Approved by

Order of the Federal

Environmental, Industrial

and Nuclear Supervision Service

dated April, 17, 2012 No. 255

FEDERAL RULES AND REGULATIONS

IN THE FIELD OF ATOMIC ENERGY USE "THE BASIC RULES OF

NUCLEAR MATERIAL RECORD AND CONTROL" NP-030-12

I. Purpose and scope

1. These Federal regulations and rules in the area of atomic energy use "Basic rules of nuclear material accounting and control" (hereinafter - the Rules) are developed in accordance with Federal Law No. 170-FZ "On atomic energy use" dated November, 21, 1995 (Collected Acts of the Russian Federation, 1995, N 48, art. 4552; 1997, N 7, art. 808; 2001, N 29, art. 2949; 2002, N 1, art. 2; N 13, art. 1180; 2003, N 46, art. 4436; 2004, N 35, art. 3607; 2006, N 52, art. 5498; 2007, N 7, art. 834; N 49, art. 6079; 2008, N 29, art. 3418; N 30, art. 3616; 2009, N 1, art. 17; N 52, art. 6450; 2011, N 29, art. 4281; N 30, art. 4590; N 30, art. 4596; N 45, art. 6333; N 48, art. 6732; N 49, art. 7025), Federal Law No. 317-FZ "On Rosatom State Atomic Energy Corporation" dated December, 1, 2007 (Collected Acts of the Russian Federation, 2007, N 49, art. 6078; 2009, N 29, art. 3642; 2010, N 23, art. 2789; N 48, art. 6246; 2011, N 1, art. 49; N 29, art. 4281; N 29, art. 4291; N 30, art. 4591; N 30, art. 4596; N 48, art. 6732; N 49, art. 7025), Federal Law No. 102-FZ "On measurement uniformity assurance" dated June, 26, 2008 (Collected Acts of the Russian Federation, 2008, N 26, art. 3021; 2011, N 30, art. 4590; N 49, art. 7025), Federal Law No. 35-FZ "Regulations on discipline for workers of organizations operating facilities of high radiation and nuclear hazard and facilities in the area of atomic energy use" dated March, 8, 2011 (Collected Acts of the Russian Federation, 2011, N 11, art. 1504; N 49, art. 7025), Decree of the Government of the Russian Federation dated December, 1, 1997 No. 1511 “On approval of the Regulation on development and approval of Federal rules and regulations in the area of atomic energy use and the list of federal regulations and rules in the area of atomic energy use” (Collected Acts of the Russian Federation, 1997, N 49, art. 5600; 1999, N 27, art. 3380; 2000, N 28, art. 2981; 2002, N 4, art. 325; N 44, art. 4392; 2003, N 40, art. 3899; 2005, N 23, art. 2278; 2006, N 50, art. 5346; 2007, N 14, art. 1692; N 46, art. 5583; 2008, N 15, art. 1549), Decree of the Government of the Russian Federation No. 352 dated May, 6, 2008 "On approval of Regulations on the system for state accounting and control of nuclear materials" (Collected Acts of the Russian Federation, 2008, N 19, art. 2188; 2009, N 18, art. 2248; 2011, N 7, art. 979).

2. These Rules establish the basic principles, requirements and criteria for state record and control (hereinafter - record and control) of nuclear materials and special non-nuclear materials (hereinafter - nuclear materials) in any chemical compounds and physical states.

3. The list of abbreviations used in these Rules is given in Appendix 1, and terms and definitions are given in Appendix 2.

II. General

Structure of state record and control of nuclear materials

4. Record and control of nuclear materials shall be arranged:

in MBAs of the organization;

in the organizations engaged in handling of nuclear materials, in the operating organizations (hereinafter - the organizations);

by Rosatom State Atomic Energy Corporation (hereinafter - Rosatom State Corporation).

5. State record and control of nuclear materials includes collection, registration and analysis of information on the quantity, quality and movement of nuclear materials and shall be performed by complete continuous documentation of all economic and process operations with nuclear materials based on the results of NM characteristics measurement and also verification of this information reliability and compliance with actual presence of nuclear materials in their locations. <*>

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<*> Decree of the Government of the Russian Federation No. 352 dated 06.05.2008 "On approval of Regulations on the system for state record and control of nuclear materials".

Principles of state record and control of nuclear materials

6. Nuclear materials in the organization shall be subject to record and control from the minimum quantity specified in par. 26 of these Rules.

7. Record and control of nuclear materials in the course of export/ import shall be arranged in accordance with these Rules.

8. Nuclear materials in MBAs shall be classified into categories in order to apply graded approach to definition of the NM record and control procedures and methods.

9. The organizations shall establish MBAs within the NM storage facility or the nuclear installation.

10. Key measurement points for nuclear materials shall be determined in each MBA.

11. Access control means (ACM) shall be applied for any objects with nuclear materials (for example inventory items, process equipment, rooms).

12. Record of nuclear materials shall be based on the results of record-taking measurements of the parameters (characteristics) of nuclear materials as well as various compounds, mixtures, alloys and products, inventory items containing nuclear materials and also nuclear materials in the form of elements (hereinafter - the products) and registration of the measurement results as the record-taking data. It is permitted:

to apply calculation methods based on the results of experimental studies;

to use record-taking data specified in the documents prepared by the consignor organization for the inventory items provided that absence of any unauthorized access to nuclear materials is confirmed by the proper state of the applied ACM and (or) confirmatory measurements and visual inspection of the II state.

13. For the accounting purposes masses of nuclear materials in the products inside the nuclear reactor may be assumed as permanent from their loading to the reactor till unloading of the irradiated products.

14. The documented amount of nuclear materials in each MBA shall be defined within the material balance period based on the measurement results for any delivered and shipped products and (or) through the use of calculation methods for assessment of quantity and composition of the products, controlled by in-process technical accounting and II verification according to their attributes, regular reconciliations of various types of certificates, log sheets containing the record-taking data necessary to develop the record documents (hereinafter - the record documents) and also reporting documents.

The actual inventory of nuclear materials shall be determined in the course of physical inventory taking. All nuclear materials in the MBA shall be subject to physical inventory taking. The accounting data, attributes and any changes of the NM parameters (characteristics) shall be checked in the course of the NM physical inventory taking. Upon completion of the physical inventory taking in the MBA balance of nuclear materials shall be drawn up, the inventory difference and its uncertainty for each nuclear material within the MBA shall be defined.

