AP-A through AP-Q various site forms

The U.S. Additional Protocol to the U.S.-International
Atomic Energy Agency (IAEA) Safeguards Agreement
Report Handbook
for Sites of IAEA-Selected Facilities

Table of Contents
Section 1: Introduction
Background
Handbook Overview
Paperwork Reduction Act
Forms
Section 2: Reporting Requirements
Reportable Activities
Report Types
Figure 1: Additional Protocol Reporting Requirements Flow Diagram
Table 1: Deadlines for Submission of Reports and Amendments
Section 3: U.S. Additional Protocol Report Forms and Instructions
Form AP-A:
Form AP-B:
Form AP-C:
Form AP-D:

Certification
Contact Information for the Site of an IAEA-Selected Facility
Building Information
Nuclear Fuel Cycle Research and Development (Not Involving Nuclear
Material) With U.S. Government Involvement
Form AP-E: Nuclear Fuel Cycle Research and Development (Not Involving Nuclear
Material) Without U.S. Government Involvement
Form AP-F: Nuclear –Related Manufacturing, Assembly or Construction Activities
Form AP-G: Concentration Plant Operations
Form AP-H: Holdings of Impure Source Materials
Form AP-I: Imports and Exports of Impure Source Materials
Form AP-J: Holdings of IAEA Safeguards-Exempted Material
Form AP-K: Location of IAEA Safeguards-Terminated Material
Form AP-L: Processing of IAEA Safeguards-Terminated Material
Form AP-M: Export of Specified Equipment and Non-Nuclear Material Report
Form AP-N: Import of Specified Equipment and Non-Nuclear Material Confirmation
Report
Form AP-O: Supplemental Information Report
Form AP-P: Continuation Form
Form AP-Q: No Changes Report

Supplements
Supplement 1: Glossary of Terms
Supplement 2: Nuclear Fuel Cycle-Related Manufacturing, Assembly and Construction
Activities
Supplement 3: List of Specified Equipment and Non-Nuclear Material for the Reporting
of Exports and Imports

1

SECTION 1: INTRODUCTION
`

Background
The United States signed an Additional Protocol (AP) to the Agreement Between the United
States of America and the International Atomic Energy Agency (IAEA) for the Application of
Safeguards in the United States, which requires reporting of certain aspects of the U.S. nuclear
fuel cycle, including: buildings on the sites of certain nuclear facilities; mining and
concentration of nuclear ores; nuclear-related equipment manufacturing, assembly, or
construction; imports and exports of specified nuclear equipment and non-nuclear material;
imports, exports, and other activities involving certain source material (i.e., source material that
has not reached the composition and purity suitable for fuel fabrication or for being isotopically
enriched); certain nuclear fuel cycle-related research and development activities not involving
nuclear material; and other activities involving nuclear material not currently subject to the U.S.IAEA Safeguards Agreement. The requirements of the AP are promulgated in the Department of
Commerce (DOC) Additional Protocol Regulations (APR) – Title 15 of the U.S. Code of Federal
Regulations (15 CFR) Parts 781 – 799 and Nuclear Regulatory Commission (NRC) US-IAEA
Safeguards Agreement Regulations -- 10 CFR Parts 75 and 110. The DOC Bureau of Industry
and Security (BIS) operates the national database and will collect reports from NRC- and DOCregulated persons.

Handbook Overview
This Report Handbook for Sites should be used in conjunction with 10 CFR Parts 75 and 110 to
complete DOC/NRC Forms AP-A through AP-Q. Sites of IAEA-Selected Facilities are required
(by the NRC) to complete these forms and submit them to BIS. IAEA-Selected Facilities are
nuclear facilities which the IAEA has selected from the U.S. Eligible Facilities List and for
which the U.S. government has submitted a Design Information Questionnaire (DIQ) to the
IAEA under the U.S.-IAEA Safeguards Agreement (INFCIRC/288). These facilities will
complete the report forms in this Handbook rather than the report forms included in the Report
Handbook for Locations.
Section 2 of this Handbook provides a brief overview of anticipated reporting requirements for
sites of IAEA-Selected Facilities. A flow chart is provided to assist in understanding the
requirements for the different types of reports. Table 1, “Deadlines for Submission of Reports
and Amendments,” lists the different types of reports, the forms to be included in each report,
and the deadlines for submission of these reports to BIS.
Section 3 of the Handbook provides all of the report forms with detailed instructions for
completing each form on the reverse side of the form. The number of forms each site submits
will depend on the type of report being submitted and the activities that are relevant to the
reporting site. Based on the type of report being submitted, each site of an IAEA-Selected
Facility will be required to submit Forms AP-A and AP-B, and a separate Form AP-C for each
building on the site, and the relevant activity-based forms that are applicable for the site. For
example, a site with a building that manufactures zirconium tubes would submit Forms AP-A,
AP-B, a separate Form AP-C for the building, and Form AP-F).
2

There are also three supplements to this Handbook.
Supplement 1 is a Glossary of Definitions and Terms and serves to define key words that
are used in the Handbook as well as in the report forms.
Supplement 2 provides a list of the Nuclear Fuel Cycle-Related Manufacturing,
Assembly and Construction Activities that are reported on Form AP-F. These activities
and related definitions are defined in further detail in Supplement 2 of this Handbook.
Supplement 3 provides a detailed List of Specified Equipment and Non-Nuclear Material,
for the reporting of Exports (AP-M) and Imports (AP-N).

Paperwork Reduction Act
Notwithstanding any other provision of law, no person is required to, nor shall any person be
subject to a penalty for failure to comply with a collection of information, subject to the
Paperwork Reduction Act (PRA), unless that collection of information displays a currently valid
OMB Control Number. This rule proposes a collection of information subject to the
requirements of the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.). The information
collection contained in this proposed rule is part of a joint information collection by the Bureau
of Industry and Security (BIS), in accordance with the proposed Additional Protocol Regulations
(APR) (15 CFR Parts 781-799), and the Nuclear Regulatory Commission (NRC), in accordance
with amendments to its regulations in 10 CFR Part 75 and 10 CFR Part 110. BIS has submitted
this proposed collection to the Office of Management and Budget for approval. A total of
approximately 129 respondents are expected to be subject to the information collection
requirements set forth in these BIS and NRC rules. These information collection requirements
are expected to involve an estimated 844 total burden hours per annum at a total estimated cost
of $43,205 per annum.
BIS will use the information contained in reports submitted by U.S. persons to compile the U.S.
Declaration as required by the Additional Protocol.

Forms
Report forms required by the APR may be downloaded from the Internet at www.ap.gov. You
also may obtain these forms by contacting: Treaty Compliance Division, Bureau of Industry and
Security, U.S. Department of Commerce, Attn: Forms Request, 14th Street and
Pennsylvania Avenue, N.W., Room 2705, Washington, DC 20230, Telephone: (202) 4821001.

SECTION 2: REPORTING REQUIREMENTS
Reportable activities

3

To ensure U.S. Government compliance with its commitments under the AP, sites of IAEASelected Facilities are required to report information on the following activities if they were
conducted at their site during the previous calendar year:
1.
2.
3.
4.
5.
6.

A general description of all buildings on the site and a map of the site (AP-C);
Certain nuclear fuel cycle-related research and development activities (AP-D & AP-E);
Activities involving the manufacturing, assembly and construction of certain nuclear fuel
cycle-related equipment and materials (AP-F);
Ore processing activities for uranium and thorium (AP-G);
Possession, import and export of impure source material (AP-H & AP-I); and
Possession of nuclear material on which IAEA Safeguards have been exempted or
terminated (AP-J, AP-K, AP-L).

Upon request by the NRC, sites of IAEA-Selected Facilities may also be required to provide
information on:
1.

2.
3.

The import of certain nuclear fuel cycle-related equipment and materials (as defined in
Supplement 3 of the Handbook) if the IAEA requests this information from the U.S.
Government in its verification of export information provided by another State Party
(AP-N); or
An area outside the site of an IAEA-Selected Facility that the IAEA has reason to believe
may be engaged in activities that are functionally related to that site (AP-O); or
Clarification or amplification of information submitted in a report to the BIS, or provision
of information about any location on which the IAEA requests information (AP-O).

4

Report Types
The following types of reports may be required:
INITIAL REPORT:
You must submit an Initial Report to BIS by January 31st, if you commenced nuclear fuel cyclerelated activities during the previous calendar year, and have not previously reported activities to
BIS.
ANNUAL REPORTING:
You must submit either an ANNUAL UPDATE REPORT or a NO CHANGES REPORT by
January 31st, if, at any time during the previous calendar year, you continued to engage in
nuclear fuel cycle-related activities at a site for which you submitted an Initial Report.
ANNUAL UPDATE REPORT:
You must submit an Annual Update Report (DOC/NRC Forms AP-A, AP-B, AP-C and
required activity forms) by January 31st if you have updates or changes to report
concerning your site or your site’s activities during the previous calendar year. When
preparing the Annual Update Report, you must complete the same report forms that you
used for submitting your Initial Report on these activities. Additional report forms will
be required if your site engaged in any new reportable activities
NO CHANGES REPORT:
If all of the information, including contact information and other administrative
information on AP-A and AP-B, provided in your most recently submitted report has not
changed, you may submit a No Changes Report (Form AP-Q) in lieu of an Annual
Update Report.
AMENDED REPORT:
Changes to previously submitted information must be submitted on an Amended Report.
Corrections to information regarding a reportable activity and corrections or changes to
company information (e.g., corrections to address, changes in contact information, etc.)
must be submitted using the same AP Forms used previously and the corrections must be
submitted within 30 calendar days after the information has changed or the error
identified. Amendments to previously reported information resulting from an IAEA
complementary access must be submitted using the same AP Forms used previously and
the corrections must be submitted within 30 calendar days after the date of the
complementary access. Any amended AP Forms should be accompanied with a cover
letter addressing the specific change made. If additional information is requested during
a complementary access, beyond what is submitted as part of the annual update, Form
AP-O should be used unless a preferred alternative is agree upon by either the
Department of Commerce or the Nuclear Regulatory Commission.
PROCESSING OF IAEA SAFEGUARDS-TERMINATED WASTE MATERIAL REPORT:
Information on and dates of processing of waste material on which IAEA safeguards was
terminated must be submitted to BIS at least 210 days before the processing of the waste begins
(Forms AP-A, AP-B, AP-L).
EXPORT OF SPECIFIED EQUIPMENT OR NON-NUCLEAR MATERIALS REPORT:

4

If you export any of the items listed in Supplement No. 3 to this Handbook, you must submit an
Export Report to BIS no later than 15 days following the end of the calendar quarter in which the
items were exported – therefore, Export Reports must be submitted to BIS no later than January
15th, April 15th, July 15th, and/or October 15th each year.
IMPORT OF SPECIFIED EQUIPMENT OR NON-NUCLEAR MATERIALS
CONFIRMATION REPORT: Within 30 working days of receiving notice from the NRC with a
request for information pertaining to the import of specific materials or equipment, submit an
Import Confirmation of Equipment and Non-Nuclear Material Report (Forms AP-A, AP-B, and
AP-N) to BIS.
SUPPLEMENTAL INFORMATION REPORT: If you are contacted by the NRC with a request
for new or additional information about activities conducted at your site, you must submit a
Supplemental Information Report to BIS within 15 working days of receiving the request (Forms
AP-A, AP-B, and AP-O).

Additional Protocol Reporting Requirements Flow Diagram
Figure 1, Additional Protocol Reporting Requirements Flow Diagram, provides information to assist you
in determining the reports and forms that you may need to submit.

Reporting Deadlines
Table 1, Deadlines For Submission of Reports And Amendments, provides information on the reporting
deadlines.

5

Figure 1: Additional Protocol Reporting Requirements Flow Diagram

6

Additional Protocol (AP) Reporting Requirements

Processing of IAEA
Safeguards-Terminated
Waste Report

Annual Update
Report

Initial Report

Exort
Confirmation
Report

Supplemental
Information
Report

Imxport
Confirmation
Report

no
Do you have new information to
report, or has the information you
must report changed since your
most recently submitted report?

No Changes
Report
Submit Forms AP-A,
AP-B and AP-N

yes
Submit Form AP-A, Form AP-B
and a separate Form AP-C for each
building on your site.

Submit Form AP-Q

Submit Forms AP-A, AP-B and
AP-L

Are you engaged in nuclear fuel
cycle-related research and development
(R&D) activities (not involving nuclear
material) with U.S. Government
involvement? If yes, submit Form AP-D.
Are you engaged in nuclear fuel
cycle-related R&D activities (not
involving nuclear material) without U.S.
Government involvement? If yes, submit
Form AP-E.
Do you conduct any of the nuclear
related manufacturing, assembly or
construction activities listed in
Supplement 2 of the Handbook? If yes,
submit Form AP-F.

AP-Related Activities

Do you operate a uranium or thorium
concentration plant? If yes, submit Form
AP-G.

Do you have holdings of impure source
material in excess of 1 metric ton? If yes,
submit Form AP-H.

Have you imported or exported any
impure source material this year? If yes,
submit Form AP-I.
Do you have any IAEA SafeguardsExempted or Safeguards-Terminated
material or plan to process this material?
If yes, submit Forms AP-J or AP-L, as
appropriate.

7

Submit Forms AP-A,
AP-B and AP-M

Submit Forms AP-A,
AP-B and AP-O

If additional space is required on
any AP report forms, submit Form
AP-P (Continuation Form)

Table 1: DEADLINES FOR SUBMISSION OF REPORTS AND AMENDMENTS
REPORTS

APPLICABLE
FORMS

DUE DATES

Initial Report

AP-A, AP-B, AP-C and
relevant nuclear fuel cyclerelated activity forms
AP-A, AP-B, AP-C, and
relevant nuclear fuel cyclerelated activity forms
Form AP-Q

Supplemental
Information
Report

Forms AP-A, AP-B and APO, and any additional forms,
as instructed

January 31st if you commenced nuclear fuel cycle-related activities
during the previous calendar year and have not previously reported
activities to BIS.
January 31st of the year following any calendar year in which the
activities took place and there were changes to any previously reported
activities or information.
January 31st of the year following any calendar year in which the
activities took place and there were no changes to any previously
reported activities or information.
Within 15 working days of receiving notice from the NRC with a
request for information or additional information about activities
conducted at a location at your site.

Processing of
IAEA
SafeguardsTerminated
Waste Materials
Report
Export of
Specified
Equipment and
Non-Nuclear
Material Report
Import of
Specified
Equipment and
Non-Nuclear
Material
Confirmation
Report
Amended
Report

Forms AP-A, AP-B, and
AP-L

At least 210 days before processing begins on the IAEA safeguardsterminated waste material.

AP-A, AP-B, and AP-M

Within 15 days from the end of each quarter.
 April 15 (for January 1- March 31)
 July 15 (for April 1 – June 30)
 October 15 (for July 1 – September 30)
 January 15 (for October 1 – December 31)
Within 30 working days of receiving notice from the NRC with a
request for additional information pertaining to the import of specific
materials or equipment.

Annual Update
Report
No Changes
Report

AP-A, AP-B and AP-N

AP-A, AP-B, AP-C, and
any relevant nuclear fuel
cycle-related activity forms





30 calendar days after change in report information.
30 calendar days after change in company information.
30 calendar days after receipt of a post-complementary access
letter from NRC.

8

Section 3: U.S. Additional Protocol Report Forms and Instructions

9

FORM APPROVED: OMB NO. 0694-0135
Date Received
(Leave Blank)

U.S. DEPARTMENT OF COMMERCE
Bureau of Industry and Security
U.S. NUCLEAR REGULATORY COMMISSION
Office of Nuclear Materials Safety and Safeguards

ADDITIONAL PROTOCOL REPORT

FORM AP-A: CERTIFICATION
Provide the information requested below in Questions A.1 through A.6.
A.1 Company or Organization Name:
A.2

Mailing Address:
City:

State:

Zip Code:

Name of Report Point of Contact (R-POC):
A.3

R-POC’s Telephone Number:

ext.

R-POC’s Fax Number:
R-POC’s E-mail Address:
Type of Report (Check only one box)
 INITIAL REPORT: For Reporting Year (YYYY): _______________
 ANNUAL UPDATE REPORT: For Reporting Year (YYYY): __________
A.4

 PROCESSING OF IAEA SAFEGUARDS-TERMINATED WASTE MATERIAL REPORT
 EXPORT OF SPECIFIED EQUIPMENT & NON-NUCLEAR MATERIALS REPORT
 IMPORT OF SPECIFIED EQUIPMENT & NON-NUCLEAR MATERIALS CONFIRMATION
REPORT
 SUPPLEMENTAL INFORMATION REPORT
 AMENDED REPORT: For Reporting Year (YYYY): __________
Forms Submitted (State the number of forms (non-zero) for each of the following)

A.5

AP-B: ___ AP-C: ___

AP-D: ___ AP-E: ___ AP-F: ___ AP-G: ___ AP-H: ____

AP-I: ___ AP-J: ___ AP-K:___ AP-L: ___ AP-M: ___ AP-N: ___ AP-O: ___ AP-P: ___
CERTIFICATION
I hereby certify that I have reviewed the attached documents and that, to the best of my knowledge
and belief, the submitted information is true and complete.

Name and Title of Responsible Official (type or print):

A.6

Signature:

Date Signed (MM-DD-YYYY):

FORM AP-A: Certification
Reporting requirements are set forth in 10 CFR Parts 75 and 110 of
the U.S. Nuclear Regulatory Commission (NRC) Regulations.
INSTRUCTIONS:
This form must be submitted for the following types of reports:
Initial, Annual Update, Processing of IAEA Safeguards-Terminated
Material, Import Confirmation, Supplemental Information, or
Amended. Only NRC and Agreement State licensees with a site of
an IAEA-Selected Facility should submit Forms AP-A through APQ. All other NRC and Agreement State licensees where reportable
activities are conducted should use report Forms AP-1 through AP17. A separate certification form must be submitted for each site
with reportable activities.
Questions A.1 and A.2 Company or Organization Name and Mailing
Address: Provide the name of your company or organization and the
mailing address to which all general mailings will be sent.
Question A.3 Name of Report Point of Contact (R-POC) and Other
Requested Information: Designate an R-POC. The R-POC should be
a person whom the NRC or BIS may contact for the purposes of: (1)
clarification of information provided in the report; and (2) for general
information. The R-POC need not be the person who prepares the
forms or certifies the report, but should be familiar with the content
of the reports.
Question A.4 Type of Report: Check the box to indicate the type of
report that is being submitted and indicate the date or year for which
the information applies (where applicable). If submitting an
Amended Report, check the box for Amended Report and the boxes
for the reports for which you are submitting amendments.
INITIAL REPORT: A licensee with a site of an IAEA-Selected
Facility must report all relevant nuclear fuel cycle-related activities
that are active as of the date specified in the notification of reporting
requirements letter received from the NRC. If you have already
submitted an initial report and are adding a new activity at your site,
you should submit the information using the Annual Update report.
ANNUAL UPDATE REPORT: You must submit either an Annual
Update Report or a No Changes Report by January 31st, if, during the
previous calendar year, you continued to engage in nuclear fuel
cycle-related activities at a site for which you submitted an Initial
Report. Submit an Annual Update Report if you have updates or
changes to report concerning your site’s activities during the previous
calendar year. When preparing your Annual Update Report, you must
complete the same report forms that you used for submitting your
Initial Report on these activities. Additional report forms are
required if your site engaged in new reportable activities.
AMENDED REPORT: You must submit an Amended Report to
change or correct information in the last submitted report.
PROCESSING OF IAEA SAFEGUARDS-TERMINATED
WASTE MATERIAL REPORT: You must submit this form to
provide information, location, and dates for/of processing of waste
material on which IAEA safeguards was terminated.
EXPORT OF EQUIPMENT & NON-NUCLEAR MATERIAL
REPORT: You must submit this report quarterly to report the
export of any item listed in Supplement 3 of this Handbook.
Quarterly reports are due to BIS by April 15, July 15, October 15,
and January 15.
IMPORT OF EQUIPMENT & NON-NUCLEAR MATERIAL
CONFIRMATION REPORT: You must submit this report if you

receive a notice from the NRC with a request for import information.
SUPPLEMENTAL INFORMATION REPORT: If you are
contacted by the NRC with a request for new or additional
information about activities conducted at your site, you must submit a
Supplemental Information Report.
Question A.5 Forms Submitted: In the blank next to the form name
state the number of each form included in the report. All reports
must include Forms AP-A, AP-B, and AP-C, with the exception of a
No Changes Report, which only includes Form AP-Q. Submit the
applicable forms for each reportable activity conducted at your site:
Form
AP-B
AP-C
AP-D
AP-E
AP-F
AP-G
AP-H
AP-I
AP-J
AP-K
AP-L
AP-M
AP-N
AP-O
AP-P

Reportable Activities
Contact Information
Building Information
R&D with U.S. Government Involvement
R&D without U.S. Government Involvement
Manufacturing, Assembly, Construction Activities
Concentration Plant Operations
Holdings of Impure Source Materials
Imports and Exports of Impure Source Material
Holdings of IAEA Safeguards-Exempted Material
Location of IAEA Safeguards-Terminated Waste
Material
Processing of IAEA Safeguards-Terminated Waste
Material
Export of Equipment & Non-Nuclear Materials Report
Import of Equipment & Non-Nuclear Materials
Confirmation Report
Supplemental Information Report
Continuation Form

Question A.6 Certification: The report must be signed and dated by
a company or organization official who is authorized to certify the
accuracy and completeness of the information submitted. The
signature block must contain an original signature.

