INDEX
CHAPTER II
MATERIALS ACCOUNTABILITY
1. GENERAL. This chapter describes the requirements for nuclear materials
accountability and shall be applied in a manner consistent with the
graded safeguards concept. The chapter is subdivided into five
functional areas: accounting systems, inventories, measurements and
measurement control, material transfers, and material control
indicators.
2. ACCOUNTING SYSTEMS. Each facility shall have a system that provides 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. The accounting system shall provide a complete audit trail on
all nuclear material from receipt through disposition. The Generally
Accepted Accounting Principles, as promulgated by Financial Accounting
Standards Board, shall be used in the design and operations of the
nuclear material accounting system unless otherwise directed by DOE
directives.
a. Accounting System Data Base and Procedures. For each facility,
procedures shall be maintained describing the structure and
operation of the nuclear materials accounting system. The
procedures shall accurately reflect current nuclear material
accounting practices. Specific requirements for accounting
procedures include the following:
(1) A description of the inventory data base, including procedures
for updating the inventory data and reconciling the inventory
data with the results of physical inventories, and a
description of the required data elements for each applicable
material type.
(2) Identification of the accounting reports and their frequency,
distribution and timeliness, consistent with accounting
requirements.
(3) Identification of the organizational responsibilities for the
management and operation of the accounting system.
(4) Recording, reporting, and submission of data to the national
database, Nuclear Materials Management and Safeguards System,
by material type and reporting unit, as specified on page
II-19, paragraph 7.
b. Account Structure.
(1) A facility shall consist of one or more Materials Balance
Areas established to identify the location and quantity of
nuclear materials in the facility. For each facility, readily
retrievable accountability data shall be maintained by
Materials Balance Area that reflects quantities of nuclear
materials on inventory, quantities of nuclear material
received and shipped, and other adjustments to inventory.
(2) The Materials Balance Area account structure shall 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) One individual in each Materials Balance Area shall be
designated by management to be responsible for ensuring that
materials control and accountability policies are implemented
in that Materials Balance Area.
(4) Material types, processes, and functions shall be considered
in establishment of Materials Balance Areas. The number of
Materials Balance Areas shall be sufficient to identify and
localize inventory differences and their causes.
(5) A Materials Balance Area boundary shall not cross a Materials
Access Area boundary. Each Materials Balance Area should
conform to the single geographical area concept and be an
integral operation. If more than one geographical area is
included in one Materials Balance Area, all of these areas
must be under the administrative control of the same
individual, and the activities in these areas must be
associated with an integral operation.
c. Records and Reports.
(1) For each facility, management shall maintain records, submit
data, and issue reports as required by page II-19, paragraph 7
and facility procedures. These reports shall accurately
describe all nuclear material transactions and inventories.
Inventory adjustments shall be identified by Materials Balance
Area and shall be reported consistent with requirements of
this Order, page II-19, paragraph 7.
(2) Nuclear materials records shall be updated only by authorized
personnel, and the records system shall provide an audit trail
for all transactions affecting the nuclear materials database.
(3) The Materials Balance Area records system shall be capable of
being updated daily or upon demand for all nuclear materials
transactions. (This requirement is for the updating of
records based on reports or information; it is not a
requirement on how quickly a facility must be able to complete
measurements.) In addition, the records system shall be
capable of generating book inventory listings for all special
nuclear material within 3 hours. For all other nuclear
material, the timing for generation of book inventories shall
be within 24 hours. Validating the accuracy of the accounting
record system shall be conducted according to testing
methodology, testing frequency, and record maintenance
requirements contained in DOE 5630.16A and applicable
Department guidance. Performance requirements for accounting
record system accuracy are contained on page I-10, paragraph
4.
3. PHYSICAL INVENTORIES. Each facility's management shall implement a
physical inventory program for nuclear materials consistent with the
requirements defined below.
a. Periodic Physical Inventories.
(1) Physical Inventories. Inventories shall be based on measured
values and, where feasible, measurements or technically
justifiable estimates of holdup shall be made so that holdup
quantities can be used in determining inventory values or
explaining the inventory difference. Process monitoring
techniques may be used for material which is undergoing
processing and recovery operation but inaccessible for
measurements by sampling. Process monitoring, in addition to
material control procedures and specific action criteria,
subject to the approval of the Manager, Operations Office,
should be used routinely to track materials in process until
operations permit an accountability measurement.
(2) Conduct of Inventories. For each facility, there shall be
documented plans and procedures defining responsibilities for
performing inventories and specifying criteria for conducting,
verifying, and reconciling inventories of nuclear material.
Verification of the presence of items during inventories may
be performed on a statistical sampling basis. Sampling plans
shall be consistent with the graded safeguards concept.
Parameters for statistical sampling plans and inventory
stratifications used with statistical sampling plans shall be
defined by the facility management and approved by the
Manager, Operations Office.
(3) Holdup Inventory. Holdup inventory shall be measured, where
feasible, or estimated on the basis of throughput, process
data, modeling, engineering estimates, or other technically
justifiable factors as a regular part of inventory for
facilities with Category I, II, and III quantities of special
nuclear material and for facilities with Category IV
quantities of special nuclear material that have more than 5
kilograms of special nuclear material as holdup on a regular
basis. The method, justification, and supporting
documentation should be included in the Materials Control and
Accountability Plan.
