1. NMMSS Refresher Training
Ron Bonifay
Protection Strategies Inc. (PSI)

2. GENERAL INFORMATION
NMMSS OVERVIEW

3. Sponsoring Organizations
Department of Energy
Office of Health Safety and Security
Nuclear Regulatory Commission
Office of Nuclear Security and Incident Response

4. NMMSS Organizational Overview
U.S. DOE Office of Information Management
HS-1.22
Other National &
International Organizations
U.S. Nuclear Regulatory Commission Office of Nuclear Material Safety & Safeguards
Operator -PSI (Protection Strategies, Inc)

5. Fundamental NMMSS Overview
Materials
Contracts
Background Subsystem
Projects IMP/EXP Organizations
NMMSS
Central Database
Inventory Transaction
Primary Subsystem
Material Balance

6. Background Subsystem Facilities Reporting Identification System (RIS)
Name
Address
Classification
Nuclear Materials
Reporting unit
Material name
Element/isotope applicability
Import/Export Licenses
Date
Materials
Country
Composition Codes
Descriptions
Material types
DOE Project Numbers
Name
Responsible facility
Begin & end dates

7. Primary Subsystem Consists of three major components Inventory
Transaction
Material Balance

8. Document Flow Transactions Inventory Material Balance
DOE/NRC Form 741
DOE/NRC Form 740 M
Facility Distribution
Originates with the shipper or receiver
ELECTRONIC
D-23 DOE
D-24 NRC
Inventory
DOE/NRC Form 742C
Facility Distribution
Originates with the facility
Material Balance
NMMSS
USERS
DOE/NRC Form 742

9. Acceptable Electronic Formats
XML (Extensible Markup Language)
80 Column File

10. Purpose of the D-23 &D-24
Provides formatting requirements for the reporting of nuclear material information in electronic file formats in accordance with DOE & NRC regulations and guidelines

11. Four Major Categories of Information Products
Reports
Detailed
Summary
Analytical
Directories
Information Manuals
PC Applications

12. The Transaction System

13. The Transaction Data System
Began capturing data as an automated system in 1968
The largest and most active component of the NMMSS
Contains information on all events that cause a facility’s inventory to increase or decrease
Data is stored in the NMMSS files at the level of detail in which it is reported

14. What is a Transaction ?
Physical Movements of Material Between Facilities
On-site Gains and Losses Resulting From Remeasurement, Operating Losses, etc.
Movement of Material Between Programs Within a Facility

15. Data Submittal Media to the Transaction System
SIMEX

16. Electronic vs. Source Document Correlation
DOE-Ref: D-23 NRC-Ref: D-24
DP 740
(80 Column)
DOE/NRC 741
Shipment/Receipt
On Site Gains/Losses
Effective
10/01/2003
Current
Data Processing
Source Document
Event
DP 734
DOE/NRC 740 M
Concise Notes
* The NMMSS converts 80 column to XML

17. Electronic Submission
D-23 & D-24 Directory provide electronic formatting requirements
- 80 Column
- XML (Extensible Markup Language)
Alternative for submitting electronic data
- SAMS (Safeguards Management
Software)

18. Process Codes A Entry of New Data Set C Replacement of Data Set
D Deletion of Data Set
Z Accepts Shippers/Receivers change (NRC use only)

19. Action Codes Code Description Ship Recv
A Identifies shipper’s original data X
B Identifies receiver’s data accepting X
weights without measurement
C Identifies shipper’s adjustment or X
acceptance/acknowledgment of a receiver’s
adjustment
D Identifies receiver’s adjustment or X
acceptance/acknowledgment of a shipper’s
E Identifies receiver’s independent X
measurement

20. Transaction System Record Types
1. Header
2. Descriptive (Detail)
3. Import/Export
4. Gross Weight
5. Quantitative (Detail)
6. Concise Notes
7. Obligated Material

21. Transaction Terminology
Shipment - one event
Receipt - one event
Transaction data set – combined events
Process date - year and month
Data elements
quantitative values
special codes
Transaction identification

22. Dates to Remember in NMMSS
2003
CAPTURE DATE
ACTION DATE
PROCESS DATE

23. Dates to Remember in NMMSS
Action Date - MMDDYYYY, this is the date that the activity (shipment, NOL/MD/AL. Etc.) actually took place
Capture Date - MMDDYYYY, this is the date that the 741 was captured by the system, i.e., received into the database
Process Date - YYYYMM, date of the process month open during which the transaction was filed

24. Reference Information
NUREG/BR-0006, Rev. 7
DOE Manual
NMMSS Authority Reference Files
Reports

31. In-House Transactions
All changes to your inventory (In-Place Activity) must be listed as a gain or loss on the 742 form, Material Balance Report.