15. Conclusions on any anomalies in the NM record and control shall be made based on the results of the determination and analysis of the following values:

documented and actual available quantity of inventory items and nuclear materials;

inventory difference and its uncertainty;

discrepancies in the results of accounting and confirmatory measurements of the product and NM parameters (characteristics);

discrepancies in the data of the consignor organization and the consignee organization on the quantity of inventory items and nuclear materials.

16. Reports of the NM record and control organizations shall be presented in accordance with the formats, procedures and frequency established in the system for state record and control of nuclear materials.

17. Correction of the record-taking data may be performed only by introduction of modifications to the record documents in accordance with the procedure established in the organization with indication of the date and the person who has introduced these modifications and the possibility to read the erroneous record.

18. In case of any correction of the reporting data new reporting documents shall be provided.

III. General requirements for state record and control

of nuclear and special non-nuclear materials

Nuclear and special non-nuclear materials subject to

record and control

19. The following chemical elements shall be subject to record and control as nuclear materials: plutonium, uranium, thorium; nuclides: uranium-233, uranium-235, neptunium-237, americium-241, americium-243, californium-252 and special non-nuclear materials:

deuterium contained in heavy water in case its relative isotope content exceeds 50% (atomic fractions) except for deuterium contained in heavy water inside the nuclear reactors, critical and sub-critical test stands as well as the heavy water production and detritiation plants;

tritium in all compounds in case the ratio between the number of tritium atoms and the number of any other hydrogen isotope atoms (deuterium and protium) exceeds 1000;

lithium-6 in all compounds in case the content of lithium-6 in lithium exceeds its natural occurrence.

Nuclear materials specified in this paragraph shall be subject to record and control regardless of the type of chemical compounds and physical state.

20. Record and control shall be applied to nuclear materials contained in all products except for:

uranium and thorium contained in the ore as well as in intermediate products processed at the mining and metallurgical plants (uranium and thorium contained in the finished product (uranium or thorium oxide or salt) shall be subject to record and control on these plants);

nuclear materials in sealed radionuclide sources if the total NM mass in a single SRS according to the nominal data does not exceed the minimum quantity specified in Appendix 3 to these Rules;

depleted uranium used as the hydrogen isotope carrier and also contained in protective containers of the transportation packaging sets, radiation heads of gamma flaw detectors, irradiation heads of gamma therapeutic devices, transportation and charge exchange containers and any other similar special-purpose items used for radiation protection;

uranium-233, neptunium-237, americium-241, americium-243, californium-252 in irradiated products as well as americium-241 in plutonium-containing products (the above-mentioned nuclear materials shall be subject to accounting after their extraction);

nuclear materials contained in radioactive waste and located in the RW storage facilities in case it is impossible to return them to the basic process without any special-purpose administrative and technical arrangements.

Registration and de-registration of nuclear and special

non-nuclear materials

21. The following materials shall be subject to de-registration:

nuclear materials used for development, manufacturing and testing of components for nuclear warheads, nuclear explosives and their elements and also transferred to the organization (consignee) within any nuclear power installations for military purposes;

nuclear materials used to manufacture unsealed radionuclide sources and SRS subsequent to issuance of the certificate or any other document confirming the RNS quality and characteristics and transfer of the RNS from the MBA to the finished product storage area or to the consignee organization if the total NM mass in a single SRS or in all transferred unsealed RNSs in aggregate does not exceed the minimum quantity specified in Appendix 3 to these Rules;

nuclear materials contained in depleted uranium used as the hydrogen isotope carrier; in depleted uranium used to manufacture protective containers of the transportation packaging sets, radiation heads of gamma flaw detectors, irradiation heads of gamma therapeutic devices, transportation and charge exchange containers and any other similar special-purpose items used for radiation protection after their manufacturing, issuance of their certificates, registration as inventory items in the MBA and transfer to the finished product storage area or to the consignee organization;

nuclear materials contained in radioactive waste in case it is impossible to return them to the basic process without any special-purpose administrative and technical arrangements upon transfer of these radioactive waste from the MBA to the RW storage.

22. Nuclear materials shall be registered on the MBA of the organization after their production or delivery from any other MBA of the same organization or from any other organization and also withdrawn from illicit trafficking.  Registration and de-registration of nuclear materials shall be performed in accordance with these Rules.

23. Plutonium generated in the products irradiated in nuclear reactors shall be registered for state accounting after unloading of the products from the nuclear reactor and upon placement of the irradiated products to the storage facility or area outside the reactor core. Uranium and uranium-235 burnt out in the reactor shall be de-registered at the same time.

Masses of plutonium, uranium and uranium-235 shall be determined by the authorized specialists of the reactor operating organization through the use of validated calculation methods and (or) software tools.

24. Nuclear materials shall be de-registered in the MBA in any cases provided in par. 21 of these Rules as well as after their transfer to any other MBA of the same organization or to any other organization.

25. Nuclear materials contained in the products resulting from disposal of nuclear warheads, nuclear explosives and their components, fuel elements of nuclear power and research installations for military purposes shall be registered upon transfer of these products for peaceful use. Nuclear materials contained in irradiated fuel assemblies of nuclear power and research installations for military purposes shall be registered upon receipt in the organization receiving the fuel assemblies from the reactor operating organization.

26. Nuclear materials circulating in the organization, received or shipped by the organization shall be subject to record and control in the NM record and control system if the total mass of nuclear materials in the organization within any 12-month period is equal to the minimum quantity specified in Appendix 3 to these Rules or exceeds it.

In case the organization handles any products containing several different nuclear materials or any mixture of nuclear materials the requirements of these Rules shall be applied if the mass of at least one nuclear material exceeds the relevant minimum quantity specified in Appendix 3 to these Rules.

In case the above-mentioned masses are below the minimum quantity these nuclear materials shall be subject to record and control in the system for state record and control of radioactive substances and radioactive wastes.

Nuclear material categories

27. Categories of nuclear materials in the MBAs shall be established in accordance with Appendices 4-7 to these Rules.

28. In case different nuclear materials and different products are present in the MBA the NM category in the MBA shall be determined on the basis of their aggregate mass in all products and the quantitative NM mass limits for the products referred to the category with lesser number as specified in Appendices 4-7 to these Rules.

