F 741 and 741A, if required, material quantities reported by assay may be summarized, but only within the individual assays ranges (e.g., for enriched uranium, within 10.00 to 20.00% U-235 or within 80.00 to 92.00% U-235, as appropriate) required for reporting the Composition of Ending Inventory (see Chapter VI, Figure VI-1). 6 DOE M 474.1-2 2-10-98 Supporting documentation shall be attached to indicate individual quantities that have been summarized. Nuclear material transactions between facilities by both the automated and the manual method are required to have signatures on the transaction documents; however, signatures can be on either the automated or the manual copy. (4) Agreement of Transaction Data. Data sent to NMMSS shall agree, on a line-for-line basis, with data sent to the shipper or receiver party to the transaction on DOE/NRC F 741, or automated equivalent. b. Types of Transfers. (1) Physical Transfer of Nuclear Material. The shipper shall either include copies of the transfer report intended for the receiver with each shipment, or dispatch the receiver's and other copies of DOE/NRC F 741 and 741A, if required, by other means no later than 1 workday following shipment of the material. The receiver shall prepare and distribute the receiver's sections of DOE/NRC F 741 and 741A, if required, no later than 10 calendar days following receipt of the material. Whenever a facility transfers material to a foreign entity, the shipper shall include with the shipment a copy of DOE/NRC F 741 and 741A, if required, containing the shipper's data and special preprinted version of the Concise Note, and shall prepare and distribute the receiver's sections of DOE/NRC F 741 and DOE/NRC F 741A, if required, within 1 workday of receipt of the necessary data. Additional guidance may be provided by the shipper's Field Element. Whenever a facility receives nuclear material from a foreign entity, the receiver shall prepare and distribute the shipper's sections of the form, or approved equivalent, no later than 3 workdays following receipt of the material. In those cases where the receiver uses Form DOE-284, as an interim document to acknowledge receipt of nuclear materials pending independent determination of material content, Form DOE-284 shall be prepared and distributed within 10 calendar days following receipt of the nuclear material. If Form DOE-284 is submitted, the receiver shall prepare and submit DOE/NRC F 741 and 741A, if required, within 1 workday after the receiver's measurement has been obtained. Transfers involving The Department of Defense, except for transfers of nuclear material in Navy cores and associated items, shall be documented in accordance with the instructions provided, as supplemented by the Albuquerque Operations Office.

DOE M 474.1-2 7 2-10-98 (2) Nonphysical Transfer of Nuclear Material. DOE/NRC F 741 and 741A, if required, or an approved equivalent shall be used to record a change in project number, ownership status, or financial responsibility. (3) Other Types of Receipts and Removals. Various other types of receipts and removals including, but not limited to, production, transfers to and from other materials, sales, decay, losses and other inventory changes including inventory differences, shall be documented by using DOE/NRC F 741 and 741A, if required, or an approved equivalent. Such other types of receipt and removal data involving reportable quantities shall be documented and reported consistent with Paragraph 4.d.(a) and (d); Chapter I. c. Special Requirements. (1) Notifying Receiver of Nuclear Material Shipments. Each shipper shall be responsible for advising the intended receiver of proposed shipments of nuclear material and for providing all pertinent advance information. Specific notification requirements applicable to individual facilities are contained in the "DOE Directory of Reporting Identification Symbols." (NMMSS Report D-2) (2) Reporting of Nuclear Material in Transit for Domestic Shipments. (a) The shipper shall provide all pertinent quantity information to the receiver for all nuclear material in transit at the end of a reporting period. This requirement may be satisfied through the use of automated telecommunications methods only if both shipper and receiver possess the necessary automated capabilities. (b) Reportable quantities of radioactive decay shall be reported to NMMSS by the shipper and receiver. (3) Tracking of Nuclear Material Within the United States. Each facility shall submit country control number information in accordance with instructions provided. (4) Reporting Units and Rounding. (a) Reporting Units. Element and isotope weight shall be reported in the metric weight units specified for each nuclear material type in Figure I-2; Chapter I. 8 DOE M 474.1-2 2-10-98 (b) Rounding Policy. The quantity being transferred shall be reported as shown in Figure I-2; Chapter I, with fractions of 1/2 or greater rounded upwards and fractions of less than 1/2 dropped. Supporting documentation shall be maintained at the facility level to clearly indicate any rounding bias in the total material weight. (c) A transfer of multiple discrete items of 0.5 of a reporting unit or less, but of the same material type, shall be summed to a total weight of that material type before applying the criteria below. QUANTITY ACTION Equal to or greater than 0.5 of Report to the nearest whole the reporting unit. reporting unit. Less than 0.5 of the reporting Documentation not required on unit. DOE/NRC F 741/741A. Reporting of Nuclear Material Quantities Transferred (5) Limits of Error on Transfers of Special Nuclear Material and Tritium. DOE contractors shall determine and notify DOE of limits of error on transfers of SNM and/or tritium (except in the case of tritium in reservoirs), as specified in DOE M 474.1-1, Paragraph 5.a(4)(c). Chapter II. Such notification shall be made using DOE/NRC F 741 and 741A, if required, or an approved equivalent. Limits of error shall be stated on all copies of DOE/NRC F 741 and 741A, if required. The requirements for limits of error as contained in the Code of Federal Regulations (10 CFR 70.58 (e)) also apply.