FORM APPROVED: OMB NO. 0694-0135
Date Received
(Leave Blank)

U.S. DEPARTMENT OF COMMERCE
Bureau of Industry and Security
U.S. NUCLEAR REGULATORY COMMISSION
Office of Nuclear Material Safety and Safeguards

ADDITIONAL PROTOCOL REPORT
FORM AP-B: CONTACT INFORMATION FOR THE SITE OF AN IAEASELECTED FACILITY
Submit this form to report information about the site where reportable activities are conducted. You must
submit this form for an Initial, Annual Update, Amended, Processing of IAEA Safeguards-Terminated
Waste, Export, Import Confirmation, or Supplemental Information Reports.
B.1
Site Name and Site Reporting Code (once assigned):
B.2

B.3

Site Information Reporting Status:
 New information
 Information with no changes
 Information with changes
Owner or Operator Name:
Telephone Number (24 hour):

B.4

B.5

Fax Number (24 hour):

Street Address:
City:
State:
Zip Code:
Provide the geographic coordinates for the site where the reportable activity(ies) take
place.
a. Latitude (Deg/Min/Sec/N):
b. Longitude (Deg/Min/Sec/W):

Designate an Access Point of Contact (A-POC) and at least one Alternate A-POC for complementary access
notifications involving this site.

B.6

Name of A-POC:
A-POC’s Primary Telephone Number:

ext.

A-POC’s Alternate Telephone Number:

ext.

A-POC’s Fax Number:
A-POC’s E-mail Address:
Name of Alternate A-POC:
B.7

B.8

B.9

Alt. A-POC’s Primary Telephone Number:

ext.

Alt. A-POC’s Alternate Telephone Number:
Alt. A-POC’s Fax Number:
Alt. A-POC’s E-mail Address:

ext.

Check this box to confirm that a site map, drawn to scale, is attached.
Check this box if a Continuation Form (Form AP-P) has been used to
provide additional information for any of the above questions.

FORM AP-B: Contact Information for the Site of an IAEA-Selected Facility
Reporting requirements are set forth in 10 CFR
Parts 75 and 110 of the U.S. Nuclear Regulatory
Commission (NRC) Regulations.

Latitude: 00(degree)/00(minutes)/00(seconds)/N
Longitude:
00(degree)/00(minutes)/00(seconds)/W

INSTRUCTIONS:
This form must be submitted for the following
types of reports: Initial, Annual Update,
Processing of IAEA Safeguards-Terminated
Material,
Export,
Import
Confirmation,
Supplemental Information or Amended.

Questions B.6 and B.7 Designation of an
Access Point of Contact (A-POC) and an
Alternate A-POC: Designate an A-POC and an
alternate A-POC for complementary access
notifications involving this site. The A-POC
should have sufficient authority to facilitate an
IAEA complementary access. The primary or
alternate telephone numbers provided for each
individual must be a number that is answered
either by a live operator or by the individual on a
24-hour basis. This number should not be
answered by an answering service or by voicemail. The NRC must be able to notify the APOC or Alternate A-POC immediately upon
receipt of an IAEA request for a complementary
access.

Question B.1 Site Name and Site Reporting
Code: Provide the name of your site. A unique
site code will be assigned and provided to you
after your Initial Report has been received by
BIS. The site reporting code must appear on all
future forms pertaining to this site.
Question B.2 Address Information Status:
Indicate the current reporting status by checking
the appropriate box (i.e., “New Information” to
report information for the first time,
“Information with no changes” or “Information
with changes” if a report for this activity was
previously submitted).
Question B.3 Owner or Operator Name and
Contact Information: Provide the name,
telephone and fax numbers of the site owner or
operator. The telephone number provided must
be a number that is answered either by a live
operator or individual on a 24-hour basis and the
fax number must be for a machine that is
checked regularly on a 24-hour basis. Please do
not provide numbers that are answered by an
answering service or by voice-mail. The NRC
must be able to notify the owner or operator
immediately upon receipt of an IAEA request
for complementary access.
Question B.4 Site Address: Provide the street
address for the main gate, visitor control center
or main office entrance for the site that would be
sufficient to permit an IAEA inspector to find
the site should the IAEA request complementary
access. DO NOT PROVIDE A POST OFFICE
BOX. Use Form AP-P as a continuation form, if
necessary.
Question B.5 Latitude and Longitude: Provide
the latitude and longitude for the center of the
site using the following formats:

Question B.8 Site Map Verification: Check the
box to confirm that a site map drawn to scale is
attached to your report. A site map must be
attached to your Initial Report, and should only
be attached to subsequent reports if there have
been changes to the site or buildings located on
the site.
Question B.9 Continuation Form: Check this
box if a Continuation Form, Form AP-P, has
been used to provide additional information for
any of the above questions.

FORM APPROVED: OMB NO. 0694-0135

U.S. DEPARTMENT OF COMMERCE
Bureau of Industry and Security

Date Received
(Leave Blank)

U.S. NUCLEAR REGULATORY COMMISSION
Office of Nuclear Materials Safety and Safeguards

ADDITIONAL PROTOCOL REPORT
FORM AP-C: BUILDING INFORMATION
Submit this form for every building on your site. A separate form must be completed for each building.
C.1
C.2
C.3

Site Reporting Code (Once assigned):
Building Name or Number (as it appears on the attached site map):
Building Reporting Status
 New Building
 Building with no changes
 Building with changes
 Removed Building

C.4

If applicable, provide the IAEA Facility Code(s) for operations that occur within the
building in the boxes below:

C.5

Number of Floors (include basements and sub-basements):
Provide the floor area (in square meters) for each floor of the building, starting from
the bottom of the building up (include basements and sub-basements):

C.6

Specify the current use of the building:
C.7

Specify all prior nuclear-related uses of the building (if any):
C.8

C.9

Check this box if a Continuation Form (Form AP-P) has been used to
provide additional information for any of the above questions.

FORM AP-C: Building Information
Reporting requirements are set forth in 10
CFR Parts 75 and 110 of the U.S. Nuclear
Regulatory Commission (NRC) Regulations.
INSTUCTIONS:
Submit a separate Form AP-C for each
building identified on the site map submitted
with Form AP-B.
Question C.1 Site Reporting Code: A site
reporting code will be assigned and provided
to you once your Initial Report has been
received by BIS. The site reporting code
must appear on all future forms pertaining to
this site.
Question C.2 Building Information:
Provide the name or number for the
building, as it appears on the site map
submitted with Form AP-B.
This
information will also be used to link the
building with the site map and with nuclearrelated activities, if any, that are performed
within and reported on other forms.
Question C.3 Building Reporting Status:
Indicate the current reporting status for the
building by checking the appropriate box
(i.e., “New Building” to report a building
that was added to the site since the previous
report, “Building with Changes” or
“Building with No Changes” if a report on
this building was previously submitted, and
“Removed Building” when a previously
reported building has been removed from
the site (e.g., demolition or relocation of
temporary structure/trailer).

Question C.4 IAEA Facility Code(s): If
applicable, provide the IAEA Facility
Code(s) for nuclear material operations that
occur within the building. Please enter only
one code per box.
Question C.5 Number of Floors: Provide
the number of floors that this building has,
including any basements or sub-basements.
Question C.6 Floor Area: Provide the floor
area (in square meters – one square meter
equals 10.76 square feet) for each floor of
the building, starting from the bottom floor
of the building and ending at the top floor
(begin with basements and sub-basements,
where applicable).
Question C.7 Current Use(s) of the
Building: Specify all current uses of the
building in general terms (e.g. laboratories,
cafeteria, etc.).
Question C.8 Prior Nuclear-Related Use(s)
of the Building: Specify all prior nuclearrelated uses of the building (e.g., research
laboratories, etc.).
Question C.9 Continuation Form: Check
this box if a Continuation Form, Form AP-P,
has been used to provide additional
information for any of the above questions.

FORM APPROVED: OMB NO. 0694-0135
Date Received
(Leave Blank)

U.S. DEPARTMENT OF COMMERCE
Bureau of Industry and Security
U.S. NUCLEAR REGULATORY COMMISSION
Office of Nuclear Materials Safety and Safeguards

ADDITIONAL PROTOCOL REPORT
FORM AP-D: NUCLEAR FUEL CYCLE-RELATED RESEARCH &
DEVELOPMENT (NOT INVOLVING NUCLEAR MATERIAL) WITH
U.S. GOVERNMENT INVOLVEMENT
Submit a separate form for each research & development (R&D) project at your site that is funded,
specifically authorized or controlled by, or carried out on behalf of the government of the United States.
D.1
Site Reporting Code (once assigned):
D.2
D.3

D.4

D.5

D.6

D.7

D.8

D.9

Project Number or ID:
Project Title:

Activity Reporting Status:
 New Activity
 Activity with no changes
 Activity with changes
 Ceased Activity
Identify building name(s)/number(s) (as it appears on the site map submitted with
Form AP-B), and any additional information that more precisely defines where the
reported activity occurs (e.g. room numbers):
Project Time Line: Start Date:_______ (Estimated) Project End Date:______________
Project Category (Fuel Cycle Stage):

Conversion of Nuclear Materials

Enrichment of Nuclear Materials:
Aerodynamic
Chemical/Ion Exchange
Electromagnetic
Gas Centrifuge
Gaseous Diffusion
Laser
Plasma Separation

Nuclear Fuel Fabrication

Critical Facilities

Nuclear Reactors

Spent Fuel Management Installations
 Reprocessing of Nuclear Fuel
 Processing of Intermediate or High-Level Waste Containing Pu, U-233 or HEU
Project Level (Check only one box):
Theoretical Analysis
Experiment
Demonstration
Feasibility Study

Briefly Describe the R&D Activities:

Conceptual Design
Prototype

Proof of Concept

FORM APPROVED: OMB NO. 0694-0135

FORM AP-D (CONT.): NUCLEAR FUEL CYCLE-RELATED RESEARCH &
DEVELOPMENT (NOT INVOLVING NUCLEAR MATERIAL) WITH U.S.
GOVERNMENT INVOLVEMENT
Briefly State the Project Objective:
D.10

Principal U.S. Government Agency Involved:

Department/Agency:
Nature of Involvement:
D.11

Street Address:
City:

State:

Zip Code:

Point of Contact (POC):
POC’s Telephone Number:

POC’s Fax Number:

Provide the name and location of all other sponsors and/or collaborators, both domestic and foreign, for this
R&D project. If applicable, provide additional information on Form AP-P.

Organization Name:
D.12.1

Street Address:
City:

State/Province:

Country:

State/Province:

Country:

State/Province:

Country:

Organization Name:
D.12.2

Street Address:
City:
Organization Name:

D.12.3

Street Address:
City:

D.13

 Check this box if a Continuation Form (AP-P) has been used to provide
additional information for any of the above questions.

FORM AP-D: Nuclear Fuel Cycle-Related R&D (Not Involving Nuclear Material) With
U.S. Government Involvement
Reporting requirements are set forth in 10 CFR
Parts 75 and 110 of the U.S. Nuclear Regulatory
Commission (NRC) Regulations.
INSTRUCTIONS:
Submit a separate Form AP-D for each
reportable nuclear fuel cycle-related R&D
activity not involving nuclear material at your
site that is funded by, authorized by, controlled
by, or carried out on behalf of the U.S.
Government.
Reportable R&D includes
technology development; safety related studies
and computer modeling that extends knowledge
resulting from theoretical or basic scientific
research into a nuclear fuel cycle-related
application are reportable activities. Reportable
R&D activities do not include theoretical or
basic scientific research; industrial radioisotope
applications; medical, hydrological, and
agricultural
applications;
health
and
environmental
effects;
or
improved
maintenance.
Question D.1 Site Reporting Code: A site code
will be assigned and reported to you once your
Initial report is received by BIS. The site
reporting code must appear on all future forms
pertaining to this site.
Questions D.2 and D.3 Project Number or ID
and Project Title: Provide the R&D project
number or ID assigned by project sponsor or
organization conducting the activity, and the
R&D project title.
Question D.4 Activity Reporting Status:
Indicate the current reporting status by checking
the appropriate box (i.e., “New Activity” to
report an activity for the first time, “Activity
with changes” or “Activity with no changes” if a
report for this activity was previously submitted,
or “Ceased Activity” for an activity that ended
during the reporting year and will not be
reported in future years). If the information
previously reported for this specific activity has
not changed, you are not required to complete
the rest of this form, instead check the “Activity
with no changes” box and submit along with
Forms AP-A, AP-B, AP-C, and any other
required activity forms.

Question D.5 Building Information: Provide
the name or number for the building, as it
appears on the site map submitted with Form
AP-B, and, if needed, room number(s) and any
additional information that more precisely
defines where the reported activity occurs. This
information will be used to link the building
with the nuclear-related activities that are
performed within.
Question D.6 Project Start and End Dates:
Provide start and end dates for this project.
Question D.7 Project Category (Fuel Cycle
Stage): Indicate the appropriate fuel cycle stage
category and, if applicable, sub-category
pertaining to this particular project by checking
the appropriate box. Each fuel cycle stage
category and subcategory identifies reportable
R&D activities. If there is a question about
whether or not certain information is reportable,
contact the NRC for clarification.
Question D.8 Project Level: Indicate the project
level that best describes the stage of
development of the technology in the R&D
project by checking the appropriate box.
Question D.9 Description of R&D Activities:
Briefly describe the work that is being
performed (e.g., design and testing of an
induction-coil nuclear fuel pellet sintering oven).
Where the work is part of a larger program,
please identify that larger program.
Question D.10 Project Objective: Briefly
describe the objective of the R&D project in the
space provided (e.g., design of a sintering oven
that meets a variety of specified temperature
control requirements).

Question D.11 Principal U.S. Government
Agency Involved: Identify the primary U.S.
Government department or agency that this
R&D project is funded by, authorized by,
controlled by, or conducted on behalf of, its
address and contact information for a point
of contact at the department or agency.

FORM AP-D: Nuclear Fuel Cycle-Related R&D (Not Involving Nuclear Material)
With U.S. Government Involvement (Continued)

Questions
D.12.x
Non-U.S.
Government sponsors:
Provide the
name and address of all non-U.S.
Government sponsors and collaborators
(both foreign and domestic) of the
program,
including
any
foreign
governments or organizations. If the site
is wholly or partially owned by a foreign
organization, that foreign organization
should also be listed. Use Form AP-P as

a continuation form for additional nonU.S.
Government
Sponsors
and
collaborators.
Question D.13 Continuation Form:
Check this box if a Continuation Form,
Form AP-P, has been used to provide
additional information for any of the
questions on Form AP-D.

FORM APPROVED: OMB NO. 0694-0135

U.S. DEPARTMENT OF COMMERCE
Bureau of Industry and Security

Date Received
(Leave Blank)

U.S. NUCLEAR REGULATORY COMMISSION
Office of Nuclear Materials Safety and Safeguards

ADDITIONAL PROTOCOL REPORT
FORM AP-E: NUCLEAR FUEL CYCLE-RELATED RESEARCH &
DEVELOPMENT (NOT INVOLVING NUCLEAR MATERIAL)
WITHOUT U.S. GOVERNMENT INVOLVMENT
Submit a separate form for each R&D project at your site that is not funded, specifically authorized or
controlled by, or carried out on behalf of the government of the United States.
E.1
Site Reporting Code (once assigned):
E.2
E.3

E.4

E.5

E.6

E.7

E.8

Project Number or ID:
Project Title:

Activity Reporting Status
 New activity
 Activity with no changes
 Activity with changes
 Ceased Activity
Identify building name(s)/number(s) (as it appears on the site map submitted with
Form AP-B), and any additional information that more precisely defines where the
reported activity occurs(e.g. room numbers):
Project Time Line: Start Date:____________ (Estimated) End Date: _____________
Project Category (Fuel Cycle Stage):
Enrichment of Nuclear Materials:
Aerodynamic
Chemical/Ion Exchange
Electromagnetic
Gas Centrifuge
Gaseous Diffusion
Laser
Plasma Separation
Reprocessing of Nuclear Fuel
Processing of Intermediate or High-Level Waste Containing Pu, U-233 or HEU
Project Level (Check only one box):
Theoretical Analysis
Demonstration

Experiment
Feasibility Study

Briefly Describe the R&D Activities:
E.9

Conceptual Design
Prototype

Proof of Concept

FORM APPROVED: OMB NO. 0694-0135

FORM AP-E (CONT.): NUCLEAR FUEL CYCLE-RELATED RESEARCH AND
DEVELOPMENT (NOT INVOLVING NUCLEAR
MATERIAL) WITHOUT U.S. GOVERNMENT INVOLVEMENT
E.10

Briefly State the Project Objective:

Provide the name and location of all sponsors and/or collaborators, both domestic and foreign, for this R&D
project. If applicable, provide additional information on Form AP-P.

Organization Name:
E.11.1

Street Address:
City:

State/Province:

Country:

State/Province:

Country:

State/Province:

Country:

Organization Name:
E.11.2

Street Address:
City:
Organization Name:

E.11.3

Street Address:
City:

E.12

Check this box if a Continuation Form (Form AP-P) has been used to provide
additional information for any of the above questions.