(4) Physical Inventory Frequencies. For each facility, physical
inventories shall be performed for Category I and II Materials
Balance Areas involving activities other than processing at a
frequency determined by the Manager, Operations Office, but at
least semiannually. For Category I and II Materials Balance
Areas where processing occurs, physical inventories shall be
performed at a frequency determined by the Manager, Operations
Office, but at least bimonthly. Factors to be taken into
consideration for frequency determination include personnel
radiation exposure, the operational mode of the facility, and
credible protracted diversion scenarios.
Category IV source and/or other nuclear material in Category I
and II Materials Balance Areas shall be inventoried on a
schedule defined by the Manager, Operations Office, but at
least annually, except when the source and/or other nuclear
material is a credible substitution material. In situations
where substitution materials are collocated with special
nuclear material, facilities shall inventory substitution
materials with the same frequency as the special nuclear
material and implement the use of inventory measurement
methods that can distinguish between special nuclear material
and source and other nuclear material.
In addition to the above requirements, inventory checks for
Category IA items not in storage shall be performed weekly for
physical count verification, and monthly for serial number
verification. Inventory checks for stored Category IA items
shall consist of a physical count whenever the storage area is
accessed and a serial number verification on a monthly basis.
For each facility, physical inventories shall be performed for
Category III and IV Materials Balance Areas at a frequency to
be determined by the Manager, Operations Office, but at least
biennially.
For facilities having multiple Materials Balance Areas with
varied inventory frequencies, a simultaneous inventory of the
complete facility shall be performed at least once biennially.
(5) Deviations to Inventory Frequencies. Deviations to inventory
frequency requirements described in subparagraph (4) above may
be approved in accordance with DOE 5630.11B, for situations
where alternative control mechanisms provide assurance that
unreported changes in inventories would be detected.
Inventory values shall be determined in time to provide for
computation and reconciliation of inventories and
determination of inventory differences, consistent with DOE
reporting requirements stated on page II-19, paragraph 7, and
approved inventory frequencies. See "Guide for Implementation
of DOE 5633.3A."
(6) Physical Inventory Reconciliation Program. For each facility,
management shall implement a physical inventory reconciliation
program designed to provide assurance that all nuclear
material has been accounted for and that the facility's record
system reflects the physical inventory. Upon completion of
the physical inventory, the book inventory for each Materials
Balance Area shall be compared with and, if necessary,
adjusted to the physical inventory.
b. Special Inventories. At each facility, management shall establish
and implement procedures for conducting special inventories as a
result of routine disassembly of critical assemblies, changes in
custodial responsibilities, missing items, inventory differences
exceeding established control limits, abnormal occurrences, or at
the request of authorized facility personnel or the cognizant
Operations Office.
c. International Atomic Energy Agency Inventories. Physical
inventories performed during International Atomic Energy Agency
inspections may, with the concurrence of the Manager, Operations
Office, serve in place of a scheduled physical inventory.
d. Inventory Verification/Confirmation Measurements.
(1) At each facility, management shall establish and implement a
system for performing measurements as part of a physical
inventory. Verification measurements shall be made on special
nuclear material items that are not tamper-indicating.
Confirmation measurements shall be made on items that are
tamper-indicating. Such measurements are intended to detect
diversion or theft of material and shall use a
statistically-based sampling plan applied in a manner
consistent with the graded safeguards concept. Separate
sampling plans shall be implemented for verification and
confirmation measurements to assure that a sufficient number
of non-tamper-indicating items are measured. Parameters for
statistical sampling plans and inventory stratifications used
with statistical sampling plans shall be defined by facility
management and approved by the Manager, Operations Office.
The Manager, Operations Office, may establish a material
quantity threshold for requiring inventory verification/
confirmation measurements. It is recognized that certain
materials are not amenable to verification measurements. Such
materials shall be documented in the Materials Control and
Accountability Plan and, for these materials, confirmatory
measurements of two material attributes may be substituted for
the verification measurement. Materials not amenable to
measurement shall be identified as on page II-6, paragraph 4.
(2) Documented acceptance/rejection criteria for inventory
confirmation/verification measurements shall be established
based on valid technical and, where technically feasible, on
valid statistical principles. For Category I and II items,
acceptance/rejection criteria shall be consistent with
performance requirements for confirmation/verification
measurements stated in Figure I-4, page I-12. A response plan
shall be prepared and implemented for evaluating and resolving
all verification/confirmation measurements that fail
acceptance criteria. Items that fail the confirmation/
verification measurement criteria shall not be processed prior
to resolution of the discrepancy. Performance requirements
for inventory confirmation/verification measurements are
contained on page I-10, paragraph 4.
4. MEASUREMENTS AND MEASUREMENT CONTROL. At all facilities possessing
nuclear material, measurement and measurement control programs shall be
implemented. The object of measurement and measurement control is to
establish nuclear material values and to assure the quality of the data.
Measurements programs used to determine Category I or II inventories of
special nuclear material or used to determine a Category I or II special
nuclear material throughput over a 6 month period shall address the
topics identified in this paragraph and shall be consistent with
facility-specific measurement program objectives. For other measurement
and measurement control programs (those used only to determine Category
III or IV inventories), the scope and content of the programs shall be
approved by the Manager, Operations Office. For Category I and II
facilities, these programs shall address the topics identified in this
paragraph and shall be consistent with facility-specific measurement
program objectives.