(6) Amendments or Adjustments to Previously Issued DOE/NRC F 741 and/or 741A. When an adjustment is made by one party to a transaction, DOE Field Elements shall assure that contractors under their jurisdiction document the adjustment on DOE/NRC F 741 and/or 741A, if required, and transmit the completed form to the other party to the transaction within 24 hours or by the close of the first business day after obtaining the adjustment data. DOE M 474.1-2 9 2-10-98 (7) Transfers of Nuclear Material Between DOE Contractors and Licensees. (a) Transfers to Licensees. DOE contractors who receive authorizations and requests for distribution of nuclear material to a licensee, pursuant to 42 U.S.C. §§2073, 2093, and 2111 (as amended), shall document such transfers using DOE/NRC F 741 and 741A, if required. (b) Transfers from Licensees. Transfer documents for nuclear material shipped to DOE for credit or service by a licensed facility shall be prepared and distributed by the shipper in accordance with the requirements of the Code of Federal Regulations. When such material is received it shall be documented by the receiver using DOE/NRC F 741 and 741A, if required. (8) Transfers of Nuclear Material Between the U.S. and Foreign Nations. Foreign Regional Organizations, or Supranational Organizations. (a) General. 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 or privately owned nuclear material, as applicable, obtained by sale, lease, grant, donation, or loan from DOE contractor facilities, or from NRC or "Agreement State" licensees, pursuant to 42 U.S.C. §§2074 (as amended), 2094 (as amended). 2112, or 2121 (c). (b) Documentation of Transfers. Transfers of nuclear material to and from foreign entities shall be documented using DOE/NRC F 741 and 741A, if required. 7. MATERIAL BALANCE REPORT. Nuclear material balances shall be documented and reported in accordance with the instructions provided below. a. Material balance reports shall be submitted on or in the format of DOE/NRC F 742, "Material Balance Report." b. A single Material Balance Report shall be prepared for each nuclear material type to document the beginning and ending inventories, and all receipts and removals of nuclear material relevant to the RIS being reported on by each facility. Inventory and transfer data shall be reported for all nuclear material, regardless of whether the material is held pursuant to a DOE contract, under private ownership, or under the provisions of 42 U.S.C. §§2073, 2074, 2093, or 2094 (as amended). 10 DOE M 474.1-2 2-10-98 c. Nuclear material types, elements, and isotopes to be reported, and their respective reporting units, shall be as specified in Figure I-2; Chapter I. Each quantity shown on DOE/NRC F 742 shall be rounded to the proper whole reporting unit for the material type. d. Adjustments, amendments, or corrections to reports shall be made according to the instructions provided. e. Radioactive decay shall be reported on Material Balance Reports on a quarterly basis when the decay has reached accountable quantities or at a more frequent reporting interval if required by the cognizant Operations Office. f. DOE F DP-742B, "Material Activity Schedule," shall be submitted in addition to the Material Balance Report by facilities with RISs beginning with the letters "A" through "QAA," if applicable. DOE F DP-742B shall be used for reporting information on DOE-owned, loaned, or leased nuclear material held for the account of another RIS.