32. What is an In-House Transaction?
An In-House Transaction is a (741) transaction used to report the on-site gains or losses of reportable nuclear materials to the NMMSS, which are not typically part of a shipment or receipt associated with another facility.

33. In-House Transaction Use
Used to report gains and losses of your inventory.
Report Stand-alone Concise Notes (IAEA).
In some cases it is used to correct previously reported data.

34. How To Report In-House Transactions
The same as shipment or receipt transactions, except:
Same RIS for both shipper and receiver.
Action Code is “M”.
Must use an Inventory Change Type (ICT)
No Gross Weight reported
No Number of Items reported
Special edit checks apply to some ICT codes used on an In-House transaction. (slide 9).

35. Action Code M ON-SITE GAINS AND LOSSES DOE RECEIPTS: (GAINS) 11 13 21
Inventory
Change Type
(Use Code)
Type of Inventory Change 11 13 21 22 34 37 38 39
Procurement from DOE
Procurement - for the Account of DOE
Production
From Other Materials
Receipts - Miscellaneous
Procurement by Others
Donated Material - From DOE to Others
Donated Material - From Others to DOE
4C/D-6

36. ON-SITE GAINS AND LOSSES
Action Code M
DOE REMOVALS: (LOSSES)
Inventory
Change Type
(Use Code)
Inventory
Change Type
(Use Code)
Type of Inventory Change
Type of Inventory Change
Rounding Bias
Degradation to Other
Materials
Decay
Fission and Transmutation
Normal Operational Losses
and/or Measured Discards
Accidental Losses
Approved Write-Offs
Inventory Differences 41 42 43 47 48 54 58 59
Expended in Space Programs
Sales to DOE
Sales to Others for the Account of DOE
Expended in DOE Tests
Routine Tests
Shipments - Misc.
Donated Material - to DOE by Others
Donated Material - to Others by DOE 65 71 72 73 74 75 76 77
4C/D-7

37. ON-SITE GAINS (NRC) These are receipts on your inventory Change Type
(Use Code)
Type of Inventory Change NP
EN* 34
Production
From Other Materials (ED,NE,ND,DE,DN,EE)
Receipts - Miscellaneous
For Blending – Line Pairing is required. One line denotes the original material and the other denoting the resulting material.
Inventory Change Type (ICT) Codes are listed in Appendix B of the NUREG/BR-0006, Rev. 6. The corresponding Material Balance Code is listed in parentheses next to the alpha codes.
* Use the correct change code when performing blending operations

38. ON-SITE LOSSES (NRC) These are removals on your inventory Change Type
(Use Code)
Type of Inventory Change* TN
EN** 54 LN LD MF
Decay
To Other Materials (ED,NE,ND,DE,DN,EE)
Shipments – Miscellaneous
Fission and Transmutation
Normal Operational Losses and/or Measured Discards
Inventory Difference
* Please refer to NUREG/BR-0006 for a list of all ICT Codes
** Use the correct change code when performing blending operations

39. Example ICT Code comparison for Gains
742 Form

40. Example ICT Code comparison for Losses
742 Form

42. Other Instances to Complete an
In-House Transaction
NMMSS may ask you to correct previously reported data in your NMMSS account. Sometimes using the In-House transaction is the best way to make certain changes. A NMMSS Analyst will assist you in these instances.
These are definitions of where an In-Place Activity transaction might be used.

43. ADJUSTMENTS (Also referred to as corrections)
Has Anyone in here ever made a mistake? Surely not! If you realize you have made a mistake or just need to correct something on your previously submitted transactions, then adjustment transactions or process change codes are what you will need to use.

44. When is a Adjustment transaction required?
An Adjustment is required when correcting a previously reported transaction that has been processed and moved to the Historical section of the NMMSS Database.
The month in which it was processed is closed.

45. When do you use a Process Code to make an Adjustment?
You can change or delete data on previously submitted transactions that are in an Open month, using a specific Process Code.

46. Process Codes A – Initial transaction C – Replacement transaction
D – Delete a transaction
Z – Receiver’s acceptance of correction
Only used in an
open month.
The four process codes for reporting NRC data to NMMSS are: A, C, D, and Z. Z process code is used with action code D only. Note the page reference at the bottom right of the slide.

47. What is an Open process month?
NMMSS normally closes the database processing around the 22nd of each month for the previous months data received.
Example: April processing month will close approximately May 22. Transactions with an Action Date of April or earlier will move to the Historical section of the database. May Action Dates will stay in the Compatibility section of the database.
Now May is the “Open” month.