Materials not amenable to measurement by the site shall be identified in
the facility's Materials Control and Accountability Plan. Inventory
values for these materials shall be based on measured values made at
other sites or technically justified estimates. Justification and
supporting documentation for these inventory values shall be included as
part of the Materials Control and Accountability Plan.
Additional guidance on measurement control is provided in the DOE
"Measurement Control Guide," (3-93).
a. Organization. The measurement and measurement control program
shall be organized to facilitate efficiency of operation and
quality of performance and be independent from operations.
b. Selection and Qualification of Measurement Methods. The objective
is to ensure that measurement methods selected for use are capable
of measuring the material in question to the desired levels of
precision and accuracy, as approved by the Manager, Operations
Office, and consistent with a graded safeguards approach. To this
end, each facility's management shall select, qualify, and validate
measurement methods capable of providing the desired levels of
precision and accuracy. Selection and qualification of a
measurement method shall be the responsibility of the facility
management. Target values for the accuracy and precision of
nuclear material measurements recommended and endorsed by
recognized national and international nuclear organizations may be
used by contractors and Operations Offices as guidance for
desirable levels of accuracy and precision. The Manager,
Operations Office, shall review the documentation of this process
and shall approve the precision and accuracy goals. Each facility
shall have procedures to ensure that only qualified measurement
methods are used for accountability purposes.
c. Training and Qualification of Measurement Personnel. The objective
is to assure that the individuals responsible for performing
measurements have sufficient knowledge to perform the measurements
in an acceptable manner.
(1) Training. Each facility shall have a documented plan for the
training of measurement personnel. The plan shall be reviewed
annually and updated as necessary to reflect changes in
measurement technology and shall specify training,
qualification, and requalification requirements for each
measurement method.
(2) Qualification. Each facility shall have a documented
qualification program that ensures that measurement personnel
demonstrate acceptable levels of proficiency before performing
measurements, and that measurement personnel are requalified
according to requirements in the training plan. For
destructive analysis of nuclear material, this proficiency
shall be demonstrated, at a minimum, once per day for each
method that the individual will use that day.
d. Measurement Systems. The objective of the measurement system is to
provide nuclear material values for inventories and transactions.
(1) Sampling. The objective of the sampling program is to ensure
that the small portion of bulk material taken for measurement
is representative of the bulk material. Each facility shall
have documented sampling plans for each measurement point used
for accountability purposes. The plans shall be based on
valid technical and statistical principles and shall take into
account material type, measurement requirements, and any
special process or operational considerations.
(a) The basis of the sampling plan shall be documented and
validated through studies of the materials or items being
sampled.
(b) The sampling plan shall specify at a minimum the sampling
procedure, number of samples required, size of samples,
mixing time and procedure (when applicable), provisions
for retaining archive samples, and estimates of variance
associated with the sampling method.
(c) Sampling procedures shall be documented and reviewed
annually or whenever changes are made to the sampling
process or in material type or composition of the
material being sampled.
(2) Measurement Methods. For each facility, measurement methods
shall be developed, documented, and maintained for all nuclear
material on inventory except for those materials not amenable
to measurement. These methods shall be written to provide
clear direction to the analyst or operator, and shall be
validated initially and revalidated whenever changes are made.
(a) In determining inventory values and consistent with the
graded safeguards concept, the selection of the
measurement methods shall assure that the contribution of
the measurement error to the uncertainty of the inventory
difference is minimized.
(b) Verification measurements, when used to adjust
accountability records, shall have accuracy and precision
comparable to, or better than, the original measurement
method.
(c) For confirmatory measurements, the measurement method
used shall be capable of determining the presence or
absence of a specific attribute of the material,
consistent with valid acceptance/rejection criteria.
(d) All measurement methods shall be calibrated using
Standard Reference Materials, Certified Reference
Materials, or secondary standards traceable to the
national measurement base, and revalidated as necessary.
(e) Equipment and instrumentation used in performing
measurements shall meet precision and accuracy
requirements under in-plant conditions.
(f) Documentation of measurement data shall be maintained to
provide an audit trail from source data to accounting
records.
e. Measurement Control. The objective of measurement control is to
assure the effectiveness of measurement systems and the quality of
measured values used for accountability purposes and to obtain
precision and accuracy values for use in the determination of
inventory difference control limits and shipper/receiver limits of
error.
(1) Measurement Control Programs. For each facility, measurement
control programs shall be developed and implemented for all
measurement systems used for accountability purposes. A
measurement control program, as referred to herein, shall
include at a minimum the following elements:
(a) Scales and Balances Program. All scales and balances
used for accountability purposes shall 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.
(b) Analytical Quality Control. Data from routine
measurements shall be analyzed statistically to determine
and ensure accuracy and precision of the measurements.
(c) Sampling Variability. The uncertainty associated with
each sampling method, or combination of sampling and
measurement method, shall be determined and maintained on
a current basis.
(d) Physical Measurement Control. The precision and
accuracies of volume, temperature, pressure, and density
measurements shall be determined and assured.
(e) Instrument Calibration. Instrumentation shall be
calibrated using appropriate standards, when available,
or at a minimum, measurement values shall be compared
with more accurate measurement systems values on a
prescribed basis, with the frequency being defined by
demonstrated instrument performance.