g. Material Balance Reports shall be submitted: (1) Semiannually as of March 31 and September 30 for all facilities; monthly or quarterly when directed by the cognizant Field Element. (2) As Specified in facility attachments or transitional facility attachments for DOE facilities selected under the provisions of the U.S./IAEA Safeguards Agreement. (3) In Lieu of the Above Field Element Managers may request that NMMSS produce computer-generated Material Balance Reports. After receipt of all necessary data, such reports shall be sent promptly to the concerned facilities. The facilities shall review the reports for content, note thereon any changes that are warranted, and sign and distribute the reports. h. Nuclear material in transit at the end of a reporting period shall be reported as if received within the reporting period by the intended receiver. 8. INVENTORY REPORTING a. All inventories of nuclear material shall be reported to NMMSS on DOE F DP-733. "Automated Data Processing Transcription Sheet for Inventory Data," DOE F DP-733A, "Automated Data Processing Transcription Sheet for Inventory Data" or DOE/NRC F 742C "Physical Inventory Listing," as appropriate. DOE M 474.1-2 11 2-10-98 b. Material types, elements, and isotopes to be reported, and their respective reporting units, shall be as specified in DOE M 474.1-1, Figure I-1, page I-2. Each quantity shown on DOE F DP-733, DOE F DP-733A, and DOE/NRC F 742C shall be rounded to the proper whole reporting unit for the material type. c. Inventory reports shall be submitted: (1) Quarterly, as of December 31, March 31, June 30, and September 30 for all facilities; monthly when directed by the cognizant Field Element, (2) As Specified in facility attachments or transitional facility attachments for DOE facilities selected under the provisions of the U.S./ IAEA Safeguards Agreement. d. Nuclear material in transit at the end of a reporting period shall be included in the receiver's reported inventory as if received by the intended receiver within the reporting period. 9. DATA PROCESSING PROCEDURES a. Transaction Data shall be submitted to NMMSS, using DOE F DP-740, "Automated Data Processing Transcription Sheet Nuclear-Material Transaction Journal," and DOE F DP-740A, "Automated Data Processing Transcription Continuation Sheet Nuclear Material Transaction Journal," as soon as possible after the transaction occurs, but no less often than weekly. Data on all transactions occurring during a calendar month shall be submitted no later than 8 working days following the end of the month during which the transactions occurred. b. Inventory Data shall be submitted to NMMSS on DOE F DP-733 or, for the facilities selected under the provisions of the U.S./IAEA Safeguards Agreement, on DOE F DP-733A, as appropriate. Inventory data shall be submitted within 15 calendar days after the end of the reporting period. c. Concise Note Data shall be submitted to NMMSS on DOE F DP-734 "Automated Data Processing Transcription Sheet for Concise Notes," at the same time as the submission of the data to which the Concise Note refers. d. Inventory Difference Explanation Data shall be submitted to NMMSS on DOE F DP-740 within 1 workday after the explanation data are available, but no later than 8 working days after reporting the inventory difference. 12 DOE M 474.1-2 2-10-98

e. Internal Project Transfer Data (within one RIS) shall be submitted to NMMSS on DOE F DP-749, "Automated Data Processing Transcription Sheet Internal Project Transfers," no later than 8 working days following the end of the month in which the transfer occurs. f. Confirmatory Receipt Data when reported on DOE-284,"Nuclear Material Transfer Receipt," shall be submitted to NMMSS on DOE DP-740, as soon as possible after receipt of the nuclear material, but no less often than weekly. Data on confirmatory receipts occurring during a calendar month shall be submitted no later than 8 working days following the end of the month during which the transfers occurred. g. Alternative Data Submission Methods. (1) Machine-Readable Data. In lieu of the data processing forms specified, data may be submitted to the national database in machine readable form (e.g., on diskettes). Information submitted in machine readable form shall include all data required on the appropriate form specified, and shall be in the format specified for that form by the Office of Safeguards and Security. (2) Use of Telecommunications. With prior approval of OSS, data may be submitted directly via the appropriate telecommunications system network to NMMSS in lieu of using the forms specified. Information submitted via a telecommunications system network shall include all data required on the appropriate form specified and shall be in the format specified by OSS. (3) In any case where data are submitted in machine readable form or via a telecommunications system network, the timing requirements of Paragraph 9., a. through g. above shall apply, as appropriate for the type of data submitted. 