ML18124A228

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NRC-2018-000518 - Resp 1 - Final
ML18124A228
Person / Time
Issue date: 05/04/2018
From: Stephanie Blaney
Information Services Branch
To: Keys C
- No Known Affiliation
References
FOIA, FOIA/PA-2016-0025, NRC-2018-000518
Download: ML18124A228 (103)
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Text

NRC FORM 464 Part I U.S. NUCLEAR REGULATORY COMMISSION NRC RESPONSE NUMBER (04-2018)

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  • ¥' I 2018-000518 1

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i RESPONSE TO FREEDOM OF I

\ l INFORMATION ACT (FOIA) REQUEST

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RESPONSE

TYPE D INTERIM 0 FINAL REQUESTER: DATE:

!clay Keys 11 05/04/2018 I

DESCRIPTION OF REQUESTED RECORDS:

Copy ofrequest and response to FOIA/PA-2016-0025 PART I. -- INFORMATION RELEASED D The NRC has made some, or all, of the requested records publicly available through one or more of the following means:

(1) https://www.nrc.gov; (2) public ADAMS, https://www.nrc.gov/reading-rm/adams.html; (3) microfiche available in the NRC Public Document Room; or FOIA Online, https://foiaonline.regulations.gov/foia/action/public/home.

[Z] Agency records subject to the request are enclosed.

Records subject to the request that contain information originated by or of interest to another Federal agency have been referred to D that agency (See Part 1.0 -- Comments) for a disclosure determination and direct response to you.

D We are continuing to process your request.

D See Part 1.0 -- Comments.

PART I.A-- FEES AMOUNT D You will be billed by NRC for the amount indicated. [Z] Since the minimum fee threshold was not met, you will not be charged fees.

I D You will receive a refund for the amount indicated.

$0.00 Due to our delayed response, you will not be I

D Fees waived. D charged search and/or duplication fees that would otherwise be applicable to your request.

PART 1.8-- INFORMATION NOT LOCATED OR WITHHELD FROM DISCLOSURE D We did not locate any agency records responsive to your request. Note: Agencies may treat three discrete categories of law enforcement and national security records as not subject to the FOIA ("exclusions"). See 5 U.S.C. 552(c). This is a standard notification given to all requesters; it should not be taken to mean that any excluded records do, or do not, exist.

D We have withheld certain information pursuant to the FOIA exemptions described, and for the reasons stated, in Part II.

D Because this is an interim response to your request, you may not appeal at this time. We will notify you of your right to appeal any of the responses we have issued in response to your request when we issue our final determination.

D You may appeal this final determination within 90 calendar days of the date of this response. If you submit an appeal by mail, address it to the FOIA Officer, at U.S. Nuclear Regulatory Commission, Mail Stop T-2 F43, Washington, D.C. 20555-0001. You may submit an appeal by e-mail to FOIA.resource@nrc.gov. You may fax an appeal to (301) 415-5130. Or you may submit an appeal through FOIA Online, https://foiaonline.regulations.gov/foia/action/public/home. Please be sure to include on your submission that it is a "FOIA Appeal."

PART 1.C-- REFERENCES AND POINTS OF CONTACT You have the right to seek assistance from the NRC's FOIA Public Liaison by submitting your inquiry at https://www.nrc.gov/reading-rm/

foia/contact-foia.html, or by calling the FOIA Public Liaison at (301) 415-1276.

If we have denied your request, you have the right to seek dispute resolution services from the NRC's Public Liaison or the Office of Government Information Services (OGIS). To seek dispute resolution services from OGIS, you may e-mail OGIS at ogis@nara.gov, send a fax to (202) 741-5789, or send a letter to: Office of Government Information Services, National Archives and Records Administration, 8601 Adelphi Road, College Park, MD 20740-6001. For additional information about OGIS, please visit the OGIS website at https://www.archives.gov/ogis_.

NRC FORM 464 Part I U.S. NUCLEAR REGULATORY COMMISSION NRC RESPONSE NUMBER (04-2018)

. RESPONSE TO FREEDOM OF 1 2018-000518 1 11 INFORMATION ACT (FOIA_) REQUEST RESPONSE TYPE D INTERIM J ./ I FINAL PART I.D -- COMMENTS This also acknowledges receipt of your request. The requested records are being provided in their entirety.