FORM AP-E: Nuclear Fuel Cycle-Related R&D (Not Involving Nuclear Material) Without
U.S. Government Involvement
Reporting requirements are set forth in 10 CFR
Parts 75 and 110 of the U.S. Nuclear Regulatory
Commission (NRC) Regulations.
INSTRUCTIONS:
Submit a separate Form AP-E for each
reportable nuclear fuel cycle-related research
and development (R&D) activity not involving
nuclear material at your site that is not funded
by, authorized by, controlled by, or carried out
on behalf of the U.S. Government. Reportable
R&D activities include those related to
enrichment of nuclear materials, reprocessing of
nuclear fuel, and processing of intermediate or
high-level waste containing Pu, U-233 or HEU,
that extend knowledge resulting from theoretical
or basic scientific research into a nuclear fuel
cycle-related application. Reportable R&D
activities do not include theoretical or basic
scientific research; industrial radioisotope
applications; medical, hydrological, and
agricultural
applications;
health
and
environmental
effects;
or
improved
maintenance.
Question E.1 Site Reporting Code: A site code
will be assigned and reported to you once your
Initial report is received by BIS. The site
reporting code must appear on all future forms
pertaining to this site.
Questions E.2 and E.3 Project Number or ID
and Project Title: Provide the R&D project
number or ID (internal identification label), and
the R&D project title (title assigned by sponsor
or internal title).
Question E.4 Activity Reporting Status:
Indicate the current reporting status by checking
the appropriate box (i.e., “New Activity” to
report an activity for the first time, “Activity
with changes” or “Activity with no changes” if a
report for this activity was previously submitted,
or “Ceased Activity” for an activity that ended
during the reporting year and will not be
reported in future years). If the information
previously reported for this specific activity has
not changed, you are not required to complete
the rest of the form, instead check the “Activity
with no changes” box and submit along with
Forms AP-A, AP-B, AP-C and any other
required activity forms.

Question E.5 Building Information: Provide
the name or number for the building, as it
appears on the site map submitted with Form
AP-B, and, if needed, room number(s) and any
additional information that more precisely
defines where the reported activity occurs. This
information will be used to link the building
with the nuclear-related activities that are
performed within.
Question E.6 Project Time Line: Provide start
and projected end dates for this project.
Question E.7 Project Category (Fuel Cycle
Stage): Indicate the appropriate fuel cycle stage
category and, if applicable, sub-category
pertaining to this particular project by checking
the appropriate box. Each fuel cycle stage
category and subcategory identifies reportable
R&D activities. If there is a question about
whether or not certain information is reportable,
contact the NRC for clarification.
Question E.8 Project Level: Indicate the project
level that best describes the stage of
development of the technology in the R&D
project by checking the appropriate box.
Question E.9 Description of R&D Activities:
Briefly describe the work that is being
performed (e.g. design and testing of gas
centrifuge internal components). Where the
work is part of a larger program, please identify
that larger program.
Question E.10 Project Objective:
Briefly
describe the objective of the R&D project in the
space provided (e.g., design of the most efficient
product scoop).

FORM AP-E: Nuclear Fuel Cycle-Related Research and Development (Not Involving
Nuclear Material) without U.S. Government Involvement (Continued)

Questions E.11.x Non-U.S. Government
Sponsors: Provide the name and address of
all non-U.S. Government sponsors and
collaborators (both foreign and domestic) of
the program, including any foreign
governments or organizations.
If this
location is wholly or partially owned by a
foreign
organization,
that
foreign
organization should also be listed. If this
R&D project is funded by, authorized by,
controlled by, or carried out on behalf of the

U.S. Government, use Form AP-D to report
this project instead of this form (Form APE). Use Form AP-P as a continuation form
for additional non-U.S. Government
sponsors and collaborators.
Question E.12 Continuation Form: Check
this box if a Continuation Form, Form AP-P,
has been used to provide additional
information for any of the questions on
Form AP-E.

FORM APPROVED: OMB NO. 0694-0135

U.S. DEPARTMENT OF COMMERCE
Bureau of Industry and Security

Date Received
(Leave Blank)

U.S. NUCLEAR REGULATORY COMMISSION
Office of Nuclear Materials Safety and Safeguards

ADDITIONAL PROTOCOL REPORT
FORM AP-F: NUCLEAR-RELATED MANUFACTURING, ASSEMBLY
OR CONSTRUCTION ACTIVITIES
Submit a separate form for each nuclear-related manufacturing, assembly or construction activity at your
site.
F.1
Site Reporting Code (once assigned):
F.2

Activity Code (Select the proper code from the list below):
Activity Code
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15

F.3

F.4

Nuclear-Related Manufacturing and Assembly Activities
Manufacture of certain centrifuge rotor tubes or the assembly of gas centrifuges
Manufacture of certain diffusion barriers
Manufacture or assembly of certain laser-based systems
Manufacture or assembly of certain electromagnetic isotope separators
Manufacture or assembly of certain columns or extraction equipment
Manufacture of certain aerodynamic separation nozzles or vortex tubes
Manufacture or assembly of certain uranium plasma generation systems
Manufacture of certain zirconium tubes
Manufacture or upgrading of heavy water or upgrading of deuterium
Manufacture of nuclear grade graphite
Manufacture of flasks (e.g., transport or storage containers) for irradiated fuel
Manufacture of reactor control rods
Manufacture of certain critically safe tanks and vessels
Manufacture of irradiated fuel element chopping machines
Construction of certain types of hot cells

Activity Reporting Status
 New activity
 Activity with no changes
 Activity with changes
 Ceased Activity
Identify building name(s)/number(s) (as it appears on the site map submitted with
Form AP-B), and any additional information that more precisely defines where the
reported activity occurs(e.g. room numbers):

F.5

Approximate annual production for the
past calendar year :

F.6

Check this box if a Continuation Form (Form AP-P) has been used to provide
additional information for any of the above questions.

 Items

 Kg

FORM AP-F: Nuclear-Related Manufacturing, Assembly or Construction Activities
Reporting requirements are set forth in 10
CFR Parts 75 and 110 of the U.S. Nuclear
Regulatory Commission (NRC) Regulations.
INSTRUCTIONS:
Submit a separate Form AP-F for each
nuclear-related manufacturing, assembly or
construction activity on the site. These
activities are listed and further defined in
Supplement 2 of the Additional Protocol
Handbook.
Question F.1 Site Reporting Code: A site
code will be assigned to your site by BIS
once your Initial report is received. Your
site’s code will be communicated to you by
the NRC. The site reporting code must
appear on all future forms pertaining to this
site.
Question F.2 Activity Code: Review the 15
activities listed in the chart, and enter the
proper code for your activity.
These
activities are further defined in Supplement
2 of the Reporting Handbook.
Question F.3 Activity Reporting Status:
Indicate the current reporting status by
checking the appropriate box (i.e., “New
Activity” to report an activity for the first
time, “Activity with changes” or “Activity
with no changes” if a report for this activity
was previously submitted, or “Ceased
Activity” for an activity that ended during
the reporting year and will not be reported in
future years). If the information previously
reported for this specific activity has not
changed, you are not required to complete
the rest of this form, instead check the
“Activity with no changes” box and submit
along with Forms AP-A, AP-B and any
other required activity forms.

Question F.4 Building Information:
Provide the name or number for the
building, as it appears on the site map
submitted with Form AP-B, and, if needed,
room number(s) and any additional
information that more precisely defines
where the reported activity occurs. This
information will be used to link the building
with the nuclear-related activities that are
performed within.
Questions F.5 List of Manufacturing,
Assembly or Construction Activities and
Codes: Provide the approximate annual
production of the manufacturing/ assembly/
construction process associated with the
Activity Code you entered for Question F.2
in either units (e.g., items) or weight (i.e.,
kilograms), whichever is more meaningful,
rounded to the nearest ten if the amount is
more than 10 but less than 1000 items or
kilograms (e.g., 27 to 30, 148 to 150, etc.).
Round to the nearest two significant figures
if 1000 or more items or kilograms (e.g.
1525 to 1500, 15782 to 16000, etc). If the
amount is less than 10 items or kilograms
report that exact number (e.g., 2, 4, 8, etc.).
Check the appropriate box to indicate items
or weight as the unit of measure for the
production number being reported. If several
manufacturing, assembly or construction
activities are conducted at this address,
submit a separate Form AP-F for each
activity.
Question F.6 Continuation Form: Check
this box if a Continuation Form, Form AP-P,
has been used to provide additional
information for any of the above questions.

FORM APPROVED: OMB NO. 0694-0135

U.S. DEPARTMENT OF COMMERCE
Bureau of Industry and Security

Date Received
(Leave Blank)

U.S. NUCLEAR REGULATORY COMMISSION
Office of Nuclear Materials Safety and Safeguards

ADDITIONAL PROTOCOL REPORT
FORM AP-G: CONCENTRATION PLANT OPERATIONS
Submit a separate form for each concentration plant.
G.1
G.2

G.3

Site Reporting Code (once assigned):
Activity Reporting Status
 New activity
 Activity with no changes
 Activity with changes
 Ceased Activity
Identify building name(s)/number(s) (as it appears on the site map submitted with
Form AP-B), and any additional information that more precisely defines where the
reported activity occurs(e.g. room numbers):

Concentration Plant Type:
G.4

Conventional Mill
-product plant
-situ Leach Mine

Operational Status:
Operating
G.5

Closed-down
Decommissioned
Annual Elemental Uranium Production Capacity (in metric tons):
G.6

Actual Annual Production (in metric tons):
Annual Elemental Thorium Production Capacity (in metric tons):

G.7
G.8

Actual Annual Production (in metric tons):
Check this box if a Continuation Form (Form AP-P) has been used to provide
additional information for any of the above questions.

FORM AP-G: Concentration Plant Operations
Reporting requirements are set forth in 10
CFR Parts 75 and 110 of the U.S. Nuclear
Regulatory Commission (NRC) Regulations.
INSTRUCTIONS:
Submit a separate Form AP-G for each
concentration plant at your site where
uranium and/or thorium is processed or
produced. A concentration plant is where
uranium and/or thorium are chemically
concentrated from ore or by-product
materials into a form for further processing.
Question G.1 Site Reporting Code: A site
code will be assigned and reported to you
once your Initial Report is received by BIS.
The site reporting code must appear on all
future forms pertaining to this site.
Question G.2 Activity Reporting Status:
Indicate the current reporting status by
checking the appropriate box (i.e., “New
Activity” to report an activity for the first
time, “Activity with changes” or “Activity
with no changes” if a report for this activity
was previously submitted, or “Ceased
Activity” for an activity that ended during
the reporting year and will not be reported in
future years). If the information previously
reported for this specific activity has not
changed, you are not required to complete
the rest of this form, instead check the
“Activity with no changes” box and submit
along with Forms AP-A, AP-B, AP-C and
any other required activity forms.
Question G.3 Building Information:
Provide the name or number for the
building, as it appears on the site map
submitted with Form AP-B, and, if needed,
room number(s) and any additional
information that more precisely defines
where the reported activity occurs. This
information will be used to link the building
with the nuclear-related activities that are
performed within. Satellite extraction

facilities should be reported separately from
centralized processing facilities.
Question G.4 Concentration Plant Type:
For each concentration plant where uranium
or thorium is processed or produced, check
the appropriate box to indicate whether it is
a conventional mill, a phosphate or other ore
by-product plant, or an in-situ leach mine. If
none of these options is applicable for your
concentration plant, select the box labeled
“Other Concentration Plant”, and provide an
accurate description of your concentration
plant in the space provided.
Question G.5 Operational Status: Check the
appropriate box to indicate the current
operational status of the concentration plant:
“Operating” for plant producing ore in any
quantity, “Closed-down” for plant not
operating but not fully decommissioned, and
“Decommissioned”.
Note: “Decommissioned” plant is reported
only once.
Questions G.6 and G.7 Production
Capacity: Provide the estimated annual
production capacity of elemental uranium
and/or thorium at the concentration plant in
metric tons, rounded to the nearest ten if the
amount is more than 10 but less than 1000
metric tons (e.g., 27 to 30, 148 to 150, etc.).
Round to the nearest two significant figures
if 1000 or more metric tons (e.g., 1525 to
1500, 15782 to 16000, etc.). If the amount is
less than 10 metric tons report that exact
number (e.g., 2, 4, 8, etc.). Also provide the
actual annual production during the
reporting period, rounded up to the nearest
ten percent. Closed-down plants have a
production capacity of zero.
Question G.8 Continuation Form: Check
this box if a Continuation Form, Form AP-P,
has been used to provide additional
information for any of the above questions.

FORM APPROVED: OMB NO. 0694-0135

U.S. DEPARTMENT OF COMMERCE
Bureau of Industry and Security

Date Received
(Leave Blank)

U.S. NUCLEAR REGULATORY COMMISSION
Office of Nuclear Materials Safety and Safeguards

ADDITIONAL PROTOCOL REPORT

H.1
H.2

FORM AP-H: HOLDINGS OF IMPURE
SOURCE MATERIALS
Site Reporting Code (once assigned):
Activity Reporting Status
 New activity
 Activity with no changes
 Activity with changes
 Ceased Activity

If you possess one or more metric tons of impure uranium, thorium, or a combination of both, provide the
following for each chemical form of impure uranium or thorium at the site.
a. Chemical
b. Quantity on Hand
c. Use or Intended
d. Intended Use Description
H.3.1
Form:
(in metric tons):
Use:
Nuclear
Non-nuclear
e. Identify building name(s)/number(s) (as it appears on the site map submitted with Form AP-B), and
any additional information that more precisely defines where the impure uranium or thorium is held(e.g.
room numbers):

H.3.2

a. Chemical
Form:

b. Quantity on Hand
(in metric tons):

c. Use or Intended
Use:
Nuclear
Non-nuclear

d. Intended Use Description

e. Identify building name(s)/number(s) (as it appears on the site map submitted with Form AP-B), and
any additional information that more precisely defines where the impure uranium or thorium is held(e.g.
room numbers):

H.3.3

a. Chemical
Form:

b. Quantity on Hand
(in metric tons):

c. Use or Intended
Use:
Nuclear
Non-nuclear

d. Intended Use Description

e. Identify building name(s)/number(s) (as it appears on the site map submitted with Form AP-B), and
any additional information that more precisely defines where the impure uranium or thorium is held(e.g.
room numbers):

H.3.4

H.4

a. Chemical
Form:

b. Quantity on Hand
(in metric tons):

c. Use or Intended
d. Intended Use Description
Use:
Nuclear
Non-nuclear
e. Identify building name(s)/number(s) (as it appears on the site map submitted with Form AP-B), and
any additional information that more precisely defines where the impure uranium or thorium is held(e.g.
room numbers):

Check this box if a Continuation Form (Form AP-P) has been used to provide
additional information for any of the above questions.

FORM AP-H: Holdings of Impure Source Materials
Reporting requirements are set forth in 10
CFR Parts 75 and 110 of the U.S. Nuclear
Regulatory Commission (NRC) Regulations.
INSTRUCTIONS:
Submit Form AP-H if one or more metric tons
of uranium, thorium, or a combination of both,
which has not reached the composition and
purity suitable for fuel fabrication or for being
isotopically enriched, is present at your site.
Impure source material includes ore
concentrates produced by concentration plants
(e.g., uranium mills, in-situ leach mines, and
ore by-product plants, etc.), intermediate
products resulting from further processing of
this material, or any other materials resulting
from ore processing with a concentration
greater than 0.05% uranium or thorium. There
is no requirement to report information on
impure source material once it is in a nonnuclear end-use form.
Question H.1 Site Reporting Code: A site
code will be assigned and reported to you once
your Initial report is received by BIS. The site
reporting code must appear on all future forms
pertaining to this site.
Question H.2 Activity Reporting Status:
Indicate the current reporting status by
checking the appropriate box (i.e., “New
Activity” to report an activity for the first
time, “Activity with changes” or “Activity
with no changes” if a report for this activity
was previously submitted, or “Ceased
Activity” for an activity that ended during the
reporting year and will not be reported in
future years). If the information previously
reported for this specific activity has not
changed, you are not required to complete the
rest of this form, instead check the “Activity
with no changes” box and submit along with
Forms AP-A, AP-B, AP-C, and any other
required activity forms.

Questions H.3.x Source Material Information:
Complete a separate Question H.3.x. for each
chemical form of source material.

a) Chemical Form: Provide the chemical
name or molecular formula for the
source
material
(e.g.,
ThO2,
ammonium diuranate, U3O8, uranyl
carbonate, etc.).
b) Quantity on Hand (MT): Provide the
quantity of source material (in metric
tons of elemental U or Th) present at
your site as of the date specified in the
notification of reporting requirements
letter received from the NRC, if you
are submitting an Initial Report. If
submitting an Initial Report after the
collection date specified, or an Annual
Update Report, provide the quantity of
source material present at your site as
of the preceding December 31 in
metric tons.
c) Intended Use: Check the box to
indicate whether the end-use of the
source material will be nuclear or nonnuclear.
d) Intended Use Description: Provide a
brief description of the end-use of the
source material, whether nuclear or
non-nuclear (e.g., ceramics, electronic
components, or conversion for
uranium enrichment).
e) Building Information: Provide the
name or number for the building, as it
appears on the site map submitted with
Form AP-B, and, if needed, room
number(s)
and
any
additional
information that more precisely
defines where the impure uranium or
thorium is held.
Question H.4 Continuation Form: Check this
box if a Continuation Form, Form AP-P, has
been used to provide additional information
for any of the above questions.

FORM APPROVED: OMB NO. 0694-0135

U.S. DEPARTMENT OF COMMERCE
Bureau of Industry and Security

Date Received
(Leave Blank)

U.S. NUCLEAR REGULATORY COMMISSION
Office of Nuclear Materials Safety and Safeguards

ADDITIONAL PROTOCOL REPORT
FORM AP-I: IMPORTS AND EXPORTS OF IMPURE SOURCE
MATERIAL
Submit this form to report imports and exports of impure source material for non-nuclear end-use purposes.
If applicable, provide information on additional imports and exports on Form AP-O.
I.1
Site Reporting Code (once assigned):
I.2

Identify building name(s)/number(s) (as it appears on the site map submitted with
Form AP-B), and any additional information that more precisely defines where the
impure source material is or was located (e.g. room numbers):

I.3.1

Identify Imports of Impure Source Material:
Chemical Form:

I.3.2

Quantity (in metric tons):

Date Imported (mm/dd/yyyy):

Exporting Country:

Intended Use:
Chemical Form:
I.3.3

Quantity (in metric tons):

Date Imported (mm/dd/yyyy):

Exporting Country:

Intended Use:

I.4

Identify Exports of Impure Source Material:
Chemical Form:

I.4.1

Date Exported (mm/dd/yyyy):

Quantity (in metric tons):
Importing Country:

Intended Use:
Chemical Form:
I.4.2

Date Exported (mm/dd/yyyy):

Quantity (in metric tons):
Importing Country:

Intended Use:

I.5

Check this box if a Continuation Form (Form AP-P) has been used to provide
additional information for any of the above questions.