10. CORRECTION DATA. Data correcting previously submitted data found to be in error shall be submitted during the workday in which notification of the error is received. 11. AUTHORIZING LEGISLATION. Collection of nuclear material transaction, inventory, and material balance data on the forms listed in Paragraphs 5.a. through 7.h. is authorized by: a. Public Law 83-703, Atomic Energy Act of 1954, as amended; b. Public Law 93-438, Energy Reorganization Act of 1974, as amended; c. Public Law 95-91, Department of Energy Organization Act of 1977, as amended; d. Agreement between the United States of America and the International Atomic Energy Agency for the Application of Safeguards in the United States of America, with DOE M 474.1-2 13 2-10-98 Protocol, also referred to as the U.S./IAEA Safeguards Agreement; and e. International Atomic Energy Agency Information Circular 207 (INFCIRC/207), “Notification to the Agency (IAEA) of Exports and Imports of Nuclear Material,” of 7-26-74, and amendment letter of 9-15-82, requesting that the United States report exports and imports of quantities of nuclear materials, including those less than one effective kilogram but above minimal levels as defined. 12. REFERENCES. a. DOE O 470.1, SAFEGUARDS AND SECURITY PROGRAM, of 9-28-95, which sets forth general safeguards and security program requirements. b. DOE O 471.2, INFORMATION SECURITY PROGRAM, of 3-27-97, and DOE M 471.2-1, MANUAL FOR CLASSIFIED MATTER PROTECTION AND CONTROL, of 9-26-95, which contain requirements relative to the protection and control of classified documents and information. c. DOE O 474.1, CONTROL AND ACCOUNTABILITY OF NUCLEAR MATERIALS, of 1998, which contains the principles and requirements for nuclear materials control and accountability.

d. DOE M 474.1-1, CONTROL AND ACCOUNTABILITY OF NUCLEAR MATERIALS, of 1998, which contains detailed information of the requirements for nuclear materials control and accountability. e. DOE 5650.2B, IDENTIFICATION OF CLASSIFIED INFORMATION, of 12-31-91, which contains the specific responsibilities, standards, and procedures for the management of the DOE classification system. f. Title 10, Code of Federal Regulations, Chapter I, “Nuclear Regulatory Commission,” contains the regulations applicable to NRC and “Agreement State” licensees involved in activities concerning nuclear materials not subject to DOE requirements. g. NMMSS Report D-2, “DOE Directory of Reporting Identification Symbols,” which contains a list of all valid RISs for DOE nuclear facilities, Department of Defense (DOD) facilities, Mutual Defense facilities, and specific organizations. This document also lists the names, addresses, and telephone numbers of the facilities, and any special requirements for notification concerning shipment of nuclear material. Copies, periodic updates, and revisions are available from the Director of OSS or NMMSS. h. NMMSS Report D-15, “International Nuclear Facilities Codes,” which is a directory of RISs for foreign facilities and includes IAEA facility codes and IAEA country codes. Periodic updates and revisions are available from the Director of OSS or NMMSS. 14 DOE M 474.1-2 2-10-98 i. NMMSS Report I-17, “DOE Inventory Profile,” which contains an inventory data section and a miscellaneous data section. Each section is arranged according to material process, usage, chemical, and physical form. j. NMMSS Report I-17D, “Authorized Inventory Profile by Facility,” which contains Inventory profiles for individual facilities based upon information in the NMMSS Report I-17). k. “INMTS Data Entry Procedures” which is a manual for preparation and submission of information concerning U.S. supplied nuclear materials and nuclear materials which the U.S. has an interest in, in foreign countries. Copies are available from the Oak Ridge Operations Office, Materials Control and Accountability Branch. l. “Agreement between the United States of America and the IAEA for the Application of Safeguards in the United States of America,” with Protocol, which is a treaty between the U.S. and the IAEA providing for the application of IAEA safeguards to nuclear materials in facilities in the U.S. not associated with activities of direct national security significance. Copies are available from the U.S. Government Printing Office. m. IAEA Information Circular 207 (INFCIRC/207), “Notification to the Agency (IAEA) of Exports and Imports of Nuclear Material,” of 7-26-74, and amendment letter, of 9-15-82, which requests that the U. S. report exports and imports of quantities of nuclear materials, including those less than one effective kilogram but above minimal levels as defined. Copies are available from the Office of Arms Control and Nonproliferation (NN-40) or the IAEA. n. ANSI N15.1-1970, “American National Standard Classification of Unirradiated Uranium Scrap,” which provides a classification system for scrap material containing recoverable amounts of uranium. o. ANSI N15.10-1987, “American National Standard Classification of Unirradiated Plutonium Scrap,” which provides a classification system for scrap material containing recoverable amounts of plutonium.