Signature - Freedom of Information Act Officer or Designee

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NRC FORM 464 Part I U.S. NUCLEAR REGULATORY COMMISSION FOIA/PA RESPONSE NUMBER (01-2015)

RESPONSE *TO FREEDOM OF INFORMATION ACT (FOIA) / PRIVACY ACT (PA) REQUEST RESPONSE TYPE D INTERIM 1/1 L!.J FINAL REQUESTER DATE Julian Tarver PART I. - INFORMATION RELEASED D No additional agency records subject to the request have been located.

D Requested records are available through another public distribution program. See Comments section.

Agency records subject to the request that are identified in the specified group are already available in public 0 [GROUP _ _ ]

ADAMS or on microfiche in the NRC Public Document Room.

[GROUP _ _ __

D Agency records subject to the request that are contained in the specified group are being made available in r:~:. ____J

______ -*--* .J public ADAMS.

0 Agency records subject to the request are enclosed.

D referred Records subject to the request that contain information originated by or of interest to another Federal agency have been to that agency (see comments section) for a disclosure determination and dire~ response to you.

D We are continuing to process your request.

D ,See Comments.

PART I.A** FEES I D You will be billed by NRC for the amount listed. [{] None. Minimum fee threshold not met.

AMOUNT*

$ I o.oo

  • See comments for details D You will receive a refund for the amount"listed. D Fees waived.

PART I.B - INFORMATION NOT LOCATED OR WITHHELD FROM DISCLOSURE D We did not locate any agency records responsive to your request. Note: Congress allowed agencies to treat three discrete categories of law enforcement and national security records as not subject to the FOIA ("exclusions").

See 5 U.S.C. 552(c). This is a standard notification that we give to all requesters; it should not be taken as an indication that any of these excluded records do, or do not, exist.

We have withheld certain information in the records from disclosure pursuant to the FOIA exemptions described, D and for the reasons stated, in Part II.

Because this is an interim response to your request, you may not appeal this determination at this time. We will D notify you of your right to appeal any of the responses we have issued in response to your request when we issue our final determination on your request.

D You may appeal this final determination within 30 calendar days of the date of this response, by writing to the FOIA Officer, U.S. Nuclear Regulatory Commission, Washington, o:c. 20555-0001 . Please be sure to mark your letter/envelope or email that it is a "FOIA Appeal."

PART I.C COMMENTS ( Use attached Comments continuation page If required)

Mr. Tarver, this is the final response regarding your FOIA request for the 1st 100 pages of the NRC Inspection Manual.

SIGNATURE -FREEDOM Ol'-!NFORMATION ACT AND PRIVACY ACT OFFICER

'Roaer .'A.naoli NRC FORM 464 Part 1 (01-2015) Page 2 of3

NRC INSPECTION MANUAL DIRS TABLE OF CONTENTS Table of Contents Current through Change Notice 15-021 issued 10/26/2015 f!B!

CHAPTER 0000 NRC Inspection Manual 1 0040 Preparing, Revising, and Issuing Documents for the NRC Inspection Manual 11/20/14 (14-028) 0100 Program Responsibilities 0102 Oversight and Objectivity of Inspectors and Examiners at Reactor Facilities 04/24/13 (13-012) 0111 Monitoring Activities for the DOE West Valley Demonstration Project 03/04/02 (02-006) 0200 Program Management Reports 0300 Inspection Policy 0300 Announced and Unannounced Inspections 03/24/94 (94-010) 0301 Coordination of NRC Visits to Commercial Reactor Sites 08/24/01 (01-016) 0305 Operating Reactor Assessment Program 04/09/15 (15-005) 0306 Information Technology Support for the Reactor Oversight Process 07/18/14 (14-016) 0307 Reactor Oversight Process Self-Assessment Program 03/23/09 (09-010) 0307, App A Reactor Oversight Process Self-Assessment Metrics 03/27/13 (13-010)

  • 0307, App B ROP Realignment Process 10/13/11 (11-019) 0308 Reactor Oversight Process (ROP) Basis Document 09/04/14 (14-020) 0308, Att 1 Technical Basis for Performance Indicators 11/08/07 (07-035) 0308, Att 2 Technical Basis for Inspection Program 10/16/06 (06-027) 1 The date and numbers in parentheses to the right of the chapter/inspection procedure title are the issue date and the change notice number under which the title was issued.
  • Issue Date: 10/26/15 1 TABLE OF CONTENTS