FORM AP-I: IMPORTS AND EXPORTS OF IMPURE SOURCE MATERIAL
Reporting requirements are set forth in 10
CFR Parts 75 and 110 of the U.S. Nuclear
Regulatory Commission (NRC) Regulations.
INSTRUCTIONS:
Submit Form AP-I for each import and
export of one or more metric tons of impure
uranium or thorium, which has not reached
the composition and purity suitable for fuel
fabrication or for being isotopically enriched
that is to be used for non-nuclear end-use
purposes. The provision of this information
does not require detailed nuclear material
accountancy.
Question I.1 Site Reporting Code: A site
code will be assigned and reported to you
once your Initial Report is received by BIS.
The site reporting code must appear on all
future forms pertaining to this site.
Question I.2 Building Information: Provide
the name or number for the building, as it
appears on the site map submitted with
Form AP-B, and, if needed, room number(s)
and any additional information that more
precisely defines where the material is or
was located.
Questions I.3.x Information on Imported
Impure Source Material: Provide the
chemical name or formula and the quantity
being imported (in metric tons U or Th) for
the impure source material. Also provide the
date the material was imported, the country
that exported the material, and the intended
use of the material. Information for each
import shipment of material separated by
chemical form (e.g., ThO2, ammonium
diuranate, U3O8, or uranyl carbonate, etc.)
and date of arrival should be entered in a
separate Question I.2.x. Use Form AP-P to
provide information on additional imports.
Questions I.4.x Information on Exported
Impure Source Material:
Provide the
chemical name or formula and the quantity

being exported (in metric tons U or Th) for
the impure source material. Also provide the
date the material was exported, the country
that imported the material, and the intended
use of the material. Information for each
export shipment of material separated by
chemical name/molecular formula (e.g.,
ThO2, ammonium diuranate, U3O8, uranyl
carbonate, etc.) and date of export should be
entered in a separate Question I.4.x. Use
Form AP-P to provide information on
additional exports.
Question I.5 Continuation Form: Check
this box if a Continuation Form, Form AP-P,
has been used to provide additional
information for any of the above questions.

FORM APPROVED: OMB NO. 0694-0135

U.S. DEPARTMENT OF COMMERCE
Bureau of Industry and Security

Date Received
(Leave Blank)

U.S. NUCLEAR REGULATORY COMMISSION
Office of Nuclear Materials Safety and Safeguards

ADDITIONAL PROTOCOL REPORT
FORM AP-J: HOLDINGS OF IAEA SAFEGUARDS-EXEMPTED
MATERIAL
Submit a separate form to report quantities of each nuclear material held at your site that were exempted
under the U.S. – IAEA Safeguards Agreement.
J.1
Site Reporting Code (once assigned):
J.2

J.3

Activity Reporting Status
 New activity
 Activity with no changes
 Activity with changes
 Ceased Activity
Identify building name(s)/number(s) (as it appears on the site map submitted with
Form AP-B), and any additional information that more precisely defines where the
exempted materials are held(e.g. room numbers):

IAEA Safeguards-Exempted Material on hand (Check One):
Thorium

Plutonium

Natural or Depleted Uranium

J.4

– Isotope Percent:

U-233: _______

U-235:________

Quantity on Hand (g):
J.5

Intended Use:

Intended Use Description:

Nuclear
Non-nuclear
J.6

Check this box if a Continuation Form (Form AP-P) has been used to provide
additional information for any of the above questions.

FORM AP-J: Holdings of IAEA Safeguards-Exempted Material
Reporting requirements are set forth in 10
CFR Parts 75 and 110 of the U.S. Nuclear
Regulatory Commission (NRC) Regulations.
INSTRUCTIONS:
Submit a separate Form AP-J to report
quantities of each nuclear material held at
your site that were exempted under the U.S.IAEA Safeguards Agreement. The NRC
will inform those licensees who possess
exempted quantities of nuclear materials of
their obligation to report their holdings.
Question J.1 Site Reporting Code: A site
code will be assigned and reported to you
once your Initial Report is received by BIS.
The site reporting code must appear on all
future forms pertaining to this site.
Question J.2 Activity Reporting Status:
Indicate the current reporting status by
checking the appropriate box (i.e., “New
Activity” to report an activity for the first
time, “Activity with changes” or “Activity
with no changes” if a report for this activity
was previously submitted, or “Ceased
Activity” for an activity that ended during
the reporting year and will not be reported in
future years). If the information previously
reported for this specific activity has not
changed, you are not required to complete
the rest of this form, instead check the
“Activity with no changes” box and submit
along with Forms AP-A, AP-B, AP-C, and
any other required activity forms.
Question J.3 Building Information: Provide
the name or number for the building, as it
appears on the site map submitted with
Form AP-B, and, if needed, room number(s)
and any additional information that more
precisely defines where the IAEA
Safeguards-Exempted materials are held.
Question J.4 IAEA Safeguards-Exempted
Material On-Hand: Check the box beside the
nuclear material, if it is present at your site

as of or after the date specified in the
notification of reporting requirements letter
you received from NRC. If you have
holdings of more than one type of IAEA
Safeguards-Exempted nuclear material
submit a separate form for each material
held at your site. If you have holdings of
enriched uranium, please provide the isotope
percentage of U-233 or U-235 in the spaces
provided. If multiple enrichments of
uranium are present, provide the information
on those materials on Form AP-P.
Question J.5 Quantity and Intended Use:
Provide the quantity of IAEA Safeguardsexempted material in grams, indicate
whether the intended end-use of the material
is nuclear or non-nuclear, and provide a
brief description of the end-use.
Question J.8 Continuation Form: Check
this box if a Continuation Form, Form AP-P,
has been used to provide additional
information for any of the above questions.

FORM APPROVED: OMB NO. 0694-0135

U.S. DEPARTMENT OF COMMERCE
Bureau of Industry and Security

Date Received
(Leave Blank)

U.S. NUCLEAR REGULATORY COMMISSION
Office of Nuclear Materials Safety and Safeguards

ADDITIONAL PROTOCOL REPORT
FORM AP-K: LOCATION OF IAEA SAFEGUARDS-TERMINATED
WASTE MATERIAL
Submit this form to report holdings of or changes in location of material on which IAEA Safeguards have
terminated. A separate form should be submitted for each type of material held or moved.
K.1
Site Reporting Code (once assigned):
K.2

K.3

Activity Reporting Status
 New activity
 Activity with no changes
 Activity with changes
 Ceased Activity
Identify building name(s)/number(s) (as it appears on the site map submitted with
Form AP-B), and any additional information that more precisely defines where the
IAEA Safeguards-Terminated material is currently located(e.g. room numbers):
Waste Type Prior to Conditioning:

K.4

K.5

K.6

Conditioned Form:

Quantity:

Units:

Qty Pu (g):
Qty HEU (g):
Qty U-233 (g):
Prior Location:
Identify building name(s)/number(s) (as it appears on the site map submitted with
Form AP-B), and any additional information that more precisely defines the prior
location on your site of the IAEA Safeguards-Terminated material(e.g. room numbers):

OR
Identify the address of the prior location, if previously located at a different address:
Street Address:

City:

K.7

State:

Zip Code:

Check this box if a Continuation Form (Form AP-P) has been used to provide
additional information for any of the above questions.

FORM AP-K: Location of IAEA Safeguards-Terminated Material
Reporting requirements are set forth in 10
CFR Parts 75 and 110 of the U.S. Nuclear
Regulatory Commission (NRC) Regulations.
INSTRUCTIONS:
Submit Form AP-K to report holdings of or
changes in location of material on which
IAEA Safeguards have terminated. If
reporting holdings of this type of material,
complete Questions K.1 through K.3. If
reporting a change of location in this type of
material, complete Questions K.1 through
K.5. A separate form AP-K should be
submitted for each type of material that is
held or moved.
Question K.1 Site Reporting Code: A site
code will be assigned and reported to you
once your Initial Report is received by BIS.
The site reporting code must appear on all
future forms pertaining to this site.
Question K.2 Activity Reporting Status:
Indicate the current reporting status by
checking the appropriate box (i.e., “New
Activity” to report an activity for the first
time, “Activity with changes” or “Activity
with no changes” if a report for this activity
was previously submitted, or “Ceased
Activity” for an activity that ended during
the reporting year and will not be reported in
future years). If the information previously
reported for this specific activity has not
changed, you are not required to complete
the rest of this form, instead check the
“Activity with no changes” box and submit
along with Forms AP-A, AP-B, AP-C, and
any other required activity forms.
Question K.3 Building Information:
Provide the name or number for the
building, as it appears on the site map

submitted with Form AP-B, and, if needed,
room number(s) and any additional
information that more precisely defines
where the IAEA Safeguards-Terminated
material is currently located.
Question K.4 Description of IAEA
Safeguards-Terminated Material: Describe
what type of waste the material currently at
your location was prior to its conversion to
its IAEA Safeguards-Terminated form.
Provide the form that this conditioned
material is in now (e.g., vitrified waste or
cemented waste), and the quantity and units
(e.g., canisters, drums, etc.) of material
present at your site. Round to the nearest ten
if the amount is more than 10 but less than
1000 (e.g., 27 to 30, 148 to 150). Round to
the nearest 2 significant figures if 1000 or
more (e.g., 1525 to 1500, 15782 to 16000,
etc.). Also provide the amount of plutonium,
highly enriched uranium, and/or uranium233 present in this material in grams.
Questions K.5 and K.6 Prior Location of
IAEA Safeguards-Terminated Material: If
the IAEA Safeguards-Terminated material
was previously located in another building
on your site, provide the appropriate
building information in Question K.4 and
leave the address in K.6 blank. If the
material was previously located off-site,
provide the address for the prior location of
this material in the space provided in K.6.
Questions K.7 Continuation Form: Check
this box if a Continuation Form, Form AP-P,
has been used to provide additional
information for any of the above questions.

FORM APPROVED: OMB NO. 0694-0135

U.S. DEPARTMENT OF COMMERCE
Bureau of Industry and Security

Date Received
(Leave Blank)

U.S. NUCLEAR REGULATORY COMMISSION
Office of Nuclear Materials Safety and Safeguards

ADDITIONAL PROTOCOL REPORT
FORM AP-L: PROCESSING OF IAEA SAFEGUARDS-TERMINATED
MATERIAL
Submit this form to provide notice of intent to process material on which IAEA Safeguards have terminated.
This form must be submitted at least 210 days prior to such processing.
L.1
Site Reporting Code (once assigned):

L.2

L.3

Activity Reporting Status
 New activity
 Activity with no changes
 Activity with changes
 Ceased Activity
Identify building name(s)/number(s) (as it appears on the site map submitted with
Form AP-B), and any additional information that more precisely defines where the
IAEA Safeguards-Terminated material will be processed (e.g. room numbers):

Waste Type Prior to Conditioning:
L.4

Conditioned Form:

Quantity:

Qty Pu (g):
Qty HEU (g):
Processing Dates (mm/dd/yyyy):
L.5

L.6

From:
Processing Purpose:

Units:
Qty U-233 (g):

To:

Check this box if a Continuation Form (Form AP-P) has been used to provide
additional information for any of the above questions.

FORM AP-L: Processing of IAEA Safeguards-Terminated Material
Reporting requirements are set forth in 10
CFR Parts 75 and 110 of the U.S. Nuclear
Regulatory Commission (NRC) Regulations.
INSTRUCTIONS:
Submit Form AP-L to provide notice of
intent to process material on which IAEA
Safeguards have terminated. This form
must be submitted at least 210 days prior to
such processing.
Question L.1 Site Reporting Code: A site
code will be assigned and reported to you
once your Initial Report is received by BIS.
The site reporting code must appear on all
future forms pertaining to this site.
Question L.2 Activity Reporting Status:
Indicate the current reporting status by
checking the appropriate box (i.e., “New
Activity” to report an activity for the first
time, “Activity with changes” or “Activity
with no changes” if a report for this activity
was previously submitted, or “Ceased
Activity” for an activity that ended during
the reporting year and will not be reported in
future years). If the information previously
reported for this specific activity has not
changed, you are not required to complete
the rest of this form, instead check the
“Activity with no changes” box and submit
along with Forms AP-A, AP-B, AP-C, and
any other required activity forms.
Question L.3 Building Information:
Provide the name or number for the
building, as it appears on the site map
submitted with Form AP-B, and, if needed,
room number(s) and any additional
information that more precisely defines
where the IAEA Safeguards-Terminated
waste material will be processed.
Question L.4 Description of IAEA
Safeguards-Terminated Waste Material:
Describe what type of waste the material
currently at your location was prior to its

conversion to its IAEA safeguardsterminated form. Provide the form that this
conditioned material is in now (e.g., vitrified
waste or cemented waste), and the quantity
and units (e.g., canisters, drums, etc.) of
material present at your site. Round to the
nearest ten if the amount is more than 10 but
less than 1000 (e.g., 27 to 30, 148 to 150).
Round to the nearest 2 significant figures if
1000 or more (e.g., 1525 to 1500, 15782 to
16000, etc.). Also provide the amount of
plutonium, highly enriched uranium, and/or
uranium-233 present in this material in
grams.
Question L.5 Intended Dates for Processing
of IAEA Safeguards-Terminated Waste
Material: Provide the intended beginning
and ending dates for processing of the IAEA
Safeguards-Terminated waste material in
mm/dd/yyyy format, and also describe the
purpose of this processing. Note that this
Form AP-L must be submitted to BIS at
least 210 days prior to the intended
processing start date.
Questions L.6 Continuation Form: Check
this box if a Continuation Form, Form AP-P,
has been used to provide additional
information for any of the above questions.

FORM APPROVED: OMB NO. 0694-0135

U.S. DEPARTMENT OF COMMERCE
Bureau of Industry and Security

Date Received
(Leave Blank)

U.S. NUCLEAR REGULATORY COMMISSION
Office of Nuclear Material Safety and Safeguards

ADDITIONAL PROTOCOL REPORT
FORM AP-M: EXPORT OF EQUIPMENT AND NON- NUCLEAR
MATERIALS
Submit a separate form for each export of specified equipment or non-nuclear material listed in Supplement
3 of this Handbook from your site.
M.1
Site Reporting Code (once assigned):
M.2

Annex II reference number:
Identify the Exported Item:
Item Dimensions:
Capacity (Volume):
Throughput:

M.3

Material of Construction:
Serial or Model Number(s):
Name and address of manufacturer:

Key Specifications of non-nuclear material:
Any additional information that will help identify the item:
M.4

 Items

Quantity exported:

 Kg

 Tons

Name of importing company or organization:

Street Address:

City:

M.5

Province:

M.6

M.7

Country:

Postal Code:

Date of Export (mm-dd-yyyy):
Check this box if a Continuation Form (Form AP-P) has been used to provide
additional information for any of the above questions.

FORM AP-M: Exports of Specified Equipment and Non-Nuclear Material
dimensions,
capacity
(volume),
Reporting requirements are set forth in
throughput, material of construction,
10 CFR Parts 75 and 110 of the U.S.
identification or serial numbers, name
Nuclear Regulatory Commission (NRC)
and address of the manufacturer, key
Regulations.
specifications of non-nuclear material,
and any other information that will help
identify the item(s) ) including units on
INSTRUCTIONS:
Submit a separate Form AP-M for each
all measurements.
export of specified equipment or nonnuclear material from your site. These
Question M.4 Quantity Exported:
items are listed in Supplement 3 of this
Provide the quantity of the item
handbook. The export report must be
exported. In the case of equipment, the
submitted to the IAEA quarterly and are
quantity should indicate the number of
due to BIS within 15 days of the end of
items. In the case of exports of noneach calendar quarter. Export reports are
nuclear material, the quantity should be
due by January 15th, April 15th, July 15th,
the weight of the material in kilograms
th
and October 15 . In the event a quarterly
or tons as appropriate.
export report due date falls on a federal
holiday or a weekend the report is then
Question M.5 Name and Location of
due to BIS the following business day.
Importer: Provide the name of the
importing company or organization and
Question M.1 Site Reporting Code: A
the physical address where the item(s)
site code will be assigned and reported
will be used.
to you once your Initial Report has been
received by BIS. The site reporting code
Question M.6 Date of Export: Provide
must appear on all future forms
the date on which the export actually
pertaining to this site.
occurred or the date when the export was
believed to have been made. A single
Question M.2 Annex II Reference
date, not a range of dates, should be
Number: Provide the full paragraph
entered.
If the export cannot be
number for the item being exported. For
characterized by a single date, please
example, the full paragraph number for
provide an explanation on Continuation
centrifuge rotor tubes would be 5.1.1(b).
Form AP-P.
All Annex II items and their
corresponding reference numbers are
Question M.7 Continuation Form:
listed in Supplement 3 to this Handbook.
Check this box if a Continuation Form,
Form AP-P, has been used to provide
additional information for any of the
above questions.
Question M.3 Identify Exported
Item(s): Provide, as appropriate, item

FORM APPROVED: OMB NO. 0694-0135

U.S. DEPARTMENT OF COMMERCE
Bureau of Industry and Security

Date Received
(Leave Blank)

U.S. NUCLEAR REGULATORY COMMISSION
Office of Nuclear Materials Safety and Safeguards

ADDITIONAL PROTOCOL REPORT
FORM AP-N: IMPORT OF SPECIFIED EQUIPMENT OR NONNUCLEAR MATERIAL CONFIRMATION REPORT
Submit this form in response to a request from NRC for confirmation of receipt of specified equipment or
non-nuclear material at your site.
N.1
Site Reporting Code (once assigned):
N.2

Identify building name(s)/number(s) (as it appears on the site map submitted with
Form AP-B), and any additional information that more precisely defines where the
imported specified equipment or non-nuclear material is/was located(e.g. room
numbers):

N.3

Type of imported equipment or material and Annex II reference number:

N.4

Date Import Received (mm/dd/yyyy):

N.5

Response to IAEA Import Information Request:

N.6

Check this box if a Continuation Form (Form AP-P) has been used to provide
additional information for any of the above questions.

FORM AP-N: Imports of Specified Equipment and Non-Nuclear Material
Reporting requirements are set forth in 10
CFR Parts 75 and 110 of the U.S. Nuclear
Regulatory Commission (NRC) Regulations.
INSTRUCTIONS:
Submit Form AP-N if NRC requests you to
confirm receipt of specified equipment or
non-nuclear material at your site per an
IAEA request. This information will help
the IAEA to verify that your site received
equipment or material that was specified as
an export in the declaration from another
country.
Question N.1 Site Reporting Code: Provide
the site reporting code, assigned by BIS, that
was reported to you after your Initial Report
was received. If you have not previously
reported information to BIS, a site reporting
code will be assigned and provided to you
with the request for this information.
.
Question N.2 Building Information:
Provide the name or number for the
building, as it appears on the site map
submitted with Form AP-B, and, if needed,
room number(s) and any additional
information that more precisely defines
where the imported specified equipment or
non-nuclear material is located.
Question N.3 Type of Imported Equipment
or Material and Annex II Reference
Number: Provide a brief description of the
equipment or material imported and
reference the paragraph number from
Supplement 3 of this guidance that covers
the imported equipment or material.
Question N.4 Date Import was Received:
Provide the date (in mm/dd/yyyy format) on
which the specified equipment or nonnuclear material was received at your site.
If the equipment or material in question was
never received at your site, please indicate
so by writing/typing “not received” in the

space provided.
Question N.5 Response to IAEA Import
Information Request: Provide any further
information that responds to questions
submitted by the IAEA and that would
clarify/further confirm that the specified
equipment or material in question was or
was not received at your site. Use Form APP if additional space is needed.
Questions N.6 Continuation Form: Check
this box if a Continuation Form, Form AP-P,
has been used to provide additional
information for any of the above questions.