13. DEFINITIONS. Definitions relevant to this Manual are in Appendix B. Additional definitions concerning nuclear materials accountability may be found in the “Safeguards and Security Glossary of Terms,” available from OSS. 14. CONFIDENTIALITY OF DATA. a. The information requested on the forms shall be classified when required by DOE directives. Classified information is exempt from public disclosure under the Freedom of Information Act (FOIA) 5 U.S.C.552 and Executive Order 12065. DOE M 474.1-2 15 2-10-98 b. Information collected on the forms which is unclassified will be subject to public disclosure unless the information requested is subject to one of the exemptions contained in the Freedom of Information Act and the exemption is claimed. 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 with respect to the handling of proprietary information of a private business, foreign government, or an international organization (10 CFR 1004.11(b)) provide a respondent the opportunity 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 a form is submitted if the respondent's views with regard to the confidentiality of the information requested have not changed. 15. CONTACT. Comments and inquiries may be directed to the Materials Control and Accountability Program, 301-903-5618, or to the points-of-contact provided in the chapters. 16 DOE M 474.1-2 2-10-98 THIS PAGE INTENTIONALLY LEFT BLANK DOE M 474.1-2 Attachment 1 2-10-98 Page 1 Contractor Requirements Document Nuclear Materials Management and Safeguards System Reporting and Data Submision The Contractor shall comply with manual, DOE M 474.1-2, NUCLEAR MATERIALS MANAGEMENT AND SAFEGUARDS SYSTEM REPORTING AND DATA SUBMISSION. Attachment 1 DOE M 474.1-2 2-10-98 Page 2 THIS PAGE INTENTIONALLY LEFT BLANK DOE M 474.1-2 i 2-10-98 Table of Contents Page Chapter I - Nuclear Material Transaction Report 1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-1 a. Special Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-1 b. Establishment, Deactivation, and Construction of a RIS . . . . . . . . . . . . . . . . . . . . . . . I-1 2. General Instructions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-2 a. Shipments/Receipts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-2 b. Normal Operational Losses/Measured Discards and Accidental Losses . . . . . . . . . . . . I-5 c. Numbers in Parentheses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-8 d. Classification and Security Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-8 e. Documentation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-8 f. Distribution of Copies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-8 g. Shipper's Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-8

Figure I-1 Inventory Change Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-17 Figure I-2 Nuclear Material Reporting Characteristics - Transactions . . . I-23 h. DOE/NRC Form 741A . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-24 i. Delayed Receiver Measurements (Use of Form DOE-284) . . . . . . . . . . . . . . . . . . . . I-24 j. Receiver's Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-24 3. Distribution of DOE/NRC Form 741/741A . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-31 a. Primary Distribution . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-31 Figure I-3 Five Copy Distribution . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-33 Figure I-4 Seven Copy Distribution . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-33 Figure I-5 Four Copy Distribution . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-34 Figure I-6 Three Copy Distribution . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-34 b. Secondary Distribution . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-35 4. Amendments or Adjustments to a Previously Issued DOE/NRC Form 741/741A . . . . . . I-36 5. Completion of DOE Forms DP-740, DP-740A, DP-749, or DP-749A . . . . . . . . . . . . . . I-37 Attachment I-1 Special Instructions for Transfers of Nuclear Materials Between the Department of Energy and the Department of Defense . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-38 Attachment I-2 Special Instructions for Transfers of Nuclear Material Between the United States and Foreign Nations, Foreign Regional Organizations, or Supranational Organizations . . . . I-46 Figure I-7 Exports - Primary Distribution . . . . . . . . . . . . . . . . . . . . . . . . I-57 Figure I-8 Exports to Euratom - Secondary Distribution . . . . . . . . . . . . . I-58 Figure I-9 Exports to Non-Euratom Countries - Secondary Distributions I-59 Figure I-10 Imports - Primary Distribution . . . . . . . . . . . . . . . . . . . . . . . . . I-60 Figure I-11 Imports from Euratom - Secondary Distribution . . . . . . . . . . . . I-61 Figure I-12 Imports from Non-Euratom Countries - Secondary Distribution . I-62 Attachment I-3 Supplemental Instructions for Completing DOE/NRC F 741/ 741A, Blocks 24.J and 25.J . . . . . . . . . . . . . . . . . . . . . . . . . . . I-63 Attachment I-4 Special Transaction Reporting Instructions for Facilities Selected by the International Atomic Energy Agency . . . . . . . I-69 Attachment I-5 DOE Contractor Reporting Procedures for Normal Operational Losses/Measured Discards and Accidental Losses I-75 ii DOE M 474.1-2 2-10-98 Page Attachment I-6 Instructions for Applying for a Reporting Identification Symbol or Reporting Changes to the RIS Directory . . . . . . . . I-76 Figure I-13 Cognizant Offices and Corresponding First Letter of RIS . . . I-80 Chapter II - Nuclear Material Transfer Receipt 1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II-1 2. Detailed Instructions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II-1 3. Distribution of Form DOE-284 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II-1 4. Completion of the Related Form DP-740 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II-1