0308, Att 3 Technical Basis for Significance Determination Process 10/16/06 (06-027) 0308, Att 3, App A Technical Basis for At Power Significance Determination 06/19/12 (12-010) 0308, Att 3, App B Technical Basis for Emergency Preparedness Significance Determination Process 12/19/12 (12-029) 0308, Att 3, App C Technical Basis for Occupational Radiation Safety Significance Determination Process 07/28/05 (05-022) 0308, Att 3, App D Technical Basis for Public Radiation Safety Significance Determination Process 07/27/04 (04-020) 0308, Att 3, App E Technical Basis for the Baseline Security Significance Determination Process 07/27/12 (12-016) 0308, Att 3, App F Technical Basis for Fire Protection Significance Determination Process [IMC 0609, Appendix F] At Power Operations 02/28/05 (05-007) 0308, Att 3, App G Technical Basis for Shutdown Operations Significance Determination Process 02/28/05 (05-007)

Using Qualitative Criteria 06/11/14 (14-012) 0308, Att4 Technical Basis for Assessment 07/26/05 (05-022) 0308, Att 5 Technical Basis for Enforcement 10/16/06 (06-027) 0308, Att 6 Basis Document for the Security Cornerstone of the Reactor Oversight Process 09/08/09 (09-021) 0309 Reactive Inspection Decision Basis for Reactors 10/28/11 (11-023) 0310 Aspects Within the Cross-Cutting Areas 12/04/14 (14-029) 0312 Technical Assistance for Radiation Safety Inspections at N.uclear Fuel .

Cycle Facilities and Materials Licensees' Sites 06/06/02 (02-023) 0313 Industry Trends Program 05/29/08 (08-016) 0320 Operating Reactor Security Assessment Program 06/13/12 (12-009) 0321 Reserved for Operability Determinations & Functionality Assessments of Conditions Adverse To Quality or Safety 0326 Operability Determinations and Functionality Assessments for Conditions Adverse to Quality or Safety 01/13/14 (14-004) 0330 Guidance for NRC Review of Licensee Draft Documents 07/08/96 (96-015)

Issue Date: 10/26/15 2 TABLE OF CONTENTS

0350 Oversight of Operating Reactor Facilities in a Shutdown Condition With Performance Problems 12/15/06 (06-035) 0351 Implementation of the Reactor Oversight Process at Reactor Facilities in an Extended Shutdown Condition for Reasons Other Than Significant Performance Problems 04/05/11 (11-005) 0400 Enforcement Policy 041 O Notices of Enforcement Discretion 03/13/13 (13-009) 0410, App A Reserved for NOEDs during a Pandemic 0500 Tracking Systems 0600 Documentation of Program Findings 0608 Performance Indicator Program 09/26/,12 (12-022) 0609 Significance Determination Process 04/29/15 (15-008) 0609.01 Significance and Enforcement Review Panel Process 04/29/15 (15-008) 0609.02 Process for Appealing NRC Characterization of Inspection Findings (SDP Appeal Process) 06/08/11 (11-010) 0609.03 Senior Reactor Analyst (SRA) and Risk Analyst Support Expectations 04/29/15 (15-008) 0609.04 Phase 1 - Initial Screening and Characterization of Findings 06/19/12 (12-010) 0609, App A Determining the Significance of Reactor Inspection Findings for At-Power Situations 06/19/12 (12-010) 0609, App B Emergency Preparedness Significance Determination Process 09/22/15 (15-017) 0609, App C Occupational Radiation Safety Significance Determination Process 08/19/08 (08-024) 0609, App D Public Radiation Safety Significance Determination Process 02/12/08 (08-007) 0609, App E Security Significance Determination Process for Power Reactors 10/08/15 (15-019) 0609, App E Part I Baseline Security Significance Determination Process for Power Reactors 10/26/15 (15-021) 0609, App E Part II Force-on-Force Significance Determination Process 01/15/14 (14-001) 0609, App E(P)Part Ill Construction Fitness-for-Duty Significance Determination Process