Material balance areas and key measurement points

29. The MBAs shall be arranged with due regard for the following requirements:

mass of nuclear materials supplied to the MBA and shipped from the MBA shall be determined on the basis of the measured product and NM parameters (characteristics) (except for the cases when application of the calculation methods effective in the organization is permitted) and also the results of complete counting and identification of inventory items, containers with nuclear materials in accordance with the transport documentation and nominal data for the nuclear materials;

all process operations including shipping of nuclear materials from the MBA and receipt of nuclear materials from any other MBAs and arrangement of new inventory items shall be stopped during NM physical inventory taking in the MBA except for the production area with continuous product processing technology;

NM storage systems in the form of stationary facilities and structures representing organizational units of the organization; ships with nuclear power installation; floating and on-shore nuclear fuel storage systems for ships; reactor plants with the pools for irradiated fuel assemblies shall be segregated as individual MBAs;

administrative and (or) technical measures preventing the possibility for NM movement beyond the MBA boundaries without passing through the key measurement posts shall be provided in the MBA arrangement.

30. KMP selection in the MBA shall be arranged in such a way so that to provide supervision of NM transfer to/ from the MBA and determination of their actual inventory in the MBA.

31. Persons responsible for NM record and control as well as accountable persons or officers responsible for NM accounting shall be appointed for each MBA by the order of the chief executive officer of the organization or any authorized person (hereinafter - the organization CEO).

32. NM record and control shall be supported by measures for storage and (or) verification of the available information on nuclear materials. These measures shall include administrative arrangements, ACM as well as their combinations and shall ensure continuous control of access to nuclear materials. NM record and control shall be also supported by physical protection of nuclear materials, nuclear installations and NM storage facilities including control of the personnel access to the rooms containing nuclear materials.

33. Identifiable single-shot devices ensuring protection of the facility against unauthorized access by tamper indication and inhibition of intrusion within the certain limits (hereinafter - seals) complying with the national standards shall be installed at the access points to the rooms, chambers and boxed, on the containers and other equipment with nuclear materials. Seals with unique identification characteristics shall be applied for control of access to inventory items in the MBA with nuclear materials of categories 1 and 2, in case of any shipment of inventory items from the MBA with nuclear materials of categories 1 and 2 and storage of inventory items in the MBA with nuclear materials of categories 1 and 2 for the period exceeding one shift.

Seals shall not be installed on the inventory items where nuclear materials cannot be withdrawn without any loss of the II integrity with the II integrity ensured by their design and the possibility to confirm it through visual or instrumental inspection.

34. Selective inspection of seals installed in the MBA shall be arranged in the intervals between NM inventories.  When determining the size of random sampling it is necessary to comply with the requirement that proper condition of at least 95% of seals shall be confirmed with the confidence probability of 0.95. Results of the inspections shall be documented.

35. Application and handling of seals in the organization (receipt/ acceptance, storage, installation/ removal, verification and disposal of removed or faulty seals) shall be performed in accordance with the procedures established in the organization and complying with the national standards.

These procedures shall be reflected in the seal application program approved by the organization CEO.

36. Access to the MBA rooms with nuclear materials of categories 1 and 2 where nuclear materials are stored and any works with these nuclear materials in the storage facilities shall be performed by at least two persons admitted to works with nuclear materials.

IV. Arrangement of nuclear material measurements

37. The measurement program shall be developed for each MBA including or containing references to the relevant documents: lists of KMPs, MPs, reference samples, measuring means with indication of their names and types, sampling procedures; information on frequency of measurements, accuracy of measurements necessary to comply with the requirements and criteria established in the regulations of the Russian Federation and the organization documents. The time limits for development of the documents for registration of the measurement results and the formats of these documents shall be also specified in the program. The program shall be approved by the organization CEO. The program shall be revised at least once per five years. A single program containing the required data and references to the organization documents may be issued for several or all MBAs of the organization.

38. Measurements in the area of atomic energy use are included into the sphere of state regulation for measurement uniformity assurance. Peculiarities of measurement uniformity assurance in the course of activities related to atomic energy use shall be defined by the Government of the Russian Federation <*>. Procedures (methods) and reference samples for measurements included into the  consolidated list of measurements referred to the sphere of state regulation for measurement uniformity assurance <**> in the area of atomic energy use shall be developed, validated and issued in accordance with the requirements established by the regulations of the Russian Federation.

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<*> Article 1 of Federal Law No. 102-FZ dated 26.06.2008 "On measurement uniformity assurance".

<**>  Paragraph 2, Article 20 of Federal Law No. 102-FZ dated 26.06.2008 "On measurement uniformity assurance".

39. Calculation methods used to calculate quantity of nuclear materials shall be issued in the form of guidelines and shall contain the value and estimation procedure for the error of calculation results in accordance with this method.

40. Measuring means shall be verified (calibrated) in accordance with the metrological standards.

41. Control of NM measurement quality shall be arranged in each organization, particularly the procedures for internal measurement quality control shall be established.

42. The officer or officers responsible for arrangement of NM measurements for the purposes of their record and control shall be appointed in each organization.

43. Results of measurements shall be documented in accordance with the requirements of the effective metrological standards.

V. Transfer of nuclear materials

General requirements

44. Transfer of nuclear materials between organizations shall be accompanied with issuance of:

pre-notifications to the consignee organization on the planned shipment date with indication of the transportation method (means of transport) signed by the consignor organization CEO or shipment plans and schedules signed by the consignor organization CEO and the consignee organization CEO;

pre-notification to the department of the Federal Environmental, Industrial and Nuclear Supervision Service which carries out surveillance over the consignor organization on the planned shipment with indication of the transportation method (means of transport);

receipt and shipment and transport documentation.

45. Transfer of nuclear materials between MBAs of the organization shall be performed on the basis of the documents (schedules, bills) approved by the organization CEO and signed by the authorized officers of the consignor MBA and the consignee MBA.

In case of any product sample transfer within the organization only mass or volume of the product in the sample may be specified in the record documents. The product parameters (characteristics) and the NM mass in the sample shall be documented after the sample analysis.