48. Action Code C Used by the Shipper to make corrections
Adjusting previously reported shipments
Acknowledging receiver adjustments
Accepting receiver adjustments
Must be compatible with the receivers side of the transaction.

49. Action Code D Used by the Receiver to make corrections
Adjusting previously reported receipts
Acknowledging shipper adjustments
Accepting shipper adjustments
Same as shippers correction.

50. Action Code M Used for One Party transactions
The Correction Identifier (either alpha or numeric) distinguishes it as an Adjustment.
Action code M may or may not be reporting a correction. The correction digit is what signifies a correction. Look out! Brian Horn is driving the truck.
In this case Action Code “M” does not always indicate an adjustment. Action Code “M” is used for in-place activity (or in-house) transactions, which is discussed in another class session.

51. Five Numeric Fields to be Negated when Correcting Transactions
Negated Fields
Number of items
Element weight
Element Limit of Error
Isotope Weight
Isotope Limit of Error
When “backing out” a previously submitted detail line, these five fields must be negated if used.

52. Back Reference Components
Correction Identifier * (First character)
Was = document being corrected
Should be = document now being completed
Line Number (Second and Third Digit)
Was = line number being corrected
Should be = corresponding “was” line number on document now being completed
Change digit = correction digit
A blank entry for change digit = a zero for your back reference number.
*May be Alpha or Numeric

53. Back Reference Illustration Original Shipment
ABC – XYZ Transfer # A A
Back Ref. # Line # Comp. Code Ele. Wt. Iso. Wt.
This is our example of the original transaction. (Place on the overhead).

54. Back Reference Illustration Correction number 1
ABC – XYZ Transfer # 1 A C
Back Ref. # Line # Comp. Code Ele. Wt. Iso. Wt.
It was
It should be
Shippers correction
Numeric correction number means the receiver must answer.
Correcting lines 2 & 3 of the original.

55. Back Reference Illustration Correction number 2
ABC – XYZ Transfer # 2 A C
Back Ref. # Line # Comp. Code Ele. Wt. Iso. Wt.
New line
Correction number 2.
Correcting line 1 of the original.
Special circumstances are: correcting a previous correction and correcting header information I.e. the date.
Adding a new line.

59. Things To Remember The Action Date on a correction can be:
The same as your original transaction, or it can be the current date. In either case, be sure to report the difference on your next annual Material Balance Report after.
The C and D Process Code can only be used in an Open Month. Call NMMSS to see if the month is open and for how long. We try to close on the 22nd of each month.
Numeric corrections* = Two Party + NMMSS
Alpha corrections = One Party + NMMSS
The Action Date for the correction will depend on what report period the

60. The Material Balance System
Will be discussing the Material Balance report 60

61. How is the MBR like a Bank Statement?
Beginning Balance
Plus Deposits
Less Withdrawals
Equals
Ending Balance
Last periods Ending Inventory
Receipts, production, blending
Shipments, burn-up, decay, F&T
Ending balance…. Beginning balance for next period 61

62. Role of Transaction System
Facility transaction data is used to create the facility book inventory in the NMMSS, which is compared to the reported MBR.
Point out past slide with graphics
How deposits enter the NMMSS system
How Withdrawals enter the NMMSS system
Generated book inventory 62

63. MBR Example 63

64. 25 25
MBR Example 64

65. Inventory Defined The of a given material in the of a
at a specified point in
CAN ANYONE DEFINE INVENTORY BASED ON THIS WORD PICTURE?
INVENTORY IS THE BALANCE OR AMOUNT OF A GIVEN NUCLEAR MATERIAL IN THE POSSESSION OF A FACILITY AT A SPECIFIED POINT IN TIME. IN OTHER WORDS IT IS A “ SNAPSHOT “ 65

66. Complete a DOE/NRC Form 742C to reflect the scenario below.
INVENTORY EXERCISE
Complete a DOE/NRC Form 742C to reflect the scenario below.
Coyote Energy is preparing their physical inventory reports for the annual period ending 7/31/ The facility has privately owned material only. Coyote Energy has fuel rods in the reactor that total grams of element weight and grams isotope weight, enriched at 3 percent. There is 0.8 percent enriched uranium in cooling with an element weight of grams and an isotope weight of grams. In addition, the facility has enriched uranium using a composition code of 864 in the amounts of 12 grams element weight and 12 grams isotope weight. 66

67. PIL Example 67

68. PIL Example 68

69. Please have a safe trip back home
Thank You for participating and helping us to improve communication and reporting to the NMMSS.
Please have a safe trip back home