- Pilot 09/19/12 (12-021) 0609, App E Part IV Cyber Security Significance Determination Process for Power Reactors 01 /24/13 (13-003) 0609, App F Fire Protection Significance Determination Process 09/20/13 (13-022)

Issue Date: 10/26/15 3 TABLE OF CONTENTS

0609, App F, Att 1 Part 1: Fire Protection SOP Phase 1 Worksheet 09/20/13 (13-022) 0609, App F, Att 2 Degradation Rating Guidance Specific to Various Fire Protection Program Elements 02/28/05 (05-007) 0609, App F, Att 3 Guidance for Identifying Fire Growth and Damage Scenarios 02/28/05 (05-007) 0609, App F, Att 4 Fire Ignition Source Mapping Information: Fire Frequency, Counting Instructions, Applicable Fire Severity Characteristics, and Applicable Manual Fire Suppression Curves 02/28/05 (05-007) 0609, App F, Att 5 Characterizing Non-Simple Fire Ignition Sources 02/28/05 (05-007) 0609, App F, Att 6 Guidance for the Identification of Targets and Their Ignition and Damage Criteria 02/28/05 (05-007) 0609, App F, Att 7 Guidance for Fire Growth and Damage Time Analysis 02/28/05 (05-007) 0609, App F, Att 8 Guidance for Fire Non-Suppression Probability Analysis 02/28/05 (05-007) 0609, App G Shutdown Operations Significance Determination Process 05/09/14 (14-011) 0609, App G, Att 1 Shutdown Operations Significance Determination Process Phase 1 Operational Checklists for Both PWRs and BWRs 05/09/14 (14-011) .

0609, App G, Att 2 Phase 2 Significance Determination Process Template for PWR during Shutdown 02/28/05 (05-007) 0609, App G, Att 3 Phase 2 Significance Determination Process Template for BWR during Shutdown 02/28/05 (05-007) 0609, App H Containment Integrity Significance Determination Process 05/06/04 (04-010) 0609, App I Operator Requalification Human Performance Significance Determination Process [SOP] 12/06/11 (11-040) 0609, App J Technical Basis for Steam Generator Tube Integrity Findings 07/06/11 (11-011) 0609, App K Maintenance Risk Assessment and Risk Management Significance Determination Process 05/19/05 (05-014) 0609, App L 8.5.b Significance Determination Process 12/24/09 (09-032) 0609, App M Significance Determination Process Using Qualitative Criteria 12/22/06 (06-036) 0609App N RESERVED SDP for ISFSI at Operating Plants 0609App 0 RESERVED SOP for Mitigating Strategies and FLEX 0610 Inspection Reports 05/18/04 (04-014) 0612 Power Reactor Inspection Reports 01/24/13 (13-003) 0612, Exh 1 Standard Reactor Inspection Report 02/07/14 (14-005) 0612, Exh 2 Inspection Report Documentation Matrix 09/04/14 (14-020) 0612, Exh 3 Reserved for Sample Reactor Inspection Report (temporarily suspended pending revision 0612, Exh 4 Inspection Report Cover Letter Templates 09/13/13 (13-021) 0612, App A List of Acronyms Used in IMC 0612 12/04/08 (08-034) 0612, App B Issue Screening 09/07/12 (12-020) 0612, App C Documentation Guidance for Supplemental Inspections 10/28/11 (11-024) 0612 App C1 Sample Supplemental Inspection Report for IP 95001 and IP 95002 10/28/11 (11-024)

Issue Date: 10/26/15 4 TABLE OF CONTENTS

0612, App D Guidance for Documenting Inspection Procedure 71152, "Identification and Resolution of Problems" 08/13/13 (13-017) 0612, App E Examples of Minor Issues 08/11 /09 (09-020) 0612, App G Emergency Planning Cornerstone- Specific Supplemental Guidance for Appendix B Screening Figures 1 and 2 09/09/13 (13-020) 0613 Power Reactor Construction Inspection Reports 09/23/14 (14-023) 0614 Documenting 10 CFR Part 52 Construction Audit Activities 10/03/07 (07-030) 0615 Research and Test Reactor Inspection Reports 06/23/04 (04-018) 0616 Fuel Cycle Safety and Safeguards Inspection Reports 06/15/15 (15-011) 0617 Vendor and Quality Assurance Implementation Inspection Reports 10/03/13 (13-024) 0620 Inspection Documents and Records 09/12/11 (11-015) 0700 Communications with Licensees 0730 Generic Communications Regarding Materials and Fuel Cycle Issues 03/21 /08 (08-011 )