46. Types and identification characteristics of inventory items and seals, gross weights of inventory items and any other necessary data shall be specified in the transport documents. Certificates of inventory items or material batches shall contain quantitative parameters (characteristics) of inventory items, products, masses of nuclear materials in each inventory item and also uncertainty of the II gross weight.

47. Upon receipt of inventory items in the MBA of the consignee organization the following procedure shall be performed:

exterior inspection and verification of the II number, control of seals applied to the transportation vehicle and inventory items, definition of compliance of the II identification characteristics, seals and II locations in the transportation vehicle with the data specified in the transport documents;

confirmatory measurements.

48. The type and scope of confirmatory measurements for inventory items shall be determined by the organization performing these measurements based on:

NM type;

NM quantity;

transferred NM and products;

type of containers and seals;

measurement errors.

Nuclear material receipt and shipment documentation

in case of transfer between organizations

49. Upon receipt of nuclear materials by the consignee the procedures specified in par. 47 of these Rules shall be performed within three business days. In case no anomalies and (or) violations in the NM record and control are detected in the course of these procedures the inventory items shall be accepted for safe custody and registered in accordance with the data specified in the transport documents.

Acceptance and registration of nuclear materials by the consignee shall be arranged not later than 10 days after receipt of nuclear materials, their data sheets (data cards, certificates) and performance of confirmatory measurements provided that the permissible NM data discrepancy limits between the consignor and the consignee are not exceeded.

50. In case of NM shipment the consignor shall de-register them after receipt of the duly issued NM acceptance certificate from the consignee or the way-bill with the authorized representative's signature confirmed by the consignee's power of attorney.

Assessment of data discrepancies between the consignor and the consignee

51. Data discrepancies between the consignor and the consignee with regard to the II and (or) NM mass in the course of transfer shall be defined as the difference between the mass values specified by the consignor (nominal data) and obtained by the consignee through measurements. In case the results match (data discrepancies between the consignor and the consignee are within the range corresponding to the confidence probability of 0,99 (confidence probabilities shall be set for two-way confidence intervals) with due regard for the consignor's and consignee's measurement errors) nuclear materials shall be registered by the consignee according to the consignor's data.

In case the results do not match significance of systematic data discrepancies between the consignor and the consignee shall be assessed with the confidence probability level of 0.99.

52. In case any statistically significant data discrepancies between the consignor and the consignee and also non-compliance of the actual data with the transport documentation data are detected the consignee shall inform the consignor on these discrepancies and develop a special report on the anomaly with due regard for the requirements of par. 85 of these Rules.

The consignor and the consignee shall jointly take measures to reveal the cause of discrepancies. In this case the nuclear materials shall remain registered at the consignor's until the approved data on nuclear materials contained in the disputable inventory item are obtained. The consignee shall bear responsibility for security of these nuclear materials.

In case any decision on the necessity for reference measurements is made they shall be performed by an independent laboratory certified in accordance with the effective legislation of the Russian Federation.

VI. Physical inventory taking, materail balance

draw-up and inventory difference assessment for

nuclear materials in the material balance area

General requirements

53. Physical inventory shall be taken in order to:

determine the actual available quantity of nuclear materials in the MBA;

establish compliance of the actual II parameters with the existing record-taking data;

draw up the NM balance, define the inventory difference and its uncertainty;

check NM record and control.

Physical inventory may be original, scheduled and unscheduled.

54. Physical inventory taking shall be performed in accordance with the procedures and guidelines effective in the organization.

55. The following shall be carried out in the course of physical inventory taking:

preparation for the physical inventory taking;

PIL development for the MBA as per the inventory date;

check of compliance of the PIL data with the accounting documentation data;

inspection of seals, analysis of data from any other ACM particularly ones applied for physical protection of the rooms where nuclear materials are handled;

accounting and (or) confirmatory measurements, verification of attributes;

assessment of unmeasured NM loss values and their errors in accordance with the procedures established in the organization;

APIL development by the inventory commission, reconciliation of the APIL data with the PIL data;

determination of ID values and their errors for each nuclear material.

56. Physical inventory taking shall be finished by the balance draw-up for each nuclear material in the MBA within the material balance period, definition of the inventory difference and its error with subsequent statistic analysis of the ID significance in accordance with the criteria established in par. 69 and 70 of these Rules.

The inventory difference for the particular nuclear material in the MBA shall be defined in accordance with the following formula:

ID = AQ - DQ = AQ - (IQ+INC - DEC),

where AQ is the actual available quantity of nuclear materials in the MBA determined in the course of this physical inventory taking;

DQ is the documented quantity of nuclear materials in the MBA as of the beginning of the physical inventory taking (the end of this MBP);

INC is the documented increase of nuclear material quantity in the MBA for this MBP due to all supplies and production;

DEC is the documented decrease of nuclear material quantity in the MBA for this MBP due to all shipments from the MBA, nuclear transformations and losses;

IQ is the documented quantity of nuclear materials in the MBA as of the beginning of this MBP.

57. Presence of inventory items, presence and state of seals, absence of any unauthorized access to nuclear materials shall be checked in the course of physical inventory taking. NM masses in the products (both in inventory items and in bulk form) shall be determined in the course of the physical inventory taking or prior to it. The NM mass value as well as errors in determination of this value with the confidence probability of 0.95 shall be documented.

NM masses in process losses, depositions and build-up as well as errors of these values shall be determined on the basis of measuring procedures or calculation methods applied in the organization.

Values of error in determination of the NM parameters (characteristics) shall be used to define uncertainty of the inventory difference and to assess significance of discrepancies in results of the accounting and confirmatory measurements.

58. Previously determined NM mass values may be used as accounting and reporting data (in the course of physical inventory taking, transfer of nuclear materials, preparation of reports) only in cases when their reliability is confirmed by the ACM data, visual inspection of inventory items and (or) confirmatory measurements.

59. The scope of confirmatory measurements shall be determined depending on the scope of application and results of ACM control, control of the II state and based on the probability of the threshold quantity deficiency (excess) detection for each nuclear material. Statistically significant discrepancies between the results of accounting and confirmatory measurements for the quantitative parameters of nuclear materials, inventory items and products shall be defined with the confidence probability of 0.99.