(f) Reference Materials (Standards). All calibration and
working standards used in a measurement control program
shall be traceable to the national measurement base
through the use of standard reference materials or
certified reference materials and shall 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 shall be representative of the type and
composition of the material being measured when the
material matrix affects the measured values. For
additional information see "Guidance on Meeting DOE Order
Requirements for Traceable Nondestructive Assay
Measurements."
(g) Sample Exchange Programs. Each facility's measurement
control program shall include participation in
appropriate interlaboratory control programs to provide
independent verification of internal analytical quality
control.
(h) Statistical Controls. For each measurement method used
for accountability purposes, control limits shall be
calculated and monitored, and documented procedures shall
exist to correct out-of-limits conditions. Control
limits shall be established at the two sigma level
(warning limits) and three sigma level (alarm limits).
Control data exceeding the two sigma limits shall be
investigated, and, when warranted, timely corrective
action shall be taken. Whenever a single data point
exceeds the three sigma level, the measurement system in
question shall 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 shall include uncertainties for
each analyst/method combination. Statistical control
limits shall be monitored to assure that they are
consistent with target values agreed to by the facility
management and the Manager, Operations Office.
(i) Measurement Method Qualification. Each facility shall
have a documented method qualification program that
ensures that a measurement method shall demonstrate
acceptable performance before being used for performing
accountability measurements. For destructive analysis
and nondestructive assay of nuclear material, this
performance shall be demonstrated, at a minimum, once per
day that each method is used. For nondestructive
analysis measurement systems where meeting this
requirement is impractical or unnecessary, the control
measurement frequency shall be at least one of every five
measurements, unless otherwise approved by the Manager,
Operations Office.
(j) Measurement Control Procedures. Documented measurement
control procedures shall be developed at each facility
for all measurement methods used for accountability, and
each facility shall have a program to assure that
measurement control procedures are followed.
(2) Statistical Programs. Each facility shall have a documented
program for the statistical evaluation of measurement data for
determining control limits, calibration limits, and precision
and accuracy levels for each measurement system used for
accountability. The objective is to ensure the quality of
measurement and measurement control data and to provide
estimates of uncertainty on inventory and inventory control
statements. The program, at a minimum, shall contain the
following elements:
(a) Valid statistical techniques to determine the total
random error and the measurement biases generated for
each measurement system or sampling/measurement system,
and to determine control limits, rejection limits, and
outlier criteria.
(b) A valid statistical technique to develop sampling plans
for inventory and measurement of nuclear material.
(c) Analyses 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. MATERIAL TRANSFERS. Each facility shall have a program to control and
account for internal and external facility transfers of nuclear
materials. This program shall include documented procedures that
specify requirements for authorization, documentation, tracking,
verification, and response to abnormal situations that may occur during
transfer of nuclear materials. For additional details, see page II-19,
paragraph 7. Page II-19, paragraph 7, provides specific directions for
preparing and submitting DOE/NRC F 741, "Nuclear Material Transaction
Report," and DOE forms required for documenting external transfers for
materials accounting purposes.
a. External Transfers.
(1) The shipper shall 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
different Reporting Identification Symbols shall be documented
on DOE/NRC F 741. These shall be prepared and distributed to
the principals of the transaction and the cognizant Operations
Office, preferably on the day of the transfer but within 24
hours, or on the first workday after the transfer should it
occur on a nonworkday. However, Managers, Operations Offices,
may direct DOE contractors to discontinue the routine
distribution of DOE/NRC F 741 to their offices.
(3) Immediately after receipt, shipments shall be subjected to a
transfer check. Transfer checks shall consist of confirmation
of shipping container or item count, validation of
tamper-indicating devices integrity and identification, and
comparison with shipping documentation to provide assurance
that the shipment was received intact. For purposes of
transfer checks, receipt occurs whenever the transfer vehicle
is unloaded or the transfer vehicle's integrity is breached
(tamper-indicating devices removed or broken) at the receiving
facility. Documented procedures shall specify actions to be
taken in the event discrepancies are detected. Records of
transfer checks shall be maintained and subjected to audit and
shall be retained at least until the next annual DOE
safeguards survey. (For accountability purposes, material in
transit at the end of a reporting period shall be included in
the receiver's reported inventory, even though physical
receipt of the material has not yet occurred.)
(4) All unirradiated Category I and II quantities of special
nuclear material transferred between facilities having
different reporting identification symbols shall have
independently measured values determined by the shipper and
receiver except when the Reporting Identification Symbols are
both located on the same site and have the same site
contractor. The Manager, Operations Office, may require
measured values for other categories of nuclear material
transfers, consistent with the strategic and/or monetary value
of the material, or as required for environmental, safety, and
operational controls. Material received shall not be put into
the process prior to completion of required accountability
measurements, unless a deviation is approved or the criteria
defined on page II-15, paragraph 5a(4)(g), apply. When
accountability measurements are required and materials are to
be put in the process prior to making the accountability
measurements, an agreement should be reached between the
shipper and receiver as to how significant shipper/receiver
differences will be handled.
(a) The shipper shall independently determine the measured
values prior to shipment unless the integrity of the item
and of the existing measured values have been assured.
The shipper's measured values shall be documented on
DOE/NRC F 741 and DOE/NRC F 741A, if applicable.