0800 Feedback - Improving the Regulatory Process 0801 Reactor Oversight Process Feedback Program 08/08/13 (13-016) 0802 Reserved for the Part 52 Program

  • 0900 Reporting of Events/Incidents 1000 Regional Office Program Interfaces 1007 Interfacing Activities between Regional Offices of NRC and
  • OSHA 02/11 /04 (04-006) 1100 Notifications of Meetings and Conferences 1120 Preliminary Notifications 09/13/13 (13-021)

Issue Date: 10/26/15 5 TABLE OF CONTENTS

1200 Inspector Requirements 1201 Conduct of Employees 10/28/11 (11-023) 1202 Senior Resident Inspector Site Turnover 10/31/08 (08-031) 1220 Processing of NRC Form 241, "Report of Proposed Activities In Non-Agreement States," Areas of Exclusive Federal Jurisdiction and Offshore Waters, and Inspection of Agreement State Licensees Operating Under 10 CFR 150.20 05/01103 (03-013) 1220, App I Procedures and Guidelines for Processing NRC Form 241 05/01/03 (03-013) 1220, App II Procedures Letter to be Sent to Licensees with Procedures and Information for Filing NRC Form 241 05/01/03 (03-013) 1220, App Ill Inspection of Agreement State Licensees 05/01/03 (03-013) 1230 Quality Assurance Program for Radiological Confirmatory Measurements 10/01/83 (83-12) 1232 Collection, Preparation, and Shipment of Independent Measurement Samples 11 /18/86 (86-52) 1240 Unescorted Access at Power Reactors 12/01/04 (04-027) 1245 Qualification Program for Operating Reactor Programs 12/29/11 (11-044) 1245, Att 1 General Overview of the Inspector Training and Qualification Program 12/29/11 (11-044) 1245, Att 2 Inspector Competencies 10/31/06 (06-032) 1245, Att 3 General Orientation Topics 10/31/06 (06-032) 1245, App A Basic-Level Training and Qualification Journal 12/19/12 (12-029) 1245, App B General Proficiency-Level Training and Qualification Journal 12/29/11 (11-044) 1245, App C1 Reactor Operations Inspector Technical Proficiency Training and Qualification Journal 12/19/12 (12-029) 1245, App C2 Reactor Engineering Inspector Technical Proficiency Training and Qualification Journal 10/21/15 (15-020) 1245, App C3 Health Physics Inspector Technical Proficiency Training and Qualification Journal 07/08/09 (09-017) .

1245, App C4 Reactor Security Inspector Technical Proficiency Qualification Training and Qualification Journal 11/29/13 (13-027) 1245, App C5 Research and Test Reactor Inspector Technical Proficiency Qualification Journal 07 /08/09 (09-017)

. 1245, App C6 Emergency Preparedness Inspector Technical Proficiency Training and Qualification Journal 07/08/09 (09-017) 1245, App C7 Fire Prqtection Inspector Technical Proficiency Training and Qualification Journal 10/21 /15 (15-020) 1245, App CB Vendor Inspector Technical Proficiency Qualification Journal 12/19/12 (12-029) 1245, App C9 Senior Reactor Analyst Training and Qualification Program 12/19/12 (12-029) 1245, App C10 Operator Licensing (OL) Examiner Te~hnical Proficiency Training and Qualification Journal 10/21/15 (15-020) 1245, App C11 Security Risk Analyst Technical Proficiency Training and Qualification Journal 08/30/13 (13-019)

Issue Date: .10/26/15 6 TABLE OF CONTENTS

1245, App C12 Safety Culture Assessor Training and Qualification Journal 07/01/15 (15-013) 1245, App C13 Independent Spent Fuel Storage Installation Security Inspector Technical Proficiency Training and Qualification Journal 08/08/13 (13-016) 1245, App C14 Cyber Security Inspector Technical Proficiency Training and Qualification