Chapter III - Concise Note 1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . III-1 2. Preparation of DOE/NRC Form 740M . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . III-1 a. Standard Version of DOE/NRC Form 740M . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . III-1 b. Special Preprinted Version of DOE/NRC Form 740M . . . . . . . . . . . . . . . . . . . . . . . III-3 3. Distribution of DOE/NRC Form 740M . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . III-3 4. Completion of Related Form DP-734 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . III-3 Chapter IV - Material Balance Report 1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . IV-1 2. Preparation of DOE/NRC Form 742 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . IV-1 a. Classification and Security Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . IV-1 b. Reporting Units . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . IV-1 Figure IV-1 Nuclear Material Reporting Characteristics - Nuclear Material Balances . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . IV-3 c. Corrections to DOE/NRC Form 742 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . IV-4 d. Decay Factors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . IV-4 Figure IV-2 Half-Life and Decay Factors . . . . . . . . . . . . . . . . . . . . . . . . . IV-5 e. DOE/NRC Form 742 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . IV-6 3. Distribution of DOE/NRC Form 742 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . IV-13 Attachment IV-1 Special Material Balance Reporting Instructions for Facilities Selected by the International Atomic Energy Agency . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . IV-14 Chapter V - Material Activity Schedule 1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . V-1 2. Preparation of DOE Form DP-742B . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . V-1 3. Distribution of DOE Form DP-742B by Financially Responsible Lessee/Loanee . . . . . . . . V-2 Chapter VI -ADP Transcription Sheets for Inventory Data and Physical Inventory Listing 1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . VI-1 2. General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . VI-1 a. Nuclear Material Composition Codes and Descriptions . . . . . . . . . . . . . . . . . . . . . . VI-1 b. Authorized Profiles of Inventory Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . VI-2 c. Nuclear Material Type Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . VI-3 DOE M 474.1-2 iii 2-10-98 Page 3. Preparation of DOE Form DP-733 and DOE Form DP-733A . . . . . . . . . . . . . . . . . . . . VI-3 Figure VI-1 Nuclear Material Type Codes . . . . . . . . . . . . . . . . . . . . . . . . . VI-4 Figure VI-2 Nuclear Material Reporting Characteristics - Inventories . . . . VI-8

4. Preparation of DOE/NRC Form 742C . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . VI-10 5. Distribution of DOE/NRC Form 742C . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . VI-10 Attachment VI-1 Special Inventory Reporting Instructions for Facilities Selected by the International Atomic Energy Agency . . . . . . VI-11 Chapter VII -ADP Transcription Sheet, Nuclear Material Transaction Journal 1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . VII-1 a. DOE Form DP-740 and 740A . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . VII-1 b. Special Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . VII-1 c. Data Structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . VII-2 d. General Procedures and Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . VII-2 e. Automated Data Transmission . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . VII-2 2. Detailed Instructions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . VII-3 a. Transaction Identification - All Data Records . . . . . . . . . . . . . . . . . . . . . . . . . . . . . VII-3 b. Data Record Number 1 - General Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . VII-5 c. Data Record Number 2 - Detail Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . VII-8 Figure VII-1 Variable Tails Assay Option Codes . . . . . . . . . . . . . . . . . . VII-12 d. Data Record Number 5 - Continuation of Data Record Number 2 . . . . . . . . . . . . VII-13 Figure VII-2 Nuclear Material Reporting Characteristics . . . . . . . . . . . . VII-15 e. Data Record Number 3 - Transportation Information . . . . . . . . . . . . . . . . . . . . . . VII-16 f. Data Record Number 4 - Packaging Information . . . . . . . . . . . . . . . . . . . . . . . . . VII-17 3. Correcting, Adjusting, or Deleting Data in Previously Submitted Data Sets . . . . . . . . VII-17 a. Transaction Identification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . VII-17 b. Types of Corrections . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . VII-19 c. Detailed Instructions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . VII-19 4. Inventory Difference Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . VII-21 a. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . VII-21 b. Inventory Difference Categories . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . VII-21 c. Actual Inventory Difference (Code 97) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . VII-23 d. Material Unaccounted For (Code 99) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . VII-23 e. Signs of Quantities Reported . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . VII-24 f. Detailed Instructions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . VII-24

5. Special Instructions for United States Facilities Engaged in Import and/or Export of Nuclear Materials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . VII-25 Attachment VII-1 DOE Nuclear Material Transaction Journal Codes Used in the Transaction Journal System . . . . . . . . . . . . . . . . . . . VII-27 Attachment VII-2 Instructions for Preparation of Transaction Data Items . . . VII-29 iv DOE M 474.1-2 2-10-98 Page Chapter VIII - ADP Transcription Sheet, Internal Project Transfers 1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . VIII-1 2. Automated Data Transmission . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . VIII-1 3. Preparation of DOE Form DP-749 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . VIII-1 a. Transaction Identification - Header and Detail Records . . . . . . . . . . . . . . . . . . . . . VIII-1 b. Header Information - Data Record Number 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . VIII-2 c. Detail Information - Data Record Number 2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . VIII-3 Chapter IX - ADP Transcription Sheet, Contract Reclassifications (Internal Transfers) 1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . IX-1 2. Automated Data Transmission . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . IX-1 3. Preparation of DOE Form DP-749A . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . IX-1 a. Transaction Identification - Header and Detail Records . . . . . . . . . . . . . . . . . . . . . . IX-1 b. Header Information - Data Record Number 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . IX-2 c. Detail Information - Data Record Number 2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . IX-3 Chapter X - ADP Transcription Sheet for Concise Notes 1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . X-1 2. Automated Data Transmission . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . X-1 3. Preparation of DOE Form DP-734 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . X-1 a. Identification Data, Columns 1-19 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . X-1 b. Batch Identification or Material Balance Category, Columns 20-35 . . . . . . . . . . . . . . X-2 c. Sequence Number, Columns 36-37 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . X-3 d. Concise Note Text, Columns 38-80 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . X-3 Appendix A - Examples of DOE Forms Figure A-1 Form DOE-256, Authorization for Nonweapon Transfers to the DOD . . . . . . A-3 Figure A-2 Form DOE-284, Nuclear Material Transfer Receipt . . . . . . . . . . . . . . . . . . . . A-4 Figure A-3 Form DP-733, ADP Transcription Sheet for Inventory Data . . . . . . . . . . . . . A-5 Figure A-4 Form DP-733-A, ADP Transcription Sheet for Inventory Data . . . . . . . . . . . . A-6 Figure A-5 Form DP-734, ADP Transcription Sheet for Concise Notes . . . . . . . . . . . . . . A-7 Figure A-6 Form DP-740, ADP Transcription Sheet Nuclear Material Transaction Journal A-8 Figure A-7 Form DP-740A, ADP Transcription Continuation Sheet, Nuclear Material

Transaction Journal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-9 Figure A-8 Form DOE/NRC-740M, Concise Note . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-10 Figure A-9 Form DOE/NRC-740M (Preprinted), Concise Note . . . . . . . . . . . . . . . . . . . A-11 Figure A-10 Form DOE/NRC-741, Nuclear Material Transaction Report . . . . . . . . . . . . . A-12 Figure A-11 Form DOE/NRC-741A, Nuclear Material Transaction Report (Continuation Page) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-13 Figure A-12 Form DOE/NRC-742, Material Balance Report . . . . . . . . . . . . . . . . . . . . . . A-14 Figure A-13 Form DP-742B, Material Activity Schedule . . . . . . . . . . . . . . . . . . . . . . . . . A-15 Figure A-14 Form DOE/NRC-742C, Physical Inventory Listing . . . . . . . . . . . . . . . . . . . . A-16 Figure A-15 Form DP-749, ADP Transcription Sheet, Internal Project Transfers . . . . . . . A-17 Figure A-16 Form DP-749A, ADP Transcription Sheet, Contract Classifications . . . . . . . A-18 Appendix B - Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . B-1 Cover Introduction CRD Table of Contents