FORM APPROVED: OMB NO. 0694-0135

U.S. DEPARTMENT OF COMMERCE
Bureau of Industry and Security

Date Received
(Leave Blank)

U.S. NUCLEAR REGULATORY COMMISSION
Office of Nuclear Materials Safety and Safeguards

ADDITIONAL PROTOCOL REPORT
FORM AP-O: SUPPLEMENTAL INFORMATION REPORT
Submit this form in response to a supplemental information request from NRC.
O.1
O.2

O.3

O.4

Site Reporting Code (once assigned):
Identify building name(s)/number(s) (as it appears on the site map submitted with
Form AP-B), and any additional information that more precisely defines where the
activity in question occurs(e.g. room numbers):

Information Responding to an IAEA Request:

Check this box if a Continuation Form (Form AP-P) has been used to provide
additional information for any of the above questions.

FORM AP-O: Supplemental or Clarifying Information Responding to a Request
Reporting requirements are set forth in 10
CFR Parts 75 and 110 of the U.S. Nuclear
Regulatory Commission (NRC) Regulations.
INSTRUCTIONS:
Submit Form AP-O if NRC requests you to
clarify information contained in a previously
provided report. Information may also be
requested about a location on an adjoining
address outside your site, which the IAEA
suspects might be functionally related to the
nuclear fuel cycle-related activities of your
site. If such a request occurs, the NRC will
provide you with instructions on how to
report.
Question O.1 Site Reporting Code: Provide
the site reporting code, assigned by BIS, that
was reported to you after your Initial Report
was received. If you have not previously
provided information to BIS, a reporting
Code will be assigned and provided to you
with the request for this information.

Question O.2 Building Information: If
applicable to the request, provide the name
or number for the building, as it appears on
the site map submitted with Form AP-B,
and, if needed, room number(s) and any
additional information that more precisely
defines where the activity in question
occurs.
Question O.3 Information Responding to
an IAEA Request: Provide a response to the
specific clarifying request made by the
IAEA that was forwarded to you through the
NRC. Use Form AP-P if additional space is
needed.
Questions O.4 Continuation Form: Check
this box if a Continuation Form, Form AP-P,
has been used to provide additional
information for any of the above questions.

FORM APPROVED: OMB NO. 0694-0135

U.S. DEPARTMENT OF COMMERCE
Bureau of Industry and Security

Date Received
(Leave Blank)

U.S. NUCLEAR REGULATORY COMMISSION
Office of Nuclear Materials Safety and Safeguards

ADDITIONAL PROTOCOL REPORT
FORM AP-P: CONTINUATION FORM
P.1

Site Reporting Code (once assigned):

P.2

Continuation Form for Form AP- ______, for Question Number______________:

FORM AP-P: Continuation Form
INSTRUCTIONS:
Submit Form AP-P if you need additional
space to fully answer a question that was
asked on any of the previous AP report
forms. Submit a separate Form AP-P if you
have more than one question that needs
additional space for answering.
Question P.1 Site Reporting Code: A site
code will be assigned and reported to you
once your Initial Report is received by BIS.
The site reporting code must appear on all

future forms pertaining to this site.
Question P.2 Continuation Form: Indicate
the AP Form and the question number for
which you are providing additional
information in the spaces provided. Should
you need even more additional space,
submit another Form AP-P with the same
identifying information provided for
Questions P.1 through P.2. Also provide a
separate Form AP-P for each separate
question where additional space is needed.

FORM APPROVED: OMB NO. 0694-0135

U.S. DEPARTMENT OF COMMERCE
Bureau of Industry and Security

Date Received
(Leave Blank)

U.S. NUCLEAR REGULATORY COMMISSION
Office of Nuclear Materials Safety and Safeguards

ADDITIONAL PROTOCOL REPORT
FORM AP-Q: NO CHANGES REPORT
This No Changes Report form may only be used by your site to certify that the information reported in your
last submitted Initial, Annual Update or Amended Report has not changed. If you did not submit an Initial,
Annual Update, Amended, or a No Changes Report last year, you may not use this form.
Q.1
Company or Organization Name:
Q.2

Site Name and Site Code:

NOTE: The company name as well as the Site Name and Site Code reported in Questions Q.1 and Q.2 must
be the same as those reported in Forms AP-A and AP-B of last year’s Initial, Annual Update, or Amended
Report.

CERTIFICATION
I hereby certify that the information reported in last year’s Initial, Annual Update,
Amended or No Changes Report is unchanged for the reporting year listed in Question
Q.4 below. To the best of my knowledge and belief, the submitted information is true
and complete.
Name and title of responsible official (type or print):
Q.3

Signature:

Date Signed (MM-DD-YYYY):
Q.4

REPORTING YEAR (YYYY):

FORM AP-Q: No Changes Report
Reporting requirements are set forth in 10
CFR Parts 75 and 110 of the U.S. Nuclear
Regulatory Commission (NRC) Regulations.
INSTRUCTIONS:
Submit this No Changes Report form only to
certify that all of the information (including
POC, address, and activity) reported in the
last submitted Initial, Annual Update,
Amended or No Changes Report for your
site has not changed. If you have not
previously submitted a report, you may not
use this form.
Question Q.1Company or Organization
Name: Provide the name of the company or
organization that controls activities for this
site. This should be the same company or
organization name that was provided on
Form AP-A of your last submitted Initial,
Annual Update, Amended, or No Changes
Report.
Question Q.2 Site Name and Site Code:
Provide the Site Name and Site Reporting
Code of your site. The site name and site
code must match those provided on the
associated Form AP-B of your last
submitted Initial or Annual Update Report.
Question Q.3 Certification: The report
must be signed and dated by a company or

organization official who certifies the
accuracy and completeness of the
information submitted. The signature block
must contain an original signature.
Question Q.4 Reporting Year Information:
Provide the reporting year for which this No
Changes Report applies.

SUPPLEMENT 1
GLOSSARY OF TERMS
The following is an explanation of terms used in this Handbook.
Access Point of Contact (A-POC). The individual at a site who will be notified by NRC
immediately upon receipt of an IAEA request for complementary access to a site. NRC must be
able to contact the A-POC or alternate A-POC on a 24-hour basis. The NRC will conduct all
interactions with the location for permitting and planning IAEA complementary access through
the A-POC or the alternate A-POC, in the event the A-POC is unavailable.
Act (The). The United States Additional Protocol Implementation Act of 2006 (Public Law 109401, Title 2).
Additional Protocol (AP). The Protocol Additional to the Agreement Between the United States
of America and the International Atomic Energy Agency for the Application of Safeguards in
the United States of America, with Annexes, signed at Vienna on June 12, 1998 (Treaty DOC.
107-097), known as the Additional Protocol.
Additional Protocol Regulations (APR). Those regulations contained in 15 CFR parts 781 to
799 promulgated by the Department of Commerce and 10 CFR Part 75 promulgated by the NRC
to implement and enforce the U.S. Additional Protocol.
Agreement State. Any State of the United State with which the Nuclear Regulatory Commission
(NRC) has entered into an effective agreement under Subsection 274b, of the Atomic Energy Act
of 1954, as amended (42 U.S.C. 2011 et seq.).
Bureau of Industry and Security (BIS). The Bureau of Industry and Security of the United
States Department of Commerce, including the Office of Export Administration and the Office
of Export Enforcement.
Complementary Access. The exercise of the IAEA’s access rights as set forth in Articles 4 to 6
of the Additional Protocol.
Facility. A reactor, critical assembly, conversion plant, fabrication plant, reprocessing plant, an
isotope separation plant or a separate storage installation; or any location where nuclear material
in amounts greater than one (1) effective kg is customarily used.
Impure Source Material or Impure Uranium or Thorium. Uranium or thorium that has not
reached the composition and purity suitable for fuel fabrication or for being isotopically
enriched.
International Atomic Energy Agency (IAEA). The United Nations organization, headquartered
in Vienna, Austria, that serves as the official international verification authority for the
implementation of safeguards agreements concluded pursuant to the Treaty on the Nonproliferation of Nuclear Weapons (NPT).

IAEA-Selected Facility. A facility that the IAEA has chosen from the list of U.S. facilities
eligible for IAEA inspections.
Location. Any geographic point or area declared or identified by the United States or specified
by the IAEA (see “location specified by the IAEA,” as defined in this section).
Location Specified by the IAEA. A location that is selected by the IAEA for the purpose of
assisting the IAEA to draw conclusions about the absence of undeclared nuclear material or
nuclear activities or to obtain information that the IAEA needs to amplify or clarify information
in the U.S. declaration.
NRC. The U.S. Nuclear Regulatory Commission.
NRC location. A location subject to a construction, operating, possession, or use license or
certificate with the NRC or an NRC Agreement State that is otherwise subject to inspection
under the NRC regulations (10 CFR). Also means a location where nuclear fuel cycle-related
activities are conducted inside the boundary of the controlled area or restricted area delineated on
an NRC or an NRC Agreement State license or other location subject to NRC inspections under
10 CFR.
NRC regulations. Those regulations promulgated by the U.S. Nuclear Regulatory Commission
contained in Title 10 of the Code of Federal Regulations (10 CFR). The regulations specific to
the Additional Protocol requirements are contained in 10 CFR Part 75.
Nuclear Fuel Cycle-Related Research and Development Activity. Those activities that are
specifically related to any process or system development aspect of any of the following:
1) Conversion of nuclear material;
2) Enrichment of nuclear material;
3) Nuclear fuel fabrication;
4) Reactors;
5) Critical facilities;
6) Reprocessing of nuclear fuel; or
7) Processing (not including repackaging or conditioning not involving the separation of
elements, for storage or disposal) of intermediate or high-level waste containing
plutonium, high enriched uranium or uranium-233.
Nuclear Material. Any source material or any special fissionable material as follows:
(1) Source material means uranium containing the mixture of isotopes occurring in
nature; uranium depleted in the isotope 235; thorium; any of the foregoing in the form
of metal, alloy, chemical or concentrate. The term source material shall not be
interpreted as applying to ore or ore residue.
(2) Special fissionable material means plutonium 239; uranium 233; uranium enriched in
the isotopes 235 or 233; any material containing one or more of the foregoing, but the
term special fissionable material does not include source material.

Operational Status of a Plant:
Operating
A plant that produces ore materials.
Closed-down A plant that is not operating but not fully decommissioned.
Decommissioned
A plant that was decommissioned.
Person. Any individual, organization, corporation, partnership, firm, association, trust, estate,
public or private institution, any State or any political subdivision thereof, or any political entity
within a State, any foreign government or nation or any agency, instrumentality or political
subdivision of any such government or nation, or other entity located in the United States.
Reportable Location. A location that must submit an Initial Report, Annual Update Report, or
No Changes Report to BIS, in accordance with the provisions of either the APR or the NRC
regulations, is considered to be a “reportable location” with reportable activities.
Report Form. A form to be submitted to BIS reporting certain nuclear fuel-cycle related
activities.
Report Point of Contact (R-POC). A person whom BIS or NRC may contact for the purposes of
clarification of information provided in report(s) and for general information. The R-POC need
not be the person who prepares the forms or certifies the report(s), but should be familiar with
the content of the reports.
Site. That area delineated by the United States in the relevant design information for a facility
selected by the IAEA from the U.S. Eligible Facilities List.
Site Reporting Code. A unique site identification code assigned by BIS once your Initial Report
is received.
United States. The several States of the United States, the District of Columbia, and the
commonwealths, territories, and possessions of the United States, and includes all places under
the jurisdiction or control of the United States, including any of the places within the provisions
of paragraph (41) of section 40102 of Title 49 of the United States Code, any civil aircraft of the
United States or public aircraft, as such terms are defined in paragraphs (1) and (37),
respectively, of section 40102 of Title 49 of the United States Code, and any vessel of the United
States, as such term is defined in section 3(b) of the Maritime Drug Enforcement Act, as
amended (section 1903(b) of Title 46 App. of the United States Code).
U.S. Eligible Facilities List. A list, provided to the IAEA by the United States, of all facilities
within the United States not associated with activities of direct national security significance.
You. The term “you” or “your” means any person (see also definition of “person”). With regard
to the reporting requirements of the APR, “you” refers to persons that have an obligation to
report certain activities under the provisions of the APR.

SUPPLEMENT 2: NUCLEAR FUEL CYCLE-RELATED MANUFACTURING,
ASSEMBLY AND CONSTRUCTION ACTIVITIES
1)

The manufacture of centrifuge rotor tubes or the assembly of gas centrifuges.
Centrifuge rotor tubes means thin-walled cylinders as described in entry 5.1.1(b) of
Supplement 3.
Gas centrifuges means centrifuges as described in the Introductory Note to entry 5.1 of
Supplement 3.

2)

The manufacture of diffusion barriers.
Diffusion barriers means thin, porous filters as described in entry 5.3.1(a) of Supplement 3.

3)

The manufacture or assembly of laser-based systems.
Laser-based systems means systems incorporating those items as described in entry 5.7 of Supplement 3.

4)

The manufacture or assembly of electromagnetic isotope separators.
Electromagnetic isotope separators means those items referred to in entry 5.9.1 of Section 3 containing ion
sources as described in 5.9.1(a) of Supplement 3.

5)

The manufacture or assembly of columns or extraction equipment.
Columns or extraction equipment means those items as described in entries 5.6.1, 5.6.2,
5.6.3, 5.6.5, 5.6.6, 5.6.7 and 5.6.8 of Supplement 3.

6)

The manufacture of aerodynamic separation nozzles or vortex tubes.
Aerodynamic separation nozzles or vortex tubes means separation nozzles and vortex tubes as described
respectively in entries 5.5.1 and 5.5.2 of Supplement 3.

7)

The manufacture or assembly of uranium plasma generation systems.
Uranium plasma generation systems means systems for the generation of uranium plasma
as described in entry 5.8.3 of Supplement 3.

8)

The manufacture of zirconium tubes.
Zirconium tubes means tubes as described in entry 1.6 of Supplement 3.

9)

The manufacture or upgrading of heavy water or deuterium.
Heavy water or deuterium means deuterium, heavy water (deuterium oxide) and any other deuterium
compound in which the ratio of deuterium to hydrogen atoms exceeds 1:5000.

10)

The manufacture of nuclear grade graphite.
Nuclear grade graphite means graphite having a purity level better than 5 parts per million boron equivalent
and with a density greater than 1.50 g/cm3.

11)

The manufacture of flasks for irradiated fuel.
A flask for irradiated fuel means a vessel for the transportation and/or storage of irradiated fuel which
provides chemical, thermal and radiological protection, and dissipates decay heat during handling,
transportation and storage.

12)

The manufacture of reactor control rods.
Reactor control rods means rods as described in entry 1.4 of Supplement 3.

13)

The manufacture of criticality safe tanks and vessels.
Criticality safe tanks and vessels means those items as described in entries 3.2 and 3.4 of Supplement 3.

14)

The manufacture of irradiated fuel element chopping machines.
Irradiated fuel element chopping machines means equipment as described in entry 3.1 of Supplement 3.

15)

The construction of hot cells.
Hot cells means a cell or interconnected cells totaling at least 6 m3 in volume with shielding equal to or
greater than the equivalent of 0.5 m of concrete, with a density of 3.2g/cm 3 or greater, outfitted with
equipment for remote operations.

SUPPLEMENT 3: LIST OF SPECIFIED EQUIPMENT AND NON-NUCLEAR MATERIAL FOR THE
REPORTING OF EXPORTS AND IMPORTS
1.

Reactors and equipment therefor

1.1

Complete nuclear reactors
Nuclear reactors capable of operation so as to maintain a controlled self-sustaining fission chain reaction,
excluding zero energy reactors, the latter being defines as reactors with a designed maximum rate of
production of plutonium not exceeding 100 grams per year.
EXPLANATORY NOTE
A “nuclear reactor” basically includes the items within or attached directly to the reactor vessel, the
equipment which controls the level of power in the core, and the components which normally contain or
come in direct contact with or control the primary coolant of the reactor core. It is not intended to exclude
reactors which could reasonably be capable of modification to produce significantly more than 100 grams
of plutonium per year. Reactors designed for sustained operation at significant power levels, regardless of
their capacity for plutonium production, are not considered as “zero energy reactors”.

1.2

Reactor pressure vessels
Metal vessels, as complete units or as major shop-fabricated parts therefor, which are especially designed
or prepared to contain the core of a nuclear reactor as defined in paragraph 1.1 above and are capable of
withstanding the operating pressure of the primary coolant.
EXPLANATORY NOTE
A tope plate for a reactor pressure vessel is covered by item 1.2 as a major shop-fabricated part of a
pressure vessel. Reactor internals (e.g. support columns and plates for the core and other vessel internals,
control rod guide tubes, thermal shields, baffles, core grid plates, diffuser plates, etc.) are normally supplied
by the reactor supplier. In some cases, certain internal support components are included in the fabrication
of the pressure vessel. These items are sufficiently critical to the safety and reliability of the operation of
the reactor (and, therefore, to the guarantees and liability of the reactor supplier), so that their supply,
outside the basic supply arrangement for the reactor itself, would not be common practice. Therefore,
although the separate supply of these unique, especially designed and prepared, critical, large, and
expensive items would not necessarily be considered as falling outside the area of concern, such a mode of
supply is considered unlikely.

1.3

Reactor fuel charging and discharging machines
Manipulative equipment especially designed or prepared for inserting or removing fuel in a nuclear reactor
as defined in paragraph 1.1 above capable of on-load operation or employing technically sophisticated
positioning or alignment features to allow complex off-load fueling operations such as those in which direct
viewing of or access to the fuel is not normally available.

1.4

Reactor control rods
Rods especially designed or prepared for the control of the reaction rate in a nuclear reactor as defined in
paragraph 1.1 above.
EXPLANATORY NOTE
This item includes, in addition to the neutron absorbing part, the support or suspension structures therefor if
supplied separately.

1.5

Reactor pressure tubes
Tubes which are especially designed or prepared to contain fuel elements and the primary coolant in a
reactor as defined in paragraph 1.1 above at an operating pressure in excess of 5.1 MPa (740 psi).

1.6

Zirconium tubes
Zirconium metal and alloys in the form of tubes or assemblies of tubes, and in quantities exceeding 500 kg
in any period of 12 months, especially designed or prepare for use in a reactor as defined in paragraph 1.1
above, and in which the relation of hafnium to zirconium is less than 1:500 parts by weight.

1.7

Primary coolant pumps
Pumps especially designed or prepared for circulating the primary coolant for nuclear reactors as defined in
paragraph 1.1 above.
EXPLANATORY NOTE
Especially designed or prepared pumps may include elaborate sealed or multi-sealed systems to prevent
leakage of primary coolant, canned-driven pumps, and pumps with inertial mass systems. This definition
encompasses pumps certified to NC-1 or equivalent standards.

2.

Non-nuclear materials for reactors

2.1

Deuterium and heavy water
Deuterium, heavy water (deuterium oxide) and any other deuterium compound in which the ratio of
deuterium to hydrogen atoms exceeds 1:5000 for use in a nuclear reactor as defined in paragraph 1.1 above
in quantities exceeding 200 kg of deuterium atoms for any one recipient country in any period of 12
months.

2.2

Nuclear grade graphite
Graphite having a purity level better than 5 parts per million boron equivalent and with a density greater
than 1.50 g/cm3 for use in a nuclear reactor as defined in paragraph 1.1 above in quantities exceeding 3 x
104 kg (30 metric tons) for any one recipient country in any period of 12 months.
NOTE
For the purpose of reporting, the Government will determine whether or not the exports of graphite meeting
the above specifications are for nuclear reactor use.

3.