The types of confirmatory measurements, the scope and procedure for control of the II state shall be specified in the guidelines on NM record and control in the MBA or in the individual guidelines approved by the organization CEO.

60. In case any statistically significant discrepancies between the results of accounting and confirmatory measurements and (or) loss of integrity of seals and ACM (particularly ones applied for physical protection of the rooms where nuclear materials are handled) are detected the organization CEO shall be informed, and the causes of such discrepancy or loss of integrity shall be investigated. In case any deficiency (excess) is revealed new record-taking measurements shall be performed, the record documents shall be amended, and new reporting documents shall be issued.

Frequency of scheduled physical inventories

61. Physical inventory taking for each MBA shall be performed periodically, and the MBP shall be established depending on the NM category in the MBA, process and other peculiarities of the organization.

Physical inventory taking in the MBA shall be planned, arranged and performed at least:

once per two calendar months (for MBAs with nuclear materials of category 1);

once per three calendar months (for MBAs with nuclear materials of category 2);

once per six calendar months (for MBAs with nuclear materials of category 3);

once per twelve calendar months (for MBAs with nuclear materials of category 4).

62. The material balance period for any MBA may be extended by the resolution of Rosatom State Corporation upon agreement with the Federal Environmental, Industrial and Nuclear Supervision Service (hereinafter - Rostechnadzor) based on the substantiation of compliance of the NM record and control in the MBA with the requirements of the regulations of the Russian Federation presented by the operating organization and also specification of the applied additional ACM in order to enhance security of nuclear materials.

Arrangement of physical inventory taking

63. The inventory commission (commissions) shall be appointed by the administrative document (documents) of the organization CEO; the time limits for preparation and performance of the physical inventory, the time period upon expiry of which all NM movements (except for separating and radiochemical plants with continuous NM processing technology) without any permit from the inventory commission chairman shall be prohibited for the period of the physical inventory taking and also the time limits for presentation of the reporting documents subsequent to the physical inventory results shall be specified,

64. The central inventory commission shall be established in the organization, and working inventory commissions shall be arranged in the MBAs (departments).

A single inventory commission combining the functions of the central and working commissions may be established according to the decision of the organization CEO. The inventory commission shall include at least three persons. In case it is necessary to change members of the inventory commission this shall be performed based on the administrative document from the organization CEO.

The central inventory commission shall include:

chief engineer of the organization or deputy CEO of the organization (Chairman);

chief accountant or his/ her deputy;

the representative of the NM record and control service (department) of the organization.

The central inventory commission may include:

specialists in computer-based NM accounting, physical measurements, statistics;

represenatives of the organization security service;

representatives of the quality control department;

other specialists.

65. Upon completion of physical inventory taking in the MBA the inventory commission shall issue the report on the results of NM physical inventory taking in the MBA and draw up the NM balance in the MBA; the inventory difference shall be determined and analyzed, and the MBR and APIL shall be developed and approved. The report shall be developed by the inventory commission and approved by the organization CEO.

The following shall be specified in the report on the results of NM physical inventory taking in the MBA:

results of checks of the account and record keeping, checks of availability and storage conditions of NM inventory items and the results of checks of the condition of seals;

information on any accounting and confirmatory measurements of nuclear materials performed in the course of physical inventory taking.

All detected violations and anomalies in the NM record and control (if any), brief analysis of their causes and also measures for their elimination implemented in the course of physical inventory taking shall be specified in the report.

Conclusions shall contain basic results of the physical inventory taking particularly the opinion on compliance or non-compliance of the actually available quantity of nuclear materials with the PIL data and compliance or non-compliance of the ID values with the permissible limits.

Protocols of all NM measurements performed in the course of the physical inventory taking as well as special opinions of the commission members (if any) shall be attached to the inventory commission report on the results of NM physical inventory taking in the MBA.

In case of original physical inventory taking the ID value in the NM balance and assessment of its permissible value shall not be indicated in the inventory commission report on the results of NM physical inventory taking in the MBA as the balance is not to be drawn up in the course of original physical inventory taking.

The report shall be signed by all members of the inventory commission.

66. In case no NM record and control anomaly is detected subsequent to the results of the NM balance draw-up the NM quantity in the MBA specified in the APIL shall be used as the documented NM quantity in the MBA as per the beginning of the next MBP.

67. In case any NM record and control anomaly is detected for this MBA in the course of physical inventory taking the chairman of the working inventory commission shall immediately inform the chairman of the central inventory commission and the organization CEO. Investigation shall be performed in order to confirm the fact and to reveal the causes of the anomaly, and the actual available quantity of nuclear materials in the MBA shall be documented.

Criteria of anomalies in nuclear material record and control

68. Deficiency (excess) of inventory items in the MBA detected in the course of physical inventory taking shall be considered as anomaly in the NM record and control.

69. In case any accounting NM measurements have been performed within the MBP preceding the current physical inventory taking or in the course of physical inventory taking the ID module exceeding the least of the following values shall be the criterion for detection of anomalies in record and control of this nuclear material:

threeforl standard deviation in the ID determination;

2% of this NM quantity transformed and subjected to record-taking measurements within this MBP or in the course of physical inventory taking - for industrial nuclear installations;

3% of the same value - for nuclear research installations and in-plant laboratories;

3 kg - for plutonium, uranium-233 for MBAs containing nuclear materials of categories 1, 2;

8 kg - for uranium-235 for MBAs containing nuclear materials of categories 1, 2 and 3;

50 kg - for uranium-235 and 8 kg - for plutonium (for MBAs of radiochemical plants processing uranium and plutonium solutions);

70 kg - for uranium-235 for MBAs containing nuclear materials of category 4 in the products with HEU concentration (content) below 1 g/l (1 g/kg) and also:

any products containing LEU, natural and depleted uranium;

any products containing HEU with the absorbed dose rate of at least 1 Gy/h = 100 rad/h at the distance of 1 m without any protection.

70. In case no record-taking measurements of this nuclear material have been performed within the MBP and in the course of physical inventory taking and reliability of the previous record-taking measurement results is ensured through the use of ACM particularly ones applied for physical protection of the rooms where nuclear materials are handled conclusions on absence of any anomalies in the NM record and control shall be made based on the results of selective confirmatory measurements and also the ACM inspection. The size of random sampling for inventory items subject to confirmatory measurements shall be defined through the use of statistical methods based on the values of two parameters: threshold quantity of nuclear materials for detection of their deficiency (excess) and probability of this threshold quantity deficiency (excess) detection.

