Publication Date: 6/1/74
    Pages: 2
    Date Entered: 2/22/84
    Title: EVALUATION OF SHIPPER-RECEIVER DIFFERENCES IN THE TRANSFER OF SPECIAL NUCLEAR MATERIALS
    June 1974
    U.S. ATOMIC ENERGY COMMISSION
    REGULATORY GUIDE
    DIRECTORATE OF REGULATORY STANDARDS
    REGULATORY GUIDE 5.28
    EVALUATION OF SHIPPER-RECEIVER DIFFERENCES
    IN THE TRANSFER OF
    SPECIAL NUCLEAR MATERIALS
A. INTRODUCTION
    Paragraph (g) of proposed section 70.58 of 10 CFR Part 70 (38 FR
    3077) would require certain AEC licensees authorized to possess special
    nuclear material to establish, maintain, and follow procedures for
    reviewing and evaluating shipper-receiver differences. This guide
    identifies concepts, principles, and methods that are acceptable to the
    Regulatory staff for determining significant shipper-receiver
    differences.
B. DISCUSSION
    Statistical controls are required as an integral part of special
    nuclear materials control and accounting systems to assure that
    licensees of fuel processing and fuel fabrication facilities effectively
    account for the special nuclear material they possess and identify
    losses when they occur. An important statistical indicator of control
    is an observed shipper-receiver difference, which results from comparing
    two independent determinations of transferred material. A
    shipper-receiver difference is the difference between the amount stated
    by the shipper as having been shipped and the amount stated by the
    receiver as having been received.
    Essential to a comprehensive evaluation of the significance of
    this indicator are statistical techniques using associated limits of
    error for testing whether detected differences may be attributable to
    measurement error. The power or discernibility of such significance
    tests depends on the quality and amount of data evaluated.
    The shipper and receiver of transferred material should make
    independent measurements to determine the amount of SNM in a shipment.
    A non-zero shipper-receiver difference generally occurs because of
    errors introduced by sampling bulk materials and measuring weights or
    volumes and SNM concentrations. Additionally, a shipper-receiver
    difference could be the result of a diversion, theft, unmeasured loss of
    SNM, or recording mistake.
    The identification and evaluation of shipper-receiver differences
    is one of the means of detecting diversion, theft, loss, or
    misstatements of the amount of SNM transferred. Additionally, such
    evaluation and subsequent resolution will tend to limit the amount of
    material unaccounted for (MUF) transferred from one facility of another.
    Subcommittee N15-3 of the American National Standards Institute
    (ANSI) Standards Committee N15, Methods of Nuclear Materials Control,
    has developed a standard that provides concepts and principles for the
    statistical evaluation of shipper-receiver differences in the transfer
    of special nuclear materials. This standard, to be designated ANSI
    N15.17, "Concepts and Principles for the Statistical Evaluation of
    Shipper-Receiver Differences in the Transfer of Special Nuclear
    Materials," has been reviewed by Subcommittee N15-3.
    This standard references the standard ANSI N15.16, "Limit of Error
    Concepts and Principles of Calculation in Nuclear Materials Control,"
    which defines limit of error as twice the standard deviation of the
    estimates. This is not always consistent with 10 CFR Part 70 and
    Regulatory Guide 5.3, "Statistical Terminology and Notation for Nuclear
    Materials Management," which define limit of error as the uncertainty
    component used in constructing a 95% confidence interval.
C. REGULATORY POSITION
    The recommendations contained in the proposed ANSI Standard
    N15.17, "Concepts and Principles for the Statistical Evaluation of
    Shipper-Receiver Differences in the Transfer of Special Nuclear
    Materials," Draft 5, dated April 10, 1974,(1) are generally acceptable
    to the Regulatory staff for use in nuclear material control and
    accounting procedures, except that in section 4.6 of the standard the
    variances used in the evaluation of shipper-receiver differences should
    be considered as defined in Regulatory Guide 5.18, "Limit of Error
    Concepts and Principles of Calculation in Nuclear Materials Control,"
    which provides two clarifications with regard to ANSI Standard
    N15.16-1974 having the same title.
    In addition, the following should be done:
1. Shipper-receiver differences should be reviewed and evaluated on
    an individual container, material batch, and shipment basis and on a
    transfer series of like-type material. Appropriate investigative and
    corrective action should be taken to reconcile shipper-receiver
    differences that are statistically significant at the 95% confidence
    level.
2. A statistically significant shipper-receiver difference warrants
    investigation to decide whether corrective action, e.g., reconciliation,
    is necessary or, more important, whether diversion or theft has
    occurred. The following measurement information should be available in
    order to perform an adequate investigation:
    a. Number of measurements of weight for each lot and container.
    b. Random and systematic errors for weighings and basis for the
    error estimates.
    ----------
    (1) Copies may be obtained from the Institute of Nuclear Materials
    Management, 505 King Avenue, Columbus, Ohio 43201, Attn: Mr. H. L. Toy.
    ----------
    c. Replicate weighing data,
    d. Sampling scheme used and replicate sampling information,
    e. Replicate analysis data,
    f. Number of samples and elemental analyses going into each
    average value reported,
    g. Sampling errors and basis for the error estimates,
    h. Random and systematic errors for the elemental analyses and
    basis for the error estimates,
    i. Sampling scheme for isotopic analyses,
    j. Number of isotopic analyses per lot, and
    k. Random and systematic errors of the isotopic analyses and
    basis for the error estimates.
3. In regard to principle 4.3 of the standard, the receiver's
    measurements, including sampling, should be made independent of the
    shipper's.
4. In regard to principles 4.2 and 4.4 of the standard, the procedure
    for evaluating shipper and receiver data should provide the capability
    to localize any detected diversion to specific transfer material batches
    and either to a specific container or a specific group of containers.
5. Paragraphs 1.1 and 1.2 of the standard purposely limit the scope
    of the standard. The detection of missing material and, in turn, the
    uncovering of diversion or theft should be timely. Receipts should be
    piece-counted and item-identified for comparison with the shipment bill
    of lading as soon as possible, but in no case later than 24 hours after
    receipt. Also within 24 hours, the integrity of tamper-safing devices
    should be verified, and receipts should be measured by weighing and, to
    the extent practical, by nondestructive analysis (NDA) for comparison
    with shipper's values. More accurate and precise measurements for
    completing AEC Form 741 and for further data evaluation should be made
    as soon as practicable.
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