Plants for the reprocessing of irradiated fuel elements, and equipment especially designed or
prepared therefor
INTRODUCTORY NOTE
Reprocessing irradiated nuclear fuel separates plutonium and uranium from intensely radioactive fission
products and other transuranic elements. Different technical processes can accomplish this separation.
However, over the years Purex has become the most commonly used and accepted process. Purex involves
the dissolution of irradiated nuclear fuel in nitric acid, followed by separation of the uranium, plutonium,
and fission products by solvent extraction using a mixture of tributyl phosphate in an organic diluent.
Purex facilities have process functions similar to each other, including: irradiated fuel element chopping,
fuel dissolution, solvent extraction, and process liquor storage. There may also be equipment for thermal
denitration of uranium nitrate, conversion of plutonium nitrate to oxide or metal, and treatment of fission
product waste liquor to a form suitable for long term storage or disposal. However the specific type and
configuration of the equipment performing these functions may differ between Purex facilities for several
reasons, including the type and quantity of irradiated nuclear fuel to be reprocessed and the intended
disposition of the recovered materials, and the safety and maintenance philosophy incorporated into the
design of the facility. A “plant for the reprocessing of irradiated fuel elements” includes the equipment and
components which normally come in direct contact with and directly control the irradiated fuel and the
major nuclear material and fission product processing streams. These processes, including the complete
systems for plutonium conversion and plutonium metal production, may be identified by the measures
taken to avoid criticality (e.g. by geometry), radiation exposure (e.g. by shielding), and toxicity hazards
(e.g. by containment). Items of equipment that are considered to fall within the meaning of the phrase “and
equipment especially designed or prepared” for the reprocessing of irradiated fuel elements include:

3.1

Irradiated fuel element chopping machines
INTRODUCTORY NOTE
This equipment breaches the cladding of the fuel to expose the irradiated nuclear material to dissolution.
Especially designed metal cutting shears are the most commonly employed, although advanced equipment,
such as lasers, may be used. Remotely operated equipment especially designed or prepared for use in a
reprocessing plant as identified above and intended to cut, chop or shear irradiated nuclear fuel assemblies,
bundles or rods.

3.2

Dissolvers
INTRODUCTORY NOTE
Dissolvers normally receive the chopped-up spent fuel. In these critically safe vessels, the irradiated
nuclear material is dissolved in nitric acid and the remaining hulls removed from the process stream.
Critically safe tanks (e.g. small diameter, annular or slab tanks) especially designed or prepared for use in a
reprocessing plant as identified above, intended for dissolution of irradiated nuclear fuel and which are
capable of withstanding hot, highly corrosive liquid, and which can be remotely loaded and maintained.

3.3

Solvent extractors and solvent extraction equipment
INTRODUCTORY NOTE
Solvent extractors both receive the solution of irradiated fuel from the dissolvers and the organic solution
which separates the uranium, plutonium, and fission products. Solvent extraction equipment is normally
designed to meet strict operating parameters, such as long operating lifetimes with no maintenance
requirements or adaptability to easy replacement, simplicity of operation and control, and flexibility for
variations in process conditions. Especially designed or prepared solvent extractors such as packed or
pulse columns, mixer settlers or centrifugal contactors for use in a plant for the reprocessing of irradiated
fuel. Solvent extractors must be resistant to the corrosive effect of nitric acid. Solvent extractors are
normally fabricated to extremely high standards (including special welding and inspection and quality
assurance and quality control techniques) out of low carbon stainless steels, titanium, zirconium, or other
high quality materials.

3.4

Chemical holding or storage vessels
INTRODUCTORY NOTE
Three main process liquor streams result from the solvent extraction step. Holding or storage vessels are
used in the further processing of all three streams, as follows:
(a)

The pure uranium nitrate solution is concentrated by evaporation and passed to a denitration
process where it is converted to uranium oxide. This oxide is re-used in the nuclear fuel cycle.

(b)

The intensely radioactive fission products solution is normally concentrated by evaporation and
stored as a liquor concentrate. This concentrate may be subsequently evaporated and converted to
a form suitable for storage or disposal.

(c)

The pure plutonium nitrate solution is concentrated and stored pending its transfer to further
process steps. In particular, holding or storage vessels for plutonium solutions are designed to
avoid criticality problems resulting from changes in concentration and form of this stream.

Especially designed or prepared holding or storage vessels for use in a plant for the reprocessing of
irradiated fuel. The holding or storage vessels must be resistant to the corrosive effect of nitric acid. The
holding or storage vessels are normally fabricated of materials such as low carbon stainless steels, titanium
or zirconium, or other high quality materials. Holding or storage vessels may be designed for remote
operation and maintenance and may have the following features for control of nuclear criticality:
(1)
walls or internal structures with a boron equivalent of at least two percent, or
(2)
a maximum diameter of 175 mm (7 in) for cylindrical vessels, or

(3)
3.5

a maximum width of 75 mm (3 in) for either a slab or annular vessel.

Plutonium nitrate to oxide conversion system
INTRODUCTORY NOTE
In most reprocessing facilities, this final process involves the conversion of the plutonium nitrate solution
to plutonium dioxide. The main functions involved in this process are: process feed storage and
adjustment, precipitation and solid-liquor separation, calcination, product handling, ventilation, waste
management, and process control. Complete systems especially designed or prepared for the conversion of
plutonium nitrate to plutonium oxide, in particular adapted so as to avoid criticality and radiation effects
and to minimize toxicity hazards.

3.6

Plutonium oxide to metal production system
INTRODUCTORY NOTE
This process, which could be related to a reprocessing facility, involves the fluorination of plutonium
dioxide, normally with highly corrosive hydrogen fluoride, to produce plutonium fluoride which is
subsequently reduced using high purity calcium metal to produce metallic plutonium and a calcium fluoride
slag. The main functions involved in this process are: fluorination (e.g. involving equipment fabricated or
lined with a precious metal), metal reduction (e.g. employing ceramic crucibles), slag recover, product
handling, ventilation, waste management and process control. Complete systems especially designed or
prepared for the production of plutonium metal, in particular adapted so as to avoid criticality and radiation
effects and to minimize toxicity hazards.

4.

Plants for the fabrication of fuel elements
A “plant for the fabrication of fuel elements” includes the equipment:
(a)

Which normally comes in direct contact with, or directly processes, or controls, the production
flow of nuclear material, or

(b)

Which seals the nuclear material within the cladding.

5.

Plants for the separation of isotopes of uranium and equipment, other than analytical instruments,
especially designed or prepared therefor
Items of equipment that are considered to fall within the meaning of the phrase “equipment, other than
analytical instruments, especially designed or prepared” for the separation of isotopes of uranium include:

5.1

Gas centrifuges and assemblies and components especially designed or prepared for use in gas
centrifuges
INTRODUCTORY NOTE
The gas centrifuge normally consists of a thin-walled cylinder(s) of between 75 mm (3 in.) and 400 mm
(16.in.) diameter contained in a vacuum environment and spun at high peripheral speed of the order of 300
m/s or more with its central axis vertical. In order to achieve high speed the materials of construction for
the rotating components have to be of a high strength to density ratio and the rotor assembly, and hence its
individual components, have to be manufactured to very close tolerances in order to minimize the
unbalance. In contrast to other centrifuges, the gas centrifuge for uranium enrichment is characterized by
having within the rotor chamber a rotating disc-shaped baffle(s) and a stationary tube arrangement for
feeding and extracting the UF6 gas and featuring at least 3 separate channels, of which 2 are connected to
scoops extending from the rotor axis towards the periphery of the rotor chamber. Also contained within the
vacuum environment are a number of critical items which do not rotate and which although they are
especially designed are not difficult to fabricate nor are they fabricated out of unique materials. A
centrifuge facility however requires a large number of these components, so that quantities can provide an
important indication of end use.

5.1.1

Rotating components

(a)

Complete rotor assemblies:

Thin-walled cylinders, or a number of interconnected thin-walled cylinders, manufactured from one or
more of the high strength to density ratio materials described in the EXPLANATORY NOTE to this
Section. If interconnected, the cylinders are joined together by flexible bellows or rings as described in
section 5.1.1(c) following. The rotor is fitted with an internal baffle(s) and end caps, as described in
section 5.1.1(d) and (e) following, if in final form. However the complete assembly may be delivered only
partly assembled.
(b)

Rotor tubes:

Especially designed or prepared thin-walled cylinders with thickness of 12 mm (0.5 in.) or less, a diameter
of between 75 mm (3 in.) and 400 mm (16 in.), and manufactured from one or more of the high strength to
density ratio materials described in the EXPLANATORY NOTE to this Section.
(c)

Rings or Bellows:

Components especially designed or prepared to give localized support to the rotor tube or to join together a
number of rotor tubes. The bellows is a short cylinder of wall thickness 3 mm (0.12 in.) or less, a diameter
of between 75 mm (3 in.) And 400 mm (16 in.), having a convolute, and manufactured from one of the high
strength to density ratio materials described in the EXPLANATORY NOTE to this Section.
(d)

Baffles:

Disc-shaped components of between 75 mm (3 in.) and 400 mm (16 in.) diameter especially designed or
prepared to be mounted inside the centrifuge rotor tube, in order to isolate the take-off chamber from the
main separation chamber and, in some cases, to assist the UF 6 gas circulation within the main separation
chamber of the rotor tube, and manufactured from one of the high strength to density ratio materials
described in the EXPLANATORY NOTE to this Section.
(e)

Disc-shaped components of between 75 mm (3 in.) and 400 mm (16 in.) diameter especially
designed or prepared to fit to the ends of the rotor tube, and so contain the UF6 within the rotor
tube, and in some cases to support, retain or contain as an integrated part an element of the upper
bearing (top cap) or to carry the rotating elements of the motor and lower bearing (bottom cap),
and manufactured from one of the high strength to density ratio materials described in the
EXPLANATORY NOTE to this Section.

EXPLANATORY NOTE
The materials used for centrifuge rotating components are:

5.1.2

(a)

Maraging steel capable of an ultimate tensile strength of 2.05 x 109 N/m2 (300,000 psi) or more;

(b)

Aluminum alloy capable of an ultimate tensile strength of 0.46 x 10 9 N/m2 (67,000 psi) or more;

(c)

Filamentary materials suitable for use in composite structures and having a specific modulus of
12.3 x 106 m or greater and a specific ultimate tensile strength of 0.3 x 10 6 m or greater (‘Specific
Modulus’ is the Young’s Modulus in N/m2 divided by the specific weight in N/m3; ‘Specific
Ultimate Tensile Strength’ is the ultimate tensile strength in N/m2 divided by the specific weight
in N/m3).

Static components
(a)
Magnetic suspension bearings:
Especially designed or prepared bearing assemblies consisting of an annular magnet suspended within a
housing containing a damping medium. The housing will be manufactured from a UF6-resistant material
(see EXPLANATORY NOTE to Section 5.2). The magnet couples with a pole piece or a second magnet

fitted to the top cap described in Section 5.1.1(e). The magnet may be ring-shaped with a relation between
outer and inner diameter smaller or equal to 1.6:1. The magnet may be in a form having an initial
permeability of 0.15H/m (120,000 in CGS units) or more, or a remanence of 98.5% or more, or an energy
product of greater than 80kJ/m3 (107 gauss-oersteds). In addition to the usual material properties, it is a
prerequisite that the deviation of the magnetic axes from the geometrical axes is limited to very small
tolerances (lower than 0.1 mm or 0.004 in.) or that homogeneity of the material of the magnet is specially
called for.
(b)

Bearings/Dampers:

Especially designed or prepared bearing comprising a pivot/cup assembly mounted on a damper. The pivot
is normally a hardened steel shaft with a hemisphere at one end with a means of attachment to the bottom
cap described in section 5.1.1(e) at the other. The shaft may however have a hydrodynamic bearing
attached. The cup is pellet-shaped with a hemispherical indentation in one surface. These components are
often supplied separately to the damper.
(c)

Molecular pumps:

Especially designed or prepared cylinders having internally machined or extruded helical grooves and
internally machined bores. Typical dimensions are as follows: 75 mm (3 in.) to 400 mm (16 in.) internal
diameter, 10 mm (0.4 in.) or more wall thickness, with the length equal to or greater than the diameter. The
grooves are typically rectangular in cross-section and 2 mm (0.08 in.) or more in depth.
(d)

Motor stators:

Especially designed or prepared ring-shaped stators for high speed multiphase AC hysteresis (or reluctance)
motors for synchronous operation within a vacuum in the frequency range of 600 - 2000 Hz and a power
range of 50 - 1000 VA. The stators consist of multi-phase windings on a laminated low loss iron core
comprised of thin layers typically 2.0 mm (0.08 in.) thick or less.
(e)

Centrifuge housing/recipients:

Components especially designed or prepared to contain the rotor tube assembly of a gas centrifuge. The
housing consists of a rigid cylinder of wall thickness up to 30 mm (1.2 in.) with precision machined ends to
locate the bearings an with one or more flanges for mounting. The machined ends are parallel to each other
and perpendicular to the cylinder’s longitudinal axis to within 0.05 degrees or less. The housing may also
be a honeycomb type structure to accommodate several rotor tubes. The housings are made of or protected
by materials resistant to corrosion by UF6.
(f)

Scoops:

Especially designed or prepared tubes of up to 12 mm (0.5 in.) internal diameter for the extraction of UF6
gas from within the rotor tube by a Pitot tube action (that is, with an aperture facing into the circumferential
gas flow within the rotor tube, for example by bending the end of a radially disposed tube) and capable of
being fixed to the central gas extraction system. The tubes are made of or protected by materials resistant
to corrosion by UF6.
5.2

Especially designed or prepared auxiliary systems, equipment and components for gas centrifuge
enrichment plants
INTRODUCTORY NOTE
The auxiliary systems, equipment and components for a gas centrifuge enrichment plant are the systems of
plant needed to feed UF6 to the centrifuges, to link the individual centrifuges to each other to form cascades
(or stages) to allow for progressively higher enrichments and to extract the ‘product’ and ‘tails’ UF 6 from
the centrifuges, together with the equipment required to drive the centrifuges or to control the plant.
Normally UF6 is evaporated from the solid using heated autoclaves and is distributed in gaseous form to the

centrifuges by way of cascade header pipework. The ‘product’ and ‘tails’ UF 6 gaseous streams flowing
from the centrifuges are also passed by way of cascade header pipework to cold traps (operating at about
203 K 9-70NC)) where they are condensed prior to onward transfer into suitable containers for
transportation or storage. Because an enrichment plant consists of many thousands of centrifuges arranged
in cascades there are many kilometers of cascade header pipework, incorporating thousands of welds with a
substantial amount of repetition of layout. The equipment, components and piping systems are fabricated
to very high vacuum and cleanliness standards.
5.2.1

Feed systems/product and tails withdrawal systems
Especially designed or prepared process systems including:
Feed autoclaves (or stations), used for passing UF6 to the centrifuge cascades at up to 100 kPa
(15 psi) and at a rate of 1 kg/h or more;
Desublimers (or cold traps) used to remove UF 6 from the cascades at up to 3 kPa (0.5 psi)
pressure. The desublimers are capable of being chilled to 203 K (-70NC) and heated to 343 K
(70NC);
‘Product’ and ‘Tails’ stations used for trapping UF6 into containers.
This plant, equipment and pipework is wholly made of or lined with UF6-resistant materials (see
EXPLANATORY NOTE to this section) and is fabricated to very high vacuum and cleanliness standards.

5.2.2

Machine header piping systems
Especially designed or prepared piping systems and header systems for handling UF 6 within the centrifuge
cascades. The piping network is normally of the ‘triple’ header system with each centrifuge connected to
each of the headers. There is thus a substantial amount of repetition in its form. It is wholly made of UF 6resistant materials (see EXPLANATORY NOTE to this section) and is fabricated to very high vacuum and
cleanliness standards.

5.2.3

UF6 mass spectrometers/ion sources
Especially designed or prepared magnetic or quadrupole mass spectrometers capable of taking ‘on-line’
samples of feed, product or tails, from UF6 gas streams and having all of the following characteristics:

5.2.4

1.

Unit resolution for atomic mass unit greater than 320;

2.

Ion sources constructed of or lined with nichrome or monel or nickel plated;

3.

Electron bombardment ionization sources;

4.

Having a collector system suitable for isotopic analysis.

Frequency changers
Frequency changes (also known as converters or invertors) especially designed or prepared to supply motor
stators as defined under 5.1.2(d), or parts, components and sub-assemblies of such frequency changers
having all of the following characteristics:
1.
A multiphase output of 600 to 2000 Hz;
2.

High stability (with frequency control better than 0.1%);

3.

Low harmonic distortion (less than 2%); and

4.

An efficiency of greater than 80%.

EXPLANATORY NOTE

The items listed above either come into direct contact with the UF 6 process gas or directly control the
centrifuges and the passage of the gas from centrifuge to centrifuge and cascade to cascade. Materials
resistant to corrosion by UF6 include stainless steel, aluminum, aluminum alloys, nickel or alloys
containing 60% or more nickel.
5.3

Especially designed or prepared assemblies and components for use in gaseous diffusion enrichment
INTRODUCTORY NOTE
In the gaseous diffusion method of uranium isotope separation, the main technological assembly is a
special porous gaseous diffusion barrier, heat exchanger for cooling the gas (which is heated by the process
of compression), seal valves and control valves, and pipelines. Inasmuch as gaseous diffusion technology
uses uranium hexafluoride (UF6), all equipment, pipeline and instrumentation surfaces (that come in
contact with the gas) must be made of materials that remain stable in contact with UF6. A gaseous
diffusion facility requires a number of these assemblies, so that quantities can provide an important
indication of end use.

5.3.1

Gaseous diffusion barriers
(a)
Especially designed or prepared thin, porous filters, with a pore size of 100 - 1,000  (angstroms),
a thickness of 5 mm (0.2 in.) or less, and for tubular forms, a diameter of 25 mm (1 in.) or less,
made of metallic, polymer or ceramic materials resistant to corrosion by UF 6, and
(b)

Especially prepared compounds or powders for the manufacture of such filters. Such compounds
and powders include nickel or alloys containing 60 percent or more nickel, aluminum oxide, or
UF6-resistant fully fluorinated hydrocarbon polymers having a purity of 99.9 percent or more, a
particle size less than 10 microns, and a high degree of particle size uniformity, which are
especially prepared for the manufacture of gaseous diffusion barriers.

5.3.2

Diffuser housings
Especially designed or prepared hermetically sealed cylindrical vessels greater than 300 mm (12 in.) in
diameter and greater than 900 mm (35 in.) in length, or rectangular vessels of comparable dimensions,
which have an inlet connection and two outlet connections all of which are greater than 50 mm (2 in.) in
diameter, for containing the gaseous diffusion barrier, made of or lined with UF6-resistant materials and
designed for horizontal or vertical installation.

5.3.3

Compressors and gas blowers
Especially designed or prepared axial, centrifugal, or positive displacement compressors, or gas blowers
with a suction volume capacity of 1 m3/min or more of UF6, and with a discharge pressure of up to several
hundred kPa (100 psi), designed for long-term operation in the UF6 environment with or without an
electrical motor of appropriate power, as well as separate assemblies of such compressors and gas blowers.
These compressors and gas blowers have a pressure ratio between 2:1 and 6:1 and are made of, or lined
with, materials resistant to UF6.

5.3.4

Rotary shaft seals
Especially designed or prepared vacuum seals, with seal feed and seal exhaust connections, for sealing the
shaft connecting the compressor or the gas blower rotor with the driver motor so as to ensure a reliable seal
against in-leaking of the air into the inner chamber of the compressor or gas blower which is filled with
UF6. Such seals are normally designed for a buffer gas in-leakage rate of less than 1000 cm3/min (60
in3/min).