The threshold quantity for nuclear materials of category 1, 2 and 3 is the following:

3 kg - for plutonium, uranium-233;

8 kg - for uranium-235.

The threshold quantity for LEU (category 4) is 70 kg for uranium-235.

In case the NM mass in the MBA is below the above-mentioned value the threshold quantity shall be equal to 30% of this NM mass in the MBA.

For other nuclear materials the threshold quantity shall be 5% of the documented available quantity of this nuclear material in the MBA as per the physical inventory moment.

Probability for detection of the NM threshold quantity deficiency (excess) for calculation of the sampling size for confirmatory measurements in absence of any ACM data on unauthorized access is specified in Appendix 8 to these Rules.

71. Unscheduled physical inventory taking shall be performed in case of any changes of the organization incorporation form, its liquidation or reorganization, complete termination of any works with nuclear materials, detection of any anomaly in the NM record and control, unauthorized impact on the NM locations or storage facilities or after mitigation of any emergency consequences.

VII. Record and reporting documents.

Record documents

72. Record documents shall be maintained for each MBA and contain the data on each nuclear material including:

NM quantity in the MBA;

changes in the amount of nuclear materials in the MBA.

73. All NM quantity changes for each record-keeping batch, parameters (characteristics) of the batch and the input data for the batch formation shall be reflected in the record documents; dates of any NM quantity changes, information on the consignor and consignee organizations (in case of NM transfer between organizations), information on the consignor and consignee MBAs (in case of NM transfer between the MBAs of the same organization) shall be specified.

74. Any data used to determine quantitative and qualitative changes of nuclear materials in the record documents, including verification (calibration) results for all measuring means, data on sampling and results of sample analysis, results of measurement quality control, random and systematic measurement errors shall be documented.

Reporting documents

75. The organizations shall form accounting zones from the existing MBAs, compile reference information on the organization and any accounting zones arranged in it.

76. The following MBA reporting documents shall be issued in each organization based on the MBA record documents:  PIL, IQCR.

The following RA reporting documents shall be issued in each organization based on the MBA reporting documents:  RA PIL, RA IQCR.

The following MBA reporting documents shall be issued in each organization based on the physical inventory results: APIL, MBR.

77. The RA reporting documents of the organization shall be submitted to Rosatom State Corporation in the formats, according to the procedure and within the time limits established by Rosatom State Corporation.

The time limits for submittal of the MBA reporting documents shall ensure timely preparation and submittal of the RA reporting documents of the organization to Rosatom State Corporation <*>.

--------------------------------

<*> Subparagraph 2, paragraph 1, Article 8 of Federal Law No. 317-FZ dated 01.12.2007 "On Rosatom State Atomic Energy Corporation".

78. The organization shall submit the RA reporting documents on the pre-agreed regular basis to the operating organization, Rosatom State Corporation and the Federal Automated Information System for State Accounting and Control of Nuclear Materials (FIS).

79. The MBA PIL and the MBA IQCR shall contain information on the available quantity of nuclear materials and any changes of the NM inventory within the MBA. The RA PIL and the RA IQCR shall contain information on the available quantity of nuclear materials in the accounting zone and any changes of the NM inventory within the RA.

80. The APIL and the MBA MBR shall be developed subsequent to the results of physical inventory taking in the MBA. The MBR shall be approved by the organization CEO.

81. The following shall be reflected in the MBA MBR in the form of individual records for each nuclear material:

the initial documented quantity of nuclear materials;

increase and (or) decrease in the quantity of nuclear materials for the accounting MBP;

actual inventory of nuclear materials as per the results of physical inventory taking;

inventory difference and its uncertainty;

the permissible ID module limit established in accordance with par. 69 of these Rules.

82. In case any anomaly is detected by comparison of the actual NM inventory with the inventory registered in the PIL the document confirming relevance of the specified actual NM inventory value shall be developed and presented together with the MBA MBR.

83. The MBA APIL shall contain information on the actual inventory of nuclear materials in the MBA and shall be issued as per the date of physical inventory taking in the form of sequential records for each batch and type of nuclear materials with separate  indication of the identification and other characteristics for each batch and type of nuclear materials.

84. The special report shall be issued by the organization in case of any anomaly detection in the NM record and control.

Information on the anomaly shall be immediately submitted by the organization to Rosatom State Corporation and Rostechnadzor and the SR shall be submitted within three days from the above-mentioned anomaly detection.

85. The SR shall contain:

description of the circumstances, event and (or) series of events related to the nuclear materials where the anomaly is detected;

NM characteristics;

input data for determinination of the NM quantitative characteristics;

action plan for prevention of any similar anomalies in the organization in the future.

86. The report on implementation of measures for elimination and prevention of anomalies and their causes mentioned in the special report shall be submitted by the organization to Rosatom State Corporation and Rostechnadzor after the relevant investigation and implementation of measures.

In case of NM transfer this report shall be also submitted to the consignor organization.

87. The MBA and RA reporting documents shall be submitted by the organization to Rostechnadzor upon request.

VIII. Nuclear material record and control in organizations

88. Record and control of nuclear materials in organization shall be arranged with due regard for Chapter V of the Regulations on the system for state record and control of nuclear materials approved by Decree of the Government of the Russian Federation No. 354 dated May, 6, 2008 "On approval of Regulations on the system for state record and control of nuclear materials".

89. The regulations for record and control of nuclear materials with indication of the following aspects shall be developed in the organization and approved by the CEO:

arrangement of NM record and control in the organization and the MBA, departments and personnel engaged in NM record and control, subordination of the NM record and control departments (functions, rights and liabilities for the personnel of these departments shall be defined by the regulations on the departments, job descriptions and work procedures);

any regulations of the Russian Federation applied in the organization for the purposes of NM record and control;

the number of MBAs, RAs, their boundaries and structure;

procedures and measuring means used in the organization for NM record and control;

ACM applied in the organization;

the list, forms, procedure for maintenance of the accounting and recording documents;

the procedure and frequency for control of NM presence and movement within MBAs;

the procedure and frequency for audits of NM record and control in the MBAs (audits at the organization level shall be performed at least once per a year);

the procedure for investigation of any anomalies in NM record and control;

the procedure for the personnel training and admittance to works for NM record and control;

the procedure for physical inventory taking;

the procedure for in-process technical record keeping;

NM record and control measures in the course of/ subsequent to any accident and emergency mitigation.