(b) Receiver's accountability measurements for Category I and
II quantities of special nuclear material transfers shall
be accomplished in accordance with the requirements
contained in Figure II-1. Receivers accountability
measurements for transfers involving other categories of
nuclear material, where required by the Manager,
Operations Office, (see paragraph 5a(4)), shall be
performed in accordance with the requirements shown in
Figure II-1. The Manager, Operations Office, may require
that precision and accuracy goals be met for measurement
of shipments and receipts. If receiver's accountability
measurements cannot be accomplished consistent with
requirements in Figure II-1, then confirmatory
measurements as outlined in paragraph 5a(4)(f) below
apply.
(c) Shipper's values may be entered into the receiver's
accountability records for nuclear material transfers
when the shipper's values are more accurate than those
which can be reasonably obtained by the receiver.
However, the receiver must perform an accountability
measurement within the timeframe specified in Figure II-1
to maximize loss detection sensitivity.
============================================================================
| Material Category and | Material/1 | Accountability/2 |
| Attractiveness Level | Confirmation | Measurements |
|------------------------|------------------------|------------------------|
| IA | 3 working days | Shipper's value |
|------------------------|------------------------|------------------------|
| IB | 5 working days | 10 calendar days |
|------------------------|------------------------|------------------------|
| IC, II | 10 working days | 30 calendar days |
|------------------------|------------------------|------------------------|
| III | 10 working days | 120 calendar days |
| | | or on input to process |
|------------------------|------------------------|------------------------|
| IV | 10 working days | On statistical bases |
| | | within 180 days or |
| | | on input to process |
|========================|========================|========================|
Figure II-1
Shipper/Receiver Measurement Requirements
/1 Material Confirmation. Confirmatory measurement by nondestructive
analysis and gross weight check and item count (if not done in
transfer check). Confirmatory measurements are not required for
all materials. Where confirmatory measurements are required, they
shall be performed within the timeframes of this table. Amounts
less than 50 grams fissile may be accepted at shipper's values.
/2 Accountability Measurements. Quantitative determination of
material quantities (generally within designated measurement
uncertainty limits); resultant measurement values are entered into
receiver's accountability records with the exception of those
materials described in paragraph 5a(4)(c) above and 5a(4)(g), page
II-15. Accountability measurements are not required for all
materials. Where accountability measurements are required, they
shall be performed within the timeframes of this table. Amounts
less than 50 grams fissile may be accepted at shipper's values.
(d) For shipments of unirradiated special nuclear material
containing greater than 250 grams of a single special
nuclear material type and for each discrete item
exceeding 250 grams, limits of error at the 95 percent
confidence level shall be assigned to their measurements
by the shipper/receiver, for both the element and isotope
values. Limits of error need not be reflected on the
DOE/NRC F 741 for external transfers for which
verification measurements cannot be performed (refer to
paragraph 5a(4)). 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.
(e) Shippers and receivers shall provide a system for
performing confirmatory measurements on external
transfers of special nuclear material. Whenever
accountability measurements cannot be performed within
timeframes specified in Figure II-1, confirmatory
measurements are required for all transfers of Category I
and II special nuclear material and for any other
materials for which the Manager, Operations Office,
requires shipper/receiver accountability measurements.
Documented acceptance/rejection criteria, based upon
valid statistical principles, shall be established and
used to evaluate confirmatory measurement data. A
response plan for investigation and resolution of
confirmatory measurements that fail acceptance criteria
shall be developed and implemented; all outliers shall be
investigated and resolved.
(f) Where delays in completion of the receiver's measurement
will result in a protracted delay in closure of the
transaction, a confirmatory measurement may be used to
effect a "safeguards closure" of the transaction, and
documented by an "A-B" entry on the DOE/NRC F 741 and
DOE/NRC F 741A, if required. Such a safeguards closure
may be used when the integrity of the shipment is
assured, and only accountability measurement differences
are possible between shipper and receiver. When the
receiver's accountability measurement performed
subsequent to a safeguards closure indicates a shipper/
receiver difference, the difference may be resolved by
mutual agreement of the Managers of shipper's and
receiver's Operations Offices, with an adjustment
(correcting entry) to the DOE/NRC F 741 and/or DOE/NRC F
741A, if required. The safeguards closure may be applied
only when all of the following conditions are met:
1 No discrepancies are found in the verification of
the piece count, identification number and integrity
of the tamper-indicating devices, and gross weight
of the items or containers received, and there is no
evidence indicating theft or diversion of the
material.
2 The sheer's and receiver's confirmation measurements
are performed using "comparable" methods and the
results of the measurements are within the
established limits of agreement. The term
"comparable" here means that the methods measure the
same nuclear material attribute and the results of
the methods can be compared on a technically valid
basis.
3 A shipper/receiver agreement, approved by both
Managers, Operations Offices, is in effect for the
transaction, establishing the criteria for closing
transactions based on confirmatory measurements.
(g) Limited processing is acceptable for certain materials
not amenable to non-destructive assay in order to perform
a receipt measurement, as approved by the Managers of
shipper's and receiver's Operations Offices with Office
of Safeguards and Security concurrence. Limited
processing can include homogenization and dissolution.
Materials not amenable to measurement shall be identified
in the facility's Materials Control and Accountability
Plan.
b. Internal Transfers.
(1) Each facility's management shall provide a graded system of
measurements and records to reflect the flow of material
between Materials Balance Areas within that facility and
between it and other facilities on the same site.