5.3.5

Heat exchangers for cooling UF6
Especially designed or prepared heat exchangers made of or lined with UF 6-resistant materials (except
stainless steel) or with copper or any combination of those metals, and intended for a leakage pressure
change rate or less than 10 Pa (0.0015 psi) per hour under a pressure difference of 100 kPa (15 psi).

5.4

Especially designed or prepared auxiliary systems, equipment and components for use in gaseous
diffusion enrichment

INTRODUCTORY NOTE
The auxiliary systems, equipment and components for gaseous diffusion enrichment plants are the systems
of plant needed to feed UF6 to the gaseous diffusion assembly, to link the individual assemblies to each
other to form cascades (or stages) to allow for progressively higher enrichments and to extract the ‘product’
and ‘tails’ UF6 from the diffusion cascades. Because of the high inertial properties of diffusion cascades,
any interruption in their operation, and especially their shut-down, leads to serious consequences.
Therefore, a strict and constant maintenance of vacuum in all technological systems, automatic protection
from accidents, and precise automated regulation of the gas flow is of importance in a gaseous diffusion
plant. All this leads to a need to equip the plant with a large number of special measuring, regulating and
controlling systems. Normally UF6 is evaporated from cylinders placed within autoclave and is distributed
in gaseous form to the entry point by way of cascade header pipework. The ‘product’ and ‘tails’ UF 6
gaseous streams flowing from exit points are passed by way of cascade header pipework to either cold traps
or to compression stations where the UF6 gas is liquefied prior to onward transfer into suitable containers
for transportation or storage. Because a gaseous diffusion enrichment plant consists of a large number of
gaseous diffusion assemblies arranged in cascades, there are many kilometers of cascade header pipework,
incorporating thousands of welds with substantial amounts of repetition layout. The equipment,
components and piping systems are fabricated to very high vacuum and cleanliness standards.
5.4.1

Feed systems/product and tails withdrawal systems
Especially designed or prepared process systems, capable of operating at pressures of 300 kPa (45 psi) or
less, including:
Feed autoclaves (or systems), used for passing UF6 to the gaseous diffusion cascades;
Desublimers (or cold traps) used to remove UF 6 from diffusion cascades;
Liquefaction stations where UF6 gas from the cascade is compressed and cooled to form liquid UF 6;
‘Product’ or ‘tails’ stations used for transferring UF6 into containers.

5.4.2

Header piping systems
Especially designed or prepared piping systems and header systems fro handling UF 6 within the gaseous
diffusion cascades. This piping network is normally of the “double” header system with each cell
connected to each of the headers.

5.4.3

Vacuum systems
(a)
Especially designed or prepared large vacuum manifolds, vacuum headers and vacuum pumps
having a suction capacity of 5 m3/min (175 ft3/min) or more.
(b)

Vacuum pumps especially designed for service in UF6-bearing atmospheres made of, or lined
with, aluminum, nickel, or alloys bearing more than 60% nickel. These pumps may be either
rotary or positive, may have displacement and fluorocarbon seals, and may have special working
fluids present.

5.4.4

Special shut-off and control valves
Especially designed or prepared manual or automated shut-off and control bellows valves made of UF6resistant materials with a diameter of 40 to 1500 (1.5 to 59 in.) for installation in main and auxiliary
systems of gaseous diffusion enrichment plants.

5.4.5

UF6 mass spectrometers/ion sources
Especially designed or prepared magnetic or quadrupole mass spectrometers capable of taking “on-line”
samples of feed product or tails, from UF 6 gas streams and having all of the following characteristics:
1.

Unit resolution for atomic mass unit greater than 320;

2.

Ion sources constructed of or lined with nichrome or monel or nickel plated;

3.

Electron bombardment ionization sources;

4.

Collector system suitable for isotopic analysis.

EXPLANATORY NOTE
The items listed above either come into direct contact with the UF 6 process gas or directly control the flow
within the cascade. All surfaces which come into contact with the process gas are wholly made of, or lined
with, UF6-resistant materials. For the purposes of the sections relating to gaseous diffusion items the
materials resistant to corrosion by UF6 include stainless steel, aluminum, aluminum alloys, aluminum
oxide, nickel or alloys containing 60% or more nickel and UF 6-resistant fully fluorinated hydrocarbon
polymers.
5.5

Especially designed or prepared systems, equipment and components for use in aerodynamic
enrichment plants
INTRODUCTORY NOTE
In aerodynamic enrichment processes, a mixture of gaseous UF 6 and light gas (hydrogen or helium) is
compressed and then passed through separating elements wherein isotopic separation is accomplished by
the generation of high centrifugal forces over a curved-wall geometry. Two processes of this type have
been successfully developed: the separation nozzle process and the vortex tube process. For both processes
the main components of a separation stage include cylindrical vessels housing the special separation
elements (nozzles or vortex tubes), gas compressors and heat exchangers to remove the heat of
compression. An aerodynamic plant requires a number of these stages, so that quantities can provide an
important indication of end use. Since aerodynamic processes use UF 6, all equipment, pipeline and
instrumentation surfaces (that come in contact with the gas) must be made of materials that remain stable in
contact with UF6.
EXPLANATORY NOTE
The items listed in this section either come into direct contact with the UF 6 process gas or directly control
the flow within the cascade. All surfaces which come into contact with the process gas are wholly made of
or protected by UF6-resistant materials. For the purposes of the section relating to aerodynamic enrichment
items, the materials resistant to corrosion by UF6 include copper, stainless steel, aluminum, aluminum
alloys, nickel or alloys containing 60% or more nickel and UF 6-resistant fully fluorinated hydrocarbon
polymers.

5.5.1

Separation nozzles
Especially designed or prepared separation nozzles and assemblies thereof. The separation nozzles consist
of slit-shaped , curved channels having a radius of curvature less than 1 mm (typically 0.1 to 0.05 mm),
resistant to corrosion by UF6 and having a knife-edge within the nozzle that separates the gas flowing
through the nozzle into two fractions.

5.5.2

Vortex tubes
Especially designed or prepared vortex tubes and assemblies thereof. The vortex tubes are cylindrical or
tapered, made of or protected by materials resistant to corrosion by UF 6, having a diameter of between 0.5
cm and 4 cm, a length to diameter ratio of 20:1 or less and with one or more tangential inlets. The tubes
may be equipped with nozzle-type appendages at either or both ends.
EXPLANATORY NOTE
The feed gas enters the vortex tube tangentially at one end or through swirl vanes or at numerous tangential
positions along the periphery of the tube.

5.5.3

Compressors and gas blowers

Especially designed or prepared axial, centrifugal or positive displacement compressors or gas blowers
made of or protected by materials resistant to corrosion by UF6 and with a suction volume capacity of 2
m3/min or more of UF6/carrier gas (hydrogen or helium) mixture.
5.5.4

Rotary shaft seals
Especially designed or prepared rotary shaft seals, with seal feed and seal exhaust connections for sealing
the shaft connecting the compressor rotor or the gas blower rotor with the driver motor so as to ensure a
reliable seal against out-leakage of process gas or in-leakage of air or seal gas into the inner chamber of the
compressor or gas blower which is filled with a UF6/carrier gas mixture.

5.5.5

Heat exchangers for gas cooling
Especially designed or prepared heat exchangers made of or protected by materials resistant to corrosion by
UF6.

5.5.6

Separation element housings
Especially designed or prepared separation element housings, made of or protected by materials resistant to
corrosion by UF6, for containing vortex tubes or separation nozzles.
EXPLANATORY NOTE
These housings may be cylindrical vessels greater than 300 mm in diameter and greater than 900 mm in
length, or may be rectangular vessels of comparable dimensions, and may be designed for horizontal or
vertical installation.

5.5.7

Feed systems/product and tails withdrawal systems
Especially designed or prepared process systems or equipment for enrichment plants made of or protected
by materials resistant to corrosion by UF6, including:
(a)

Feed autoclaves, ovens, or systems used for passing UF6 to the enrichment process;

(b)

Desublimers (or cold traps) used to remove UF 6 from the enrichment process for subsequent
transfer upon heating;

(c)

Solidification or liquefaction stations used to remove UF6 from the enrichment process by
compressing and converting UF6 to a liquid or solid form;

(d)

‘Product’ or ‘tails’ stations used for transferring UF 6 into containers.

5.5.8

Header piping systems
Especially designed or prepared header piping systems, made of our protected by materials resistant to
corrosion by UF6, for handling UF6 within the aerodynamic cascades. This piping network is normally of
the ‘double’ header design with each stage or group of stages connected to each of the headers.

5.5.9

Vacuum systems and pumps
(a)
Especially designed or prepared vacuum systems having a suction capacity of 5 m3/min or more,
consisting of vacuum manifolds, vacuum headers and vacuum pumps, and designed for service in
UF6-bearing atmospheres,
(b)

5.5.10

Vacuum pumps especially designed or prepared for service in UF 6-bearing atmospheres and made
of or protected by materials resistant to corrosion by UF 6. These pumps may use fluorocarbon
seals and special working fluids.

Special shut-off and control valves
Especially designed or prepared manual or automated shut-off and control bellows valves made of or
protected by materials resistant to corrosion by UF6 with a diameter of 40 to 1500 mm for installation in
main and auxiliary systems of aerodynamic enrichment plants.

5.5.11

5.5.12

5.6

UF6 mass spectrometers/ion sources
Especially designed or prepared magnetic or quadrupole mass spectrometers capable of taking ‘on-line’
samples of feed, ‘product’ or ‘tails’, from UF6 gas streams and having all of the following characteristics:
1.

Unit resolution for mass greater than 320;

2.

Ion sources constructed of or lined with nichrome or monel or nickel plated;

3.

Electron bombardment ionization sources;

4.

Collector system suitable for isotopic analysis.

UF6/carrier gas separation systems
Especially designed or prepared process systems for separating UF 6 from carrier gas (hydrogen or helium).
EXPLANATORY NOTE
These systems are designed to reduce the UF6 content in the carrier gas to 1 ppm or less and may
incorporate equipment such as:
(a)

Cryogenic heat exchangers and cryoseparators capable of temperatures of 120C or less, or

(b)

Cryogenic refrigeration units capable of temperatures of -120C or less, or

(c)

Separation nozzle or vortex tube units for the separation of UF 6 from carrier gas, or

(d)

UF6 cold traps capable of temperatures of -20C or less.

Especially designed or prepared systems, equipment and components for use in chemical exchange or
ion exchange enrichment plants
INTRODUCTORY NOTE
The slight difference in mass between the isotopes of uranium causes small changes in chemical reaction
equilibria that can be used as a basis for separation of the isotopes. Two processes have been successfully
developed: liquid-liquid chemical exchange and solid-liquid ion exchange. In the liquid-liquid chemical
exchange process, immiscible liquid phases (aqueous and organic) are countercurrently contacted to give
the cascading effect of thousands of separation stages. The aqueous phase consists of uranium chloride in
hydrochloric acid solution; the organic phase consists of an extractant containing uranium chloride in an
organic solvent. The contactors employed in the separation cascade can be liquid-liquid exchange columns
(such as pulsed columns with sieve plates) or liquid centrifugal contactors. Chemical conversions
(oxidation and reduction) are required at both ends of the separation cascade in order to provide for the
reflux requirements at each end. A major design concern is to avoid contamination of the process streams
with certain metal ions. Plastic, plastic-lined (including use of fluorocarbon polymers) and/or glass-lined
columns and piping are therefore used. In the solid-liquid ion-exchange process, enrichment is
accomplished by uranium adsorption/desorption on a special, very fast-acting, ion-exchange resin or
adsorbent. A solution of uranium in hydrochloric acid and other chemical agents is passed through
cylindrical enrichment columns containing packed beds of the adsorbent. For a continuous process, a
reflux system is necessary to release the uranium from the adsorbent back into the liquid flow so that
‘product’ and ‘tails’ can be collected. This is accomplished with the use of suitable reduction/oxidation
chemical agents that are fully regenerated in separate external circuits and that may be partially regenerated
within the isotopic separation columns themselves. The presence of hot concentrated hydrochloric acid
solutions in the process requires that the equipment be made of or protected by special corrosion-resistant
materials.

5.6.1

Liquid-liquid exchange columns (Chemical exchange)
Countercurrent liquid-liquid exchange columns having mechanical power input (i.e., pulsed columns with
sieve plates, reciprocating plate columns, and columns with internal turbine mixers), especially designed or
prepared for uranium enrichment using the chemical exchange process. For corrosion resistance to

concentrated hydrochloric acid solutions, these columns and their internals are made of or protected by
suitable plastic materials (such as fluorocarbon polymers) or glass. The stage residence time of the
columns is designed to be short (30 seconds or less).
5.6.2

Liquid-liquid centrifugal contactors (Chemical exchange)
Liquid-liquid centrifugal contactors especially designed or prepared for uranium enrichment using the
chemical exchange process. Such contactors use rotation to achieve dispersion of the organic and aqueous
streams and the centrifugal force to separate the phases. Fro corrosion resistance to concentrated
hydrochloric acid solutions, the contactors are made of or are lined with suitable plastic materials (such as
fluorocarbon polymers) or are lined with glass. The stage residence time of the centrifugal contactors is
designed to be short (30 seconds or less).

5.6.3

Uranium reduction systems and equipment (Chemical exchange)
(a)
Especially designed or prepared electrochemical reduction cells to reduce uranium from one
valence state to another for uranium enrichment using the chemical exchange process. The cell
materials in contact with process solutions must be corrosion resistant to concentrated
hydrochloric acid solutions.
EXPLANATORY NOTE
The cell cathodic compartment must be designed to prevent re-oxidation of uranium to its higher valence
state. To keep the uranium in the cathodic compartment, the cell may have an impervious diaphragm
membrane constructed of special cation exchange material. The cathode consists of a suitable solid
conductor such as graphite.
(b)

Especially designed or prepared systems at the product end of the cascade fro taking the U 4+ out of
the organic stream, adjusting the acid concentration and feeding to the electrochemical reduction
cells.

EXPLANATORY NOTE
These systems consist of solvent extraction equipment for stripping the U 4+ from the organic stream into an
aqueous solution, evaporation and/or other equipment to accomplish solution pH adjustment and control,
and pumps or other transfer devices for feeding to the electrochemical reduction cells. A major design
concern is to avoid contamination of the aqueous stream with certain metal ions. Consequently, for those
parts in contact with the process stream, the system is constructed of equipment made of or protected by
suitable materials (such as glass, fluorocarbon polymers, polyphenyl sulfate, polyether sulfone, and resinimpregnated graphite).
5.6.4

Feed preparation systems (Chemical exchange)
Especially designed or prepared systems for producing high-purity uranium chloride feed solutions for
chemical exchange uranium isotope separation plants.
EXPLANATORY NOTE
These systems consist of dissolution, solvent extraction and/or ion exchange equipment for purification and
electrolytic cells for reducing the uranium U6+ or U4+ to U3+. These systems produce uranium chloride
solutions having only a few parts per million of metallic impurities such as chromium, iron, vanadium,
molybdenum and other bivalent or higher multi-valent cations. Materials of construction for portion of the
system processing high-purity U3+ include glass, fluorocarbon polymers, polyphenyl sulfate or polyether
sulfone plastic-lined and resin-impregnated graphite.

5.6.5

Uranium oxidation systems (Chemical exchange)
Especially designed or prepared systems for oxidation of U3 + to U4+ for return to the uranium isotope
separation cascade in the chemical exchange enrichment process.
EXPLANATORY NOTE
These systems may incorporate equipment such as:

(a) Equipment for contacting chlorine and oxygen with the aqueous effluent from the isotope separation
equipment and extracting the resultant U4+ into the stripped organic stream returning from the product
end of the cascade,
(b) Equipment that separates water from hydrochloric acid so that the water and the concentrated
hydrochloric acid may be reintroduced to the process at the proper locations.
5.6.6

Fast-reacting ion exchange resins/adsorbents (ion exchange)
Fast-reacting ion-exchange resins or adsorbents especially designed or prepared for uranium enrichment
using the ion exchange process, including porous macroreticular resins, and/or pellicular structures in
which the active chemical exchange groups are limited to a coating on the surface of an inactive porous
support structure, and other composite structures in any suitable form including particles or fibers. These
ion exchange resins/adsorbents have diameters of 0.2 mm or less and must be chemically resistant to
concentrated hydrochloric acid solutions as well as physically strong enough so as not to degrade in the
exchange columns. The resins/adsorbents are especially designed to achieve very fast uranium isotope
exchange kinetics (exchange rate half-time of less than 10 seconds) and are capable of operating at a
temperature in the range of 100C to 200C.

5.6.7

Ion exchange columns (Ion exchange)
Cylindrical columns greater than 1000 mm in diameter for containing and supporting packed beds of ion
exchange resin/adsorbent, especially designed or prepared for uranium enrichment using the ion exchange
process. These columns are made of or protected by materials (such as titanium or fluorocarbon plastics)
resistant to corrosion by concentrated hydrochloric acid solutions and are capable of operating at a
temperature in the range of 100C to 200C and pressures above 0.7 MPa (102 psia).

5.6.8

Ion exchange reflux systems (Ion exchange)
(a)
Especially designed or prepared chemical or electrochemical reduction systems for regeneration of
the chemical reducing agent(s) used in ion exchange uranium enrichment cascades.
(b)

Especially designed or prepared chemical or electrochemical oxidation systems for regeneration of
the chemical oxidizing agent(s) used in ion exchange uranium enrichment cascades.

EXPLANATORY NOTE
The ion exchange enrichment process may use, for example, trivalent titanium (Ti3+) as a reducing cation in
which case the reduction system would regenerate Ti3+ by reducing Ti4+. The process may use, for
example, trivalent iron (Fe3+) as an oxidant in which case the oxidation system would regenerate Fe3+ by
oxidizing Fe2+.
5.7

Especially designed or prepared systems, equipment and components for use in laser-based
enrichment plants
INTRODUCTORY NOTE
Present systems for enrichment processes using lasers fall into two categories: those in which the process
medium is atomic uranium vapor and those in which the process medium is the vapor of a uranium
compound. Common nomenclature for such processes include: first category - atomic vapor laser isotope
separation (AVLIS or SILVA); second category - molecular laser isotope separation (MLIS or MOLIS) and
chemical reaction by isotope selective laser activation (CRISLA). The systems, equipment and
components for laser enrichment plants embrace: (a) devices to feed uranium-metal vapor (for selective
photo-ionization) or devices to feed the vapor of a uranium compound (for photo-dissociation or chemical
activation); (b) devices to collect enriched and depleted uranium metal as ‘product’ and ‘tails’ in the first
category, and devices to collect dissociated or reacted compounds as ‘product’ and unaffected material as
‘tails’ in the second category; (c) process laser systems to selectively excite the uranium-235 species; and
(d) feed preparation and product conversion equipment. The complexity of the spectroscopy of uranium
atoms and compounds may require incorporation of any of a number of available laser technologies.

5.7.1

Uranium vaporization systems (AVLIS)

Especially designed or prepared uranium vaporization systems which contain high-power strip or scanning
electron beam guns with a delivered power on the target of more than 2.5 kW/cm.
5.7.2

Liquid uranium metal handling systems (AVLIS)
Especially designed or prepared liquid metal handling systems for molten uranium or uranium alloys,
consisting of crucibles and cooling equipment for the crucibles.
EXPLANATORY NOTE
The crucibles and other parts of this system that come into contact with molten uranium or uranium alloys
are made of or protected by materials of suitable corrosion and heat resistance. Suitable materials include
tantalum, yttria-coated graphite, graphite coated with other rare earth oxides or mixtures thereof.