Requirements and procedures established in the regulations (guidelines) and other documents of the organization shall comply with the requirements established in the federal regulations and rules in the area of atomic energy use.

90. The seal application program shall be developed in the organization and approved by the organization CEO. It shall establish the following:

types of applied seals;

the procedure for seal handling;

order, purchase, incoming control, storage;

installation, monitoring, removal;

disposal;

personnel admitted for the seal handling procedures and the procedure for their training;

the accounting procedure for seal handling operations;

the procedure for documenting of the seal installation and monitoring results;

the procedure for the seal application quality control at the organization level;

the procedure for response in case of any seal application violations and investigation of their causes.

The seal application program in the organization shall take into account the seal application procedure established in the national standards applicable to these devices.

91. The NM record and control service (department) shall be arranged in the organization.

92. Reliability of the record data with regard to identifiers of the inventory items and their position in the MBAs shall be at least 95% with the confidence probability of 0.95.

93. NM record and control guidelines shall be developed for each MBA and approved by the organization CEO; the guidelines shall contain the following information:

the MBA boundaries and structure;

NM locations on the MBA scheme (storage facilities, any plant, workplaces);

characteristics of nuclear materials and products in the MBA;

KMPs as well as the applied measuring methods and means;

ACM;

NM record and control procedures applied in this MBA;

procedures for assessment of NM losses with releases, discharges and withdrawal of nuclear materials with radioactive wastes;

accounting documentation forms (or reference thereof);

reporting documentation forms (or reference thereof);

forms of all types of documents - log sheets, way-bills, requests, delivery orders, receipts (or reference thereof) issued for each NM transfer operation. The number of copies, signatures, place of storage shall be specified for each document.

94. Any NM losses shall be determined by measurement or through the use of calculation methods based on the results of preliminary measurements or experimental studies with due regard for the requirements of Chapter IV of these Rules.

95. Persons financially accountable for the nuclear materials in the particular MBA (stock keepers, custodians) shall be appointed for each MBA by the order of the organization CEO, and financial liability contracts shall be executed with these persons.

96. Transfer of nuclear materials from any financially accountable person to other persons shall be documented.

97. Transfer of nuclear materials engaged in any process from one process operation for another one or between the shifts shall be documented with indication of the products and NM types. The in-process technical record keeping procedures shall ensure complete and continuous documentary accounting of all economic and process operation with nuclear materials based on the measurement results for the product parameters (characteristics).

98. Registration of any detected unaccounted nuclear material shall be arranged on the basis of record-taking measurements for the detected unaccounted product, issuance of the record documents in accordance with the recommendations (statement) of the commission investigating detection of the unaccounted nuclear material.

99. Administrative control of the NM record and control state in the department (MBA) shall be performed in accordance with the approved guidelines, procedures, regulations including the description of the following arrangements:

checks for compliance with the requirements for NM record and control  in the department and MBA;

checks for completeness of in-process technical record keeping with regard to nuclear materials and registration of the accounting results;

functional checks for the automated accounting system (if any is present in the MBA);

checks of the accounting and reporting documentation maintenance;

reconciliation (complete or selective) of the data in the accounting and reporting documents;

inspection of the procedure for  arrangement and performance of physical inventory taking and NM balance draw-up;

inspection of the procedure for ACM application;

checks for presence of nuclear materials in their locations, selective reconciliation of the accounting data and actual inventory of nuclear materials, performance of confirmatory measurements;

checks for availability and quality of measurement procedures and means applied for NM record and control particularly by additional measurement of the NM parameters by the personnel upon the inspector's request;

checks of the NM loss assessment procedures;

control of investigations with regard to causes and circumstances of any anomalies and violations in the NM record and control and implementation of the necessary measures;

check of availability of documents for training and testing of personnel knowledge.

100. Subsequent to the results of the NM record and control state audit performed by the commission or any authorized person the inspection report shall be issued with indication of all detected drawbacks, violations in the NM record and control and recommendations for their elimination. The report shall be approved by the head of the NM record and control department of the organization.

Arrangements aimed to eliminate the revealed drawbacks and violations shall be developed pursuant to the recommendations specified in the approved inspection report. Implemention of the arrangements within the established time limits shall be controlled by the head of the NM record and control department of the organization.

101. The personnel engaged in record and control of nuclear materials shall pass training, retraining and assessment of knowledge with regard to federal regulations and rules in the area of atomic energy use, process regulations, requirements of work processes, job descriptions and standard operating procedures in record and control of nuclear materials <*>.

--------------------------------

<*> Paragraph 5, Article 2 of Federal Law No. 35-FZ dated 08.03.2011 "Regulations on discipline for workers of organizations operating facilities of high radiation and nuclear hazard and facilities in the area of atomic energy use".

Appendix 1

to Basic rules of

nuclear material record and control

approved by Order of the Federal

Environmental,

Industrial and Nuclear Supervision Service

dated April, 17, 2012 No. 255

ABBREVIATIONS

HEU - high enriched uranium

MBA - material balance area

RA - reporting area

SRS - sealed radionuclide source

ID - inventory difference

KMP - key measurement point

MBR - material balance report

MBP - material balance period

MP - measuring procedure

LEU - low enriched uranium

IQCR - inventory quantity change report

RNS - radionuclide source

RW - radioactive waste

RS - radioactive substance

ACM - access control means

PIL - physical inventory list

SR - special report

APIL - actual physical inventory list

II - inventory item

NM - nuclear and special non-nuclear materials

Appendix 2

to Basic rules of

nuclear material record and control

approved by Order of the Federal

Environmental,

Industrial and Nuclear Supervision Service

dated April, 17, 2012 No. 255

TERMS AND DEFINITIONS

The following terms and their definitions are used in this document:

Reference (verification) measurements - measurements of quantitative characteristics of nuclear materials and inventory items performed in case of any anomaly detection.

Attributes - characteristics of the object enabling their verification by visual and (or) instrumental control means.