(2) The facility control system shall be designed to monitor
transfer activities and to deter and/or detect unauthorized
removal of material during transfers. The system should flag
abnormal situations, e.g., when inappropriate transfers of
quantities and/or materials are made, when unauthorized
personnel receive or ship materials.
(3) Transfers shall be documented on nuclear material transfer
forms, or an electronic equivalent, that contain required
information, are prepared and distributed within established
timeframes, and are signed by authorized custodians or their
alternates.
(4) Materials shall be subjected to a transfer check within one
workday after receipt. These checks shall include
verification of shipping container or item count,
tamper-indicating devices integrity, and identification
number. These transfer checks shall be compared to
appropriate documentation. All irradiated special nuclear
material requires only a transfer check.
(5) If the isotope content of special nuclear material (excluding
uranium enriched below 20 percent U-235) transferred between
Materials Balance Areas is 50 grams (fissile) or more, the
transfer shall be measured, or a confirmatory measurement
made, by the receiver. Measurements are not required for
transfers that:
(a) Consist of assembled components in which the special
nuclear material is physically inaccessible;
(b) Are sent to laboratories or nondestructive analysis
measurement areas for analysis or examination under
conditions which provide adequate internal controls to
maintain a continuous awareness of the location and
integrity of the special nuclear material until it is
returned;
(c) Are tamper-safed and contain only Category III or IV
quantities of material; or
(d) Consist entirely of small items containing less than 25
grams each and for which unauthorized accumulation of a
Category III quantity of material is not credible.
Measurements shall be accomplished in accordance with the
schedules shown in Figure II-1. Materials not amenable
to measurement may be subject to measurement requirements
in accordance with paragraph 5a(4)(g).
(6) Documented acceptance/rejection criteria shall be established
and used to evaluate measurement data for internal material
transfers. In addition, procedures shall specify notification
and response requirements if material removal or another
abnormal situation is detected. These requirements shall be
consistent with page I-13, paragraph 5, and DOE 5000.3B.
6. MATERIAL CONTROL INDICATORS. Each facility's management shall implement
a program for assessing the material control indicators described below
in order to provide assurance that losses and unauthorized removals of
nuclear materials are detected. Each facility shall have documented
plans specifying responsibilities and providing procedures for
evaluating material control indicators.
a. Shipper/Receiver Difference Assessment. Each facility shall have
written procedures 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:
(a) It involves a discrepancy in the number of items
regardless of the quantity of nuclear material;
(b) It is statistically significant. (Determination of
whether shipper/receiver difference are statistically
significant is only required for those shipments for
which 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's and
receiver's measured values; or
2 The square root of two (approximately 1.4) times a
single valid limit of error when either the
shipper's or receiver's limit of error is not valid.
(When both shipper's and receiver's limits of error
are determined not to be valid, the limits of error
must be recalculated and the statistical
significance of the shipper/receiver difference must
be reevaluated.)
(2) Shipper/receiver difference data shall be subjected to trend
analysis to detect measurement bias and/or material loss.
Analyses shall be designed to detect statistically significant
cumulative shipper/receiver differences and to trigger
investigations whenever these differences are detected.
(3) The receiver shall notify its Operations Office and the
shipper of any shipper/receiver difference determined to be
significant. Both shipper and receiver shall investigate
their measurements and limits of error. Such investigations
shall be completed within 30 working days after the receiver's
accountability measurements unless a time extension is granted
by mutual agreement of the involved Managers, Operations
Offices. All investigations shall be documented.
(4) Significant shipper/receiver differences involving a
discrepancy in the number of items shall be reported in
accordance with DOE 5000.3B and the requirements contained on
page I-13, paragraph 5.
(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 each party shall
record its own quantitative value. For the purposes of this
paragraph, differences of less than 50 grams fissile or less
than 5 grams of tritium are considered to be insufficient to
require an investigation unless there are special
circumstances. The authority to invoke the stipulations of
this paragraph shall rest mutually with the Managers of the
shipper's and receiver's Operations Offices.
(6) Resolution of statistically significant shipper/receiver
differences may be achieved through any of the following:
(a) If both shipper's and receiver's Operations Office obtain
adequate assurance that the measurements and limits of
error are valid, and the investigation indicates that
theft or diversion has not occurred, then each facility
shall record its own quantitative values; or
(b) If either the shipper or receiver agrees to accept the
other's value, then the shipper or receiver shall prepare
a corrected copy of the shipping document using the
other's data; or
(c) If the results of the investigations do not result in a
satisfactory resolution, the Office of Safeguards and
Security shall arbitrate the matter and recommend the
action to be taken; or
(d) In the case where contracts specify other procedures for
arbitration, they shall prevail.
(7) The receiving facility shall not process special nuclear
material contained in a shipment involving an unresolved
significant shipper/receiver difference unless a shipper/
receiver agreement allowing this has been approved by both the
Managers of the shipper's and receiver's Operations Offices.
b. Inventory Difference Evaluation.
(1) Each facility shall have a documented program for evaluating
all special nuclear material inventory differences, including
those involving missing items. Programs for evaluation of
inventory differences for other nuclear materials may be
established at the option of the Manager, Operations Office.
Procedures shall be provided for establishing control limits
and requiring investigation when those limits are exceeded.
Warning limits will be set at the 95 percent confidence level.
Alarm limits will be set at the 99 percent confidence level.