5.7.3

Uranium metal ‘product’ and ‘tails’ collector assemblies (AVLIS)
Especially designed or prepared ‘product’ and ‘tails’ collector assemblies for uranium metal in liquid or
solid form.
EXPLANATORY NOTE
Components for these assemblies are made of or protected by materials resistant to the heat and corrosion
of uranium metal vapor or liquid (such as yttria-coated graphite or tantalum) and may include pipes, valves,
fittings, ‘gutters’, feed-throughs, heat exchangers and collector plates for magnetic, electrostatic or other
separation methods.

5.7.4

Separator module housings (AVLIS)
Especially designed or prepared cylindrical or rectangular vessels for containing the uranium metal vapor
source, the electron beam gun, and the ‘product’ and ‘tails’ collectors.
EXPLANATORY NOTE
These housings have multiplicity of ports for electrical and water feed-throughs, laser beam windows,
vacuum pump connections and instrumentation diagnostics and monitoring. They have provisions for
opening and closure to allow refurbishment of internal components.

5.7.5

Supersonic expansion nozzles (MLIS)
Especially designed or prepared supersonic expansion nozzles for cooling mixtures of UF6 and carrier gas
to 150 K or less and which are corrosion resistant to UF6.

5.7.6

Uranium pentafluoride product collectors (MLIS)
Especially designed or prepared uranium pentafluoride (UF 5) solid product collectors consisting of filter,
impact, or cyclone-type collectors, or combinations thereof, and which are corrosion resistant to the
UF5/UF6 environment.

5.7.7

UF6/carrier gas compressors (MLIS)
Especially designed or prepared compressors for UF 6/carrier gas mixtures, designed for long term operation
in a UF6 environment. The components o these compressors that come into contact with process gas are
made of or protected by materials resistant to corrosion by UF 6.

5.7.8

Rotary shaft seals (MLIS)
Especially designed or prepared rotary shaft seals, with seal feed and seal exhaust connections, for sealing
the shaft connecting the compressor rotor with the driver motor so as to ensure a reliable seal against outleakage of process gas or in-leakage of air or seal gas into the inner chamber of the compressor which is
filled with a UF6/carrier gas mixture.

5.7.9

Fluorination systems (MLIS)
Especially designed or prepared systems for fluorinating UF 5 (solid) to UF6 (gas).
EXPLANATORY NOTE

These systems are designed to fluorinate the collected UF5 powder to UF6 for subsequent collection in
product containers or for transfer as feed to MLIS units for additional enrichment. In one approach, the
fluorination reaction may be accomplished within the isotope separation system to react and recover
directly off the ‘product’ collectors. In another approach, the UF 5 powder may be removed/transferred
from the ‘product’ collectors into a suitable reaction vessel (e.g., fluidized-bed reactor, screw reactor or
flame tower) for fluorination. In both approaches, equipment for storage and transfer of fluorine (or other
suitable fluorinating agents) and for collection and transfer of UF 6 are used.
5.7.10

5.7.11

5.7.12

UF6 mass spectrometers/ion sources (MLIS)
Especially designed or prepared magnetic or quadrupole mass spectrometers capable of taking ‘on-line’
samples of feed, ‘product’ or ‘tails’, from UF6 gas streams and having all of the following characteristics:
1.

Unit resolution for mass greater than 320;

2.

Ion sources constructed of or lined with nichrome or monel or nickel plated;

3.

Electron bombardment ionization sources;

4.

Collector system suitable for isotopic analysis.

Feed systems/product and tails withdrawal systems (MLIS)
Especially designed or prepared process systems or equipment for enrichment plants made of or protected
by materials resistant to corrosion by UF6, including:
(a)

Feed autoclaves, ovens, or systems used for passing UF6 to the enrichment process;

(b)

Desublimers (or cold traps) used to remove UF6 from the enrichment process for subsequent
transfer upon heating;

(c)

Solidification or liquefaction stations used to remove UF6 from the enrichment process by
compressing and converting UF6 to a liquid or solid form;

(d)

‘Product’ or ‘tails’ stations used for transferring UF6 into containers.

UF6/carrier gas separation systems (MLIS)
Especially designed or prepared process systems for separating UF 6 from carrier gas. The carrier gas may
be nitrogen, argon, or other gas.
EXPLANATORY NOTE
These systems may incorporate equipment such as:

5.7.13

(a)

Cryogenic heat exchangers or cryoseparators capable of temperatures of -120C or less, or

(b)

Cryogenic refrigeration units capable of temperatures of -120C or less, or

(c)

UF6 cold traps capable of temperatures of -20C or less.

Laser systems (AVLIS, MLIS and CRISLA)
Lasers or laser systems especially designed or prepared for the separation of uranium isotopes.
EXPLANATORY NOTE
The laser system for the AVLIS process usually consists of two lasers: a copper vapor laser and a dye laser.
The laser system for MLIS usually consists of a CO2 or excimer laser and a multi-pass optical cell with
revolving mirrors at both ends. Lasers or laser systems for both processes require a spectrum frequency
stabilizer for operation over extended periods of time.

5.8

Especially designed or prepared systems, equipment and components for use in plasma separation
enrichment plants
INTRODUCTORY NOTE
In the plasma separation process, a plasma of uranium ions passes through an electric field tuned to the U235 ion resonance frequency so that they preferentially absorb energy and increases the diameter of their
corkscrew-like orbits. Ions with a large-diameter path are trapped to produce a product enriched in U-235.
The plasma, which is made by ionizing uranium vapor, is contained in a vacuum chamber with a highstrength magnetic field produced by a superconducting magnet. The main technological systems of the
process include the uranium plasma generation system, the separator module with superconducting magnet
and metal removal systems for the collection of ‘product’ and ‘tails’.

5.8.1

Microwave power sources and antennae
Especially designed or prepared microwave power sources and antennae for producing or accelerating ions
and having the following characteristics: greater than 30GHz frequency and greater than 50kW mean
power output for ion production.

5.8.2

Ion excitation coils
Especially designed or prepared radio frequency ion excitation coils for frequencies of more than 100 kHz
and capable of handling more than 40kW mean power.

5.8.3

Uranium plasma generation systems
Especially designed or prepared systems for the generation of uranium plasma, which may contain highpower strip or scanning electron beam guns with a delivered power on the target of more than 2.5 kW/cm.

5.8.4

Liquid uranium metal handling systems
Especially designed or prepared liquid metal handling systems for molten uranium or uranium alloys,
consisting of crucibles and cooling equipment for the crucibles.
EXPLANATORY NOTE
The crucibles and other parts of this system that come into contact with molten uranium or uranium alloys
are made of or protected by materials of suitable corrosion and heat resistance. Suitable materials include
tantalum, yttria-coated graphite, graphite coated with other rare earth oxides or mixtures thereof.

5.8.5

Uranium metal ‘product’ and ‘tails’ collector assemblies
Especially designed or prepared ‘product’ and ‘tails’ collector assemblies for uranium metal in solid form.
These collector assemblies are made of or protected by materials resistant to the heat and corrosion of
uranium metal vapor such as yttria-coated graphite or tantalum.

5.8.6

Separator module housings
Cylindrical vessels especially designed or prepared for use in plasma separation enrichment plants for
containing the uranium plasma source, radio-frequency drive coil and the ‘products’ and ‘tails’ collectors.
EXPLANATORY NOTE
These housings have a multiplicity of ports for electrical feed-throughs, diffusion pump connections and
instrumentation diagnostics and monitoring. They have provisions for opening and closure to allow for
refurbishment of internal components and are constructed of a suitable non-magnetic material such as
stainless steel.

5.9

Especially designed or prepared systems, equipment and components for use in electromagnetic
enrichment plants
INTRODUCTORY NOTE
In the electromagnetic process, uranium metal ions produced by ionization of a salt feed material (typically
UCL4) are accelerated and passed through a magnetic field that has the effect of causing the ions of

different isotopes to follow different paths. The major components of an electromagnetic isotope separator
include: a magnetic field for ion-beam diversion/separation of the isotopes, an ion source with its
acceleration system, and a collection system for the separated ions. Auxiliary systems for the process
include the magnet power supply system, the ion source high-voltage power supply system, the vacuum
system, and extensive chemical handling systems for recovery of product and cleaning/recycling of
components.
5.9.1

Electromagnetic isotope separators
Electromagnetic isotope separators especially designed or prepared for the separation of uranium isotopes,
and equipment and components therefor, including:
(a)

Ion sources
Especially designed or prepared single or multiple uranium ion source consisting of a vapor
source, ionizer, and beam accelerator, constructed of suitable materials such as graphite, stainless
steel, or copper, and capable of providing a total ion beam current of 50 mA or greater.

(b)

Ion collectors
Collector plates consisting of two or more slits and pockets especially designed or prepared for
collection of enriched and depleted uranium ion beam sand constructed of suitable materials such
as graphite or stainless steel.

(c)

Vacuum housings
Especially designed or prepared vacuum housings for uranium electromagnetic separators,
constructed of suitable non-magnetic materials such as stainless steel and designed for operation at
pressures of 0.1 Pa or lower.
EXPLANATORY NOTE
The housings are specially designed to contain the ion sources, collector plates and water-cooled
liners and have provision for diffusion pump connections and opening and closure for removal and
reinstallation of these components.

(d)

Magnet pole pieces
Especially designed or prepared magnet pole pieces having a diameter greater than 2 m used to
maintain a constant magnetic field within an electromagnetic isotope separator and to transfer the
magnetic field between adjoining separators.

5.9.2

High voltage power supplies
Especially designed or prepared high-voltage power supplies for ion sources, having all of the following
characteristics: capable of continuous operation, output voltage of 20,000 V or greater, output current of 1
A or greater, and voltage regulation of better than 0.01% over a time period of 8 hours.

5.9.3

Magnet power supplies
Especially designed or prepared high-power, direct current magnet power supplies having all of the
following characteristics: capable of continuously producing a current output of 500 A or greater at a
voltage of 100 V or greater and with a current or voltage regulation better than 0.01% over a period of 8
hours.

6.

Plants for the production of heavy water, deuterium and deuterium compounds and equipment
especially designed or prepared therefor
INTRODUCTORY NOTE
Heavy water can be produced by a variety of processes. However, the two processes that have proven to be
commercially viable are the water-hydrogen sulfphide exchange process (GS process) and the ammoniahydrogen exchange process.

The GS process is based upon the exchange of hydrogen and deuterium between water and hydrogen
sulphide within a series of towers which are operated with the top section cold and the bottom section hot.
Water flows down the towers while the hydrogen sulphide gas circulates from the bottom to the top of the
towers. A series of perforated trays are used to promote mixing between the gas and the water. Deuterium
migrates to the water at low temperatures and to the hydrogen sulphide at high temperatures. Gas or water,
enriched in deuterium, is removed from the first stage towers at the junction of the hot and cold sections
and the process is repeated in subsequent stage towers. The product of the last stage, water enriched up to
30% in deuterium, is sent to a distillation unit to produce reactor grade heavy water, i.e., 99.75% deuterium
oxide.
The ammonia-hydrogen exchange process can extract deuterium from synthesis gas through contact with
liquid ammonia in the presence of a catalyst. The synthesis gas is fed into exchange towers and to an
ammonia converter. Inside the towers the gas flows from the bottom to the top while the liquid ammonia
flows form the top to the bottom. The deuterium is stripped from the hydrogen in the synthesis gas and
concentrated in the ammonia. The ammonia then flows in to an ammonia cracker at the bottom of the
tower while the gas flows into an ammonia converter at the top. Further enrichment takes place in
subsequent stages and reactor grade heavy water is produced through final distillation. The synthesis gas
feed can be provided by an ammonia plant that, in turn , can be constructed in association with a heavy
water ammonia-hydrogen exchange plant. The ammonia-hydrogen exchange process can also use ordinary
water as a feed source of deuterium.
Many of the key equipment items for heavy water production plants using GS or the ammonia-hydrogen
exchange processes are common to several segments of the chemical and petroleum industries. This is
particularly so for small plants using the GS process. However, few of the items are available “off-theshelf”. The GS and ammonia-hydrogen processes require the handling of large quantities of flammable,
corrosive and toxic fluids at elevated pressures. Accordingly, in establishing design and operating
standards for plants and equipment using these processes, careful attention to the materials selection and
specifications is required to ensure long service life with high safety and reliability factors. The choice of
scale is primarily a function of economics and need. Thus, most of the equipment items would be prepared
according to the requirements of the customer.
Finally, it should be noted that, in both the GS and the ammonia-hydrogen exchange processes, items of
equipment which individually are not especially designed or prepared for heavy water production an be
assembled into systems which are especially designed or prepared for producing heavy water. The catalyst
production system used in the ammonia-hydrogen exchange process and water distillation systems used for
the final concentration of heavy water to reactor-grade in either process are examples of such systems.
The items of equipment which are especially designed or prepared for the production of heavy water
utilizing either the water-hydrogen sulphide exchange process or the ammonia-hydrogen exchange process
include the following:
6.1

Water - Hydrogen Sulphide Exchange Towers
Exchange towers fabricated from fine carbon steel (such as ASTM A516) with diameters of 6 m (20 ft) to 9
m (30 ft), capable of operating at pressures greater than or equal to 2 MPa (300 psi) and with a corrosion
allowance of 6 mm or greater, especially designed or prepared for heavy water production utilizing the
water-hydrogen sulphide exchange process.

6.2

Blowers and Compressors
Single stage, low head (i.e., 0.2 MPa or 30 psi) centrifugal blowers or compressors for hydrogen-sulphide
gas circulation (i.e., gas containing more than 70% H2S) especially designed or prepared for heavy water
production utilizing the water-hydrogen sulphide exchange process. These blowers or compressors have a
throughput capacity greater than or equal to 56m3/second (120,000 SCFM) while operating at pressures
greater than or equal to 1.8 MPa (260 psi) suction and have seals designed for wet H2S service.

6.3

Ammonia-Hydrogen Exchange Towers

Ammonia-hydrogen exchange towers greater than or equal to 35 m (114.3 ft) in height with diameters of
1.5 m (4.9 ft) to 2.5 m (8.2 ft) capable of operating at pressures greater than 15 MPa (2225 psi) especially
designed or prepared for heavy water production utilizing the ammonia-hydrogen exchange process. These
towers also have at least on flanged axial opening of the same diameter as the cylindrical part through
which the tower internal scan be inserted or withdrawn.
6.4

Tower Internals and Stage Pumps
Tower internals and stage pumps especially designed or prepared for towers for heavy water production
utilizing the ammonia-hydrogen exchange process. Tower internals include specially designed stage
contactors which promote intimate gas/liquid contact. Stage pumps include especially designed
submersible pumps for circulation of liquid ammonia within a contacting stage internal to the stage towers.

6.5

Ammonia Crackers
Ammonia crackers with operating pressures greater than or equal to 3 MPa (450 psi) especially designed or
prepared for heavy water production utilizing the ammonia-hydrogen exchange process.

6.6

Infrared Absorption Analyzers
Infrared absorption analyzers capable of “on-line” hydrogen /deuterium ratio analysis where deuterium
concentrations are equal to or greater than 90%.

6.7

Catalytic Burners
Catalytic burners for the conversion of enriched deuterium gas into heavy water especially designed or
prepared for heavy water production utilizing the ammonia-hydrogen exchange process.

7.

Plants for the conversion of uranium and equipment especially designed or prepared therefor
INTRODUCTORY NOTE
Uranium conversion plants and systems may perform one or more transformations from one uranium
chemical species to another, including: conversion of uranium ore concentrates to UO 3, conversion of UO3
to UO2, conversion of uranium oxides to UF4 or UF6, conversion of UF4 to UF6, conversion of UF6 to UF4,
conversion of UF4 to uranium metal, and conversion of uranium fluorides to UO2. Many of the key
equipment items for uranium conversion plants are common to several segments of the chemical process
industry. For example, the types of equipment employed in these processes may include: furnaces, rotary
kilns, fluidized bed reactors, flame tower reactors, liquid centrifuges, distillation columns and liquid-liquid
extraction columns. However, few o t the items are available “off-the-shelf”; most would be prepared
according to the requirements and specification of the customer. In some instances, special design and
construction considerations are required to address the corrosive properties of some of the chemicals
handled (HF, F2, ClF3, and uranium fluorides). Finally, it should be noted that, in all of the uranium
conversion processes, items of equipment which individually are not especially designed or prepared for
uranium conversion can be assembled into systems which are especially designed or prepared for use in
uranium conversion.

7.1

Especially designed or prepared systems for the conversion of uranium ore concentrates to UO 3
EXPLANATORY NOTE
Conversion of uranium ore concentrates to UO3 can be performed by first dissolving the ore in nitric acid
and extracting purified uranyl nitrate using a solvent such as tributyl phosphate. Next, the uranyl nitrate is
converted to UO3 either by concentration and denitration or by neutralization with gaseous ammonia to
produce ammonium diuranate with subsequent filtering, drying, and calcining.

7.2

Especially designed or prepared systems for the conversion of UO 3 to UF6
EXPLANATORY NOTE
Conversion of UO3 to UF6 can be performed directly by fluorination. The process requires a source of
fluorine gas or chlorine trifluoride.

7.3

Especially designed or prepared systems for the conversion of UO3 to UO2
EXPLANATORY NOTE
Conversion of UO3 to UO2 can be performed through reduction of UO3 with cracked ammonia gas or
hydrogen.

7.4

Especially designed or prepared systems for the conversion of UO 2 to UF4
EXPLANATORY NOTE
Conversion of UO2 to UF4 can be performed by reacting UO 2 with hydrogen fluoride gas (HF) at 300500C.

7.5

Especially designed or prepared systems for the conversion of UF 4 to UF6
EXPLANATORY NOTE
Conversion of UF4 to UF6 is performed by exothermic reaction with fluorine in a tower reactor. UF 6 is
condensed from the hot effluent gases by passing the effluent stream through a cold trap cooled to -10C.
The process requires a source of fluorine gas.

7.6

Especially designed or prepared systems for the conversion of UF4 to U metal
EXPLANATORY NOTE
Conversion of UF4 to U metal is performed by reduction with magnesium (large batches) or calcium (small
batches). The reaction is carried out at temperatures above the melting point of uranium (1130C).

7.7

Especially designed or prepared systems for the conversion of UF 6 to UO2
EXPLANATORY NOTE
Conversion of UF6 to UO2 can be performed by one of three processes. In the first, UF 6 is reduced and
hydrolyzed to UO2 using hydrogen and steam. In the second, UF6 is hydrolyzed by solution in water,
ammonia is added to precipitate ammonium diuranate, and the diuranate is reduced to UO 2 with hydrogen
at 820C. In the third process, gaseous UF6, CO2, and NH3 are combined with water, precipitating
ammonium uranyl carbonate. The ammonium uranyl carbonate is combined with steam and hydrogen at
500-600C to yield UO2. UF6 to UO2 conversion is often performed as the first stage of a fuel fabrication
plant.

7.8

Especially designed or prepared systems for the conversion of UF6 to UF4
EXPLANATORY NOTE
Conversion of UF6 to UF4 is performed by reduction with hydrogen.