Type of nuclear materials - the set of nuclear materials with the parameters within the range established by Rosatom State Corporation and (or) the operating organization.

High enriched uranium - uranium with the enrichment of at least 20% with regard to uranium-235 isotope.

Documented quantity of nuclear material - the quantity of nuclear material present at the moment in the MBA, RA of the organization and determined in accordance with the available record-taking data.

Sealed radionuclide source - an ionizing radiation source with the design preventing ingress of any radionuclides contained in it into the environment under the operation and wear conditions it has been designed for.

Key measurement point - a place in the MBA where accounting and (or) confirmatory measurements are performed.

Material balance period - the time interval between two consecutive physical inventories.

Violations in record and control of nuclear materials - any errors in the accounting and/or reporting documents not resulting in anomalies in the NM record and control; damage of seals; non-compliance of the II attributes with the registered data; non-compliance of the procedures for production, usage and transfer of nuclear materials and location of inventory items with the regulatory requirements.

Low enriched uranium - uranium with the enrichment of more than 0.73% but less than 20% with regard to uranium-235 isotope.

In-process technical record keeping - accounting of products in the process based on measurement of individual product parameters, control of their processing and transfer between the work performers in the course of process operations.

Reporting data - data on the products and nuclear materials directly (without any re-calculation) used to develop reporting documents for the MBA and RA of the organization.

Material batch (record-keeping batch) - the bulk (portion) of nuclear material (product) contained in one or several inventory item, process equipment with the quantitative and (or) qualitative composition determined for the record and control purposes on the basis of the common data set and measurement results registered in the record documents.

Confirmatory measurements - the measurements with the results used to confirm all or certain record-taking data for inventory items and NM batches.

Loss of nuclear materials - reduction of NM quantity in the MBA due to releases and discharges of liquid and gaseous products, wastage of products because of accidents or losses.

Access control means – engineering features intended for detection of any unauthorized removal, use, movement of nuclear materials and also unauthorized access to nuclear materials. They fall into surveillance systems and seals.

Inventory item - an object containing nuclear materials and having an individual attribute or an individual set of attributes with the parameters registered in the record documents and integrity confirmed by the access control measures from the moment of the record-taking data registration.

Record-taking data - parameters of the products, nuclear materials, attributes of inventory items used for collection and storage within the framework of accounting.

Record-taking measurements - measurements of the characteristics of nuclear materials of products with the results used for determination of data registered in the record documents.

Actual inventory of nuclear material - the mass of nuclear material actually present in the MBA at this moment that has been measured or otherwise determined in accordance with the established physical inventory procedures.

Nuclear material in bulk form - nuclear material contained in any product not representing an inventory item.

Appendix 3

to Basic rules of

nuclear material record and control

approved by Order of the Federal

Environmental,

Industrial and Nuclear Supervision Service

dated April, 17, 2012 No. 255

MINIMUM QUANTITY

OF NUCLEAR MATERIALS IN THE ORGANIZATION STARTING FROM WHICH

THEY ARE SUBJECT TO RECORD AND CONTROL

Appendix 4

to Basic rules of

nuclear material record and control

approved by Order of the Federal

Environmental,

Industrial and Nuclear Supervision Service

dated April, 17, 2012 No. 255

NUCLEAR MATERIALS OF CATEGORY 1

Appendix 5

to Basic rules of

nuclear material record and control

approved by Order of the Federal

Environmental,

Industrial and Nuclear Supervision Service

dated April, 17, 2012 No. 255

NUCLEAR MATERIALS OF CATEGORY 2

Appendix 6

to Basic rules of

nuclear material record and control

approved by Order of the Federal

Environmental,

Industrial and Nuclear Supervision Service

dated April, 17, 2012 No. 255

NUCLEAR MATERIALS OF CATEGORY 3

Appendix 7

to Basic rules of

nuclear material record and control

approved by Order of the Federal

Environmental,

Industrial and Nuclear Supervision Service

dated April, 17, 2012 No. 255

NUCLEAR MATERIALS OF CATEGORY 4

Appendix 8

to Basic rules of

nuclear material record and control

approved by Order of the Federal

Environmental,

Industrial and Nuclear Supervision Service

dated April, 17, 2012 No. 255

PROBABILITY

OF DETECTION OF NUCLEAR MATERIAL DEFICIENCY (EXCESS) IN THRESHOLD QUANTITY

FOR CALCULATION OF THE SAMPLING SIZE

FOR CONFIRMATORY MEASUREMENTS IN THE ABSENCE OF ANY UNAUTHORIZED ACCESS DATA

FROM ACCESS CONTROL MEANS

┌─────────────────────────────────────────┬───────────────────────────────┐

│        ACM application scope for NM     │  Detection probability, %,    │

│                                         │           at least            │

│                                         ├───────────────┬───────────────┤

│                                         │for categories │for category 4 │

│                                         │    1, 2, 3    │               │

├─────────────────────────────────────────┼───────────────┼───────────────┤

│Only seals on IIs                        │      50       │      30       │

├─────────────────────────────────────────┼───────────────┼───────────────┤

│Only NM surveillance system              │      50       │      30       │

├─────────────────────────────────────────┼───────────────┼───────────────┤

│Seals and one ACM of other type          │      25       │       9       │

├─────────────────────────────────────────┼───────────────┼───────────────┤

│Seals and at the same time (n-1)         │          n    │          n    │

│various ACM                              │  100 (0.5)    │  100 (0.3)    │

└─────────────────────────────────────────┴───────────────┴───────────────┘

The NM surveillance systems include:

automated technical systems, devices (displays for control of NM movement, access of the personnel to the rooms, door and manhole opening control sensors, emergency alarm devices);

engineering systems and devices for television or photographic surveillance with recording of occurring events.

The readings of the surveillance system components shall be documented and presented to the inventory commission.

If NM are presented in the form of inventory items with their integrity in the MBA within the MBP assured by their design (for example unibody fuel assemblies or disks, blocks, items with nuclear materials covered with cladding so that nuclear materials could not be withdrawn without loss of the cladding integrity) and enabling confirmation (by visual examination, comparison of gamma- or ultrasonic scanning images for weld joints) the detection parameters similar to the ones applied to inventory items with seals shall be used to calculate the confirmatory measurement selection size for these nuclear materials.