All inventory differences exceeding warning or alarm limits
shall be reported in accordance with DOE 5000.3B and page
I-13, paragraph 5. Assessments of inventory differences shall
include statistical tests (e.g., tests of trends and biases),
and shall be applied, as appropriate, to both total inventory
difference and actual inventory difference on an individual
and cumulative basis for each processing Materials Balance
Area.
(2) Procedures for establishing control limits for inventory
differences shall be based on variance propagation using
current data. The data should reflect operating conditions
for the material balance period of the inventory.
Alternatively, other statistically-valid techniques may be
used but must be justified on the basis of factors such as
limited data, low transfer rates, categories, and major
process variations. The methodology shall be approved by the
cognizant Manager, Operations Office. Historical inventory
difference data shall be evaluated for comparison with the
statistically based limits, where applicable. Where the
propagated or otherwise statistically based methods do not
yield control limits consistent with historical data, efforts
shall be made to resolve the discrepancies between the two.
(3) Each facility shall have documented procedures for responding
to and reporting missing items and inventory differences in
excess of control limits. The reporting and investigation of
inventory differences shall be consistent with the
requirements specified on page I-13, paragraph 5.
c. Evaluation of Other Inventory Adjustments.
(1) Each facility's management shall establish a documented
program for evaluating all inventory adjustments entered in
the accounting records. The program shall include 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. Procedures shall be outlined for the
statistical review of inventory adjustments using techniques
such as tests of trends, biases, and correlation.
(2) Procedures shall be implemented to assure that all inventory
adjustments are supported by measured values or other
technically justifiable bases. The program shall include
procedures for measuring/monitoring environmental waste such
as stack effluents and liquid waste streams as required by DOE
5400.1, GENERAL ENVIRONMENTAL PROTECTION PROGRAM.
(3) Procedures shall be established for reporting reviews of
inventory adjustments, including abnormal situations, to the
Manager, Operations Office.
7. DOCUMENTATION AND REPORTING. This paragraph establishes the policies
for the documentation of nuclear materials transactions, preparation of
periodic summaries and reports concerning the status of nuclear
materials held in inventory, reporting of nuclear materials
transactions, material balances, and other required inventory data to
the Nuclear Materials Management and Safeguards System and establishes
the basis for DOE 5633.3B GUIDE OF IMPLEMENTATION INSTRUCTIONS FOR
NUCLEAR MATERIALS MANAGEMENT AND SAFEGUARDS SYSTEM REPORTING AND DATA
SUBMISSION which provides required procedures for reporting and data
submission.
Departmental Elements and contractors shall document all nuclear
materials transactions, material balances, and inventories in accordance
with the instructions provided in DOE 5633.3B GUIDE OF IMPLEMENTATION
INSTRUCTIONS FOR NUCLEAR MATERIALS MANAGEMENT AND SAFEGUARDS SYSTEM
REPORTING AND DATA SUBMISSION, and shall transmit this information to
the national database, Nuclear Materials Management and Safeguards
System.
The national database is used to accumulate and distribute information
concerning nuclear materials transactions and inventories. The
objective of the system is to achieve reporting of accurate and complete
data as soon as possible after the events described by the data occur.
The national database 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 Nuclear Regulatory Commission.
The national database shall serve as the centralized reporting facility
to provide the information required under the provisions of the
U.S./International Atomic Energy Agency Safeguards Agreement.
a. Forms. Those forms identified and described in the DOE 5633.3B
GUIDE OF IMPLEMENTATION INSTRUCTIONS FOR NUCLEAR MATERIALS
MANAGEMENT AND SAFEGUARDS SYSTEM REPORTING AND DATA SUBMISSION (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. A computer-generated 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 the DOE Oak Ridge Operations Office, Materials
Control and Accountability Branch.
b. Procedures and Requirements.
(1) In addition to the instructions provided in this paragraph,
specific procedures for completing each data processing form,
and for submitting the data to the national database are
contained in the DOE 5633.3B GUIDE OF IMPLEMENTATION
INSTRUCTIONS FOR NUCLEAR MATERIALS MANAGEMENT AND SAFEGUARDS
SYSTEM REPORTING AND DATA SUBMISSION.
(2) Documentation of Transactions.
(a) General.
1 Manual Method. All transfers of reportable
quantities of nuclear material (see Figure I-1, page
I-2) between organizations with different reporting
identification symbols 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 DOE/NRC F 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
this Order shall apply except that signatures on the
transaction documents no longer shall be necessary.
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 (see Attachment 1) for
activities involving Nuclear Regulatory Commission
or "Agreement State" licensees (i.e., commercial
waste management sites and those parties with
Reporting Identification Symbols beginning with the
letters "X" through "Z").
3 Either Method. Material types, elements, and
isotopes to be reported, and their respective
reporting units, shall be as specified in Figure
I-1. For each detail line of shipper/receiver data
shown on DOE/NRC F 741 and DOE/NRC F 741A, if
required, material quantities reported by assay may
be summarized, but only within the individual assay
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. 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 the
national database 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 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 DOE/NRC F 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 DOE/NRC F 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 DOE/NRC F 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
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 DOE-284,
"Nuclear Material Transfer Receipt," as an interim
document to acknowledge receipt of nuclear materials
pending independent determination of material
content, DOE-284 shall be prepared and distributed
within 10 calendar days following receipt of the
material. If a DOE-284 is submitted, the receiver
shall prepare and submit DOE/NRC F 741 and DOE/NRC F
741A, if required, within 1 workday after the
receiver's measurement has been obtained. Transfers
involving 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.
2 Nonphysical Transfer of Material. DOE/NRC F 741 and
DOE/NRC F 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 DOE/NRC F
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 b(4)(a) and (e), page
II-27.
(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."
2 Reporting of Material in Transit for Domestic
Shipments.
a The shipper shall provide all pertinent
quantity information to the receiver for all
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 the national database by
the shipper and receiver.
3 Tracking of 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 material type in Figure I-1,
page I-2.
b Rounding Policy. The quantity being
transferred shall be reported as shown in
Figure II-2, with fractions of 1/2 or greater
rounded upwards and fractions of less than 1/2
dropped. Supporting documentation shall be
attached 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 of Figure II-2.
============================================================================
| QUANTITY (When Rounded) | 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 |
| unit. | on DOE/NRC F 741/741A. |
|====================================|=====================================|
Figure II-2
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 special nuclear material and/or tritium
(except in the case of tritium in reservoirs), as
specified on page II-11, paragraph 5. Such
notification shall be made using DOE/NRC F 741 and
DOE/NRC F 741A, if required, or an approved
equivalent. Limits of error shall be stated on all
copies of DOE/NRC F 741 and DOE/NRC F 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 DOE/NRC F 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 DOE/NRC F 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.
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. Sections 2073, 2093, and
2111 (as amended), shall document such
transfers using DOE/NRC F 741 and DOE/NRC F
741A, if required.
b Transfers from Licensees. Transfer documents
for nuclear material shipped to DOE for credit
or service by a licensed facility are 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 DOE/NRC F 741A, if required.
8 Transfers of Nuclear Material Between the United
States and Foreign Nations, Foreign Regional
Organizations, or Supranational Organizations.
a General. Foreign nations, foreign regional
organizations, supranational organizations,
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 Nuclear
Regulatory Commission or "Agreement State"
licensees, pursuant to 42 U.S.C. Sections 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
DOE/NRC F 741A, if required.
(3) Material Balance Report. Nuclear material balances shall be
documented and reported in accordance with the instructions
provided.
(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 material type to document the beginning and ending
inventories, and all receipts and removals of nuclear
material relevant to the reporting identification symbol
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. Sections 2073, 2074, 2093, or
2094 (as amended).
(c) Material types, elements, and isotopes to be reported,
and their respective reporting units, shall be as
specified in Figure I-1, page I-2. 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 reporting identification symbols
beginning with the letters "A" through "QAA," if
applicable. DOE F DP-742B shall be used for reporting
information on DOE-owned loaned/leased nuclear material
held for the account of another reporting identification
symbol.
(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./International
Atomic Energy Agency Safeguards Agreement.
3 In Lieu of the Above, field element managers may
request that the national database 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) Material in transit at the end of a reporting period
shall be reported as if received within the reporting
period by the intended receiver.
(4) Inventory Reporting.
(a) All inventories of nuclear material shall be reported to
the national database on DOE F DP-733, "ADP Transcription
Sheet for Inventory Data," DOE F DP-733A, "ADP
Transcription Sheet for Inventory Data," or DOE/NRC F
742C, "Physical Inventory Listing," as appropriate.
(b) Material types, elements, and isotopes to be reported,
and their respective reporting units, shall be as
specified in 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.
(d) 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./International
Atomic Energy Agency Safeguards Agreement.
(e) 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.
(5) Data Processing Procedures.
(a) Transaction Data shall be submitted to the national
database, using DOE F DP-740, "ADP Transcription Sheet
Nuclear Material Transaction Journal," and DOE F DP-740A,
"ADP Transcription 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 the national
database using DOE F DP-733, or for the facilities
selected under the provisions of the U.S./International
Atomic Energy Agency Safeguards Agreement, using DOE F
DP-733A, as appropriate. Inventory data shall be
submitted within 15 calendar days after the end of the
reporting period.
(c) Material Balance Report Data shall be submitted to the
national database using DOE F DP-735, "ADP Transaction
Sheet for Material Balance Report Data," within 15
calendar days of the end of the reporting period for
facilities selected under the provisions of the U.S./
International Atomic Energy Agency Safeguards Agreement.
(d) Concise Note Data shall be submitted to the national
database using DOE F DP-734 "ADP Transcription Sheet for
Concise Notes," at the same time as the submission of the
data to which the Concise Note refers.
(e) Inventory Difference Explanation Data shall be submitted
to the national database, using 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.
(f) Internal Project Transfer Data (within one Reporting
Identification Symbol) shall be submitted to the national
database using DOE F DP-749, "ADP Transcription Sheet
Internal Project Transfers," no later than 8 working days
following the end of the month in which the transfer
occurs.
(g) Confirmatory Receipt Data, when reported on DOE-284,
"Nuclear Material Transfer Receipt," shall be submitted
to the national database using DOE DP-740, as soon as
possible after receipt of the 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.
(h) 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 or magnetic tape). 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
the Office of Safeguards and Security, data may be
submitted directly via the appropriate
telecommunications system network to the national
database 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 the Office of Safeguards and
Security.
3 In any case where data are submitted in
machine-readable form or via a telecommunications
system network, the timing requirements of paragraph
(5)(a) through (g) above shall apply, as appropriate
for the type of data submitted.
(i) 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.