  • Journa~ 08/03/15 (15-014) 1245, App D1 Maintaining Qualifications 10/23/13 (13-026) 1245, App D2 lnservice Inspection Advanced-Level Training 10/21/15 (15-020) 1245, App D3 Fire Protection Advanced-Level Training 12/19/12 (12-029) 1245, App D4 Advanced Electrical Inspector Technical Proficiency Training and Qualification Journal 12/29/11 (11-044) 1246 Formal Qualification Programs in the Nuclear Material Safety and Safeguards Program Area 10/26/11 (11-022) 1246, App A Training Activities 10/26/11 (11-022) 1246, App 81 Training Requirements and Qualification Journal for Spent Fuel Storage and Transportation Reviewer 10/26/11 (11-022) 1246, App 82 Training Requirements and Qualification Journal for Spent Fuel Storage and Transportation Inspector 10/26/11 (11-022) 1246, App 83 Training Requirements and Qualification Journal for Independent Spent Fuel Storage Installation Inspector 11/07/11 (11-028) 1246, App 84 Independent Spent Fuel Storage Installation Security Inspector Technical Proficiency Training and Qualification Journal 08/08/13 (13-016)
  • 1246, App C1 Training Req!,Jirements and Qualification Journal for Fuel Cycle License Reviewer 10/26/11 (11-022) 1246, App C2 Training Requirements and Qualification Journal for Fuel Cycle Project Manager 10/26/11 (11-022) 1246, App C3 Training Requirements and Qualification Journal for Material Control; and Accounting License Reviewer 10/26/11 (11-022) 1246, App C4 Training Requirements and Qualification Journal for Fuel Cycle Safeguards Physical Security Inspector 10/26/11 (11-022) 1246, App D1 Training Requirements and Qualification Journal for High Level Waste Repository License Technical Reviewer 10/26/11 (11-022) 1246, App D2 Training Requirements and Qualification Journal for High Level Waste Repository Inspector 10/26/11 (11-022) 1247 Qualification Program for Fuel Facility Inspectors in the Nuclear Material Safety and Safeguards Program Area 10/28/14 (14-026) 1247, App A Basic-Level Training and Certification Journal Fuel Facility Inspector 06/27/14 (14-014) 1247, App B General Proficiency-Level Training and Qualification Journal 06/11/14 (14-012) 1247, App C1 Fuel Facility Operations Inspector Technical Proficiency Training and Qualification Journal 06/11/14 (14-012) 1247, App C2 Fuel Facility Health Physics Inspector Technical Proficiency Training and Qualification Journal 06/20/2014 (14-013) 1247, App C3 Fuel Facility Emergency Preparedness Inspector Technical Proficiency Training and Qualification Journal 06/11/14 (14-012)

Issue Date: 10/26/15 7 TABLE OF CONTENTS

1247, App C5 Fuel Facility Material Control & Accounting Inspector Technical Proficiency Training and Qualification Journal 06/11/14 (14-012) 1247, App C6 Fuel Facility Nuclear Criticality Safety Inspector Technical Proficiency Training and Qualification Journal 06/11/14 (14-012) 1247, App D RESERVED for Advanced and Specialized Training Courses and Qualification Programs

  • 1247, App D1 Fuel Facility Information Security Inspector Specialized Qualification Program Training and Qualification Journal 10/28/14 (14-026) 1248 Formal Qualification Programs for Federal and State Materials and Environmental Management Programs 04/19/13 (13-011) 1248, App A Materials Health Physics License Review Qualification Journal 04/19/13 (13-011) 1248, App B Materials Health Physics Inspector Qualification Journal 04/19/13 (13-011) 1248, App C Training Requirements and Qualification Journal for Materials Exempt Distribution License Reviewer 04/19/13 (13-011) 1248, App D Training Requirements and Qualification Journal for Byproduct Material Sealed Source and Device Reviewer 04/19/13 (13-011) 1248, App E Training Requirements and Qualification Journal for Division of Waste Management Inspector and License Reviewer 04/19/13 (13-011) 1248, App F Training Requirements and Qualification Journal for Decommissioning Inspectors 04/19/13 (13-011) 1248, App G Training Requirements and Qualification Journal for Decommissioning Project Managers/Technical Reviewers 04/19/13 (13-011) 1248, App H Training Requirements and Qualification Journal for Uranium Recovery Inspector 04/19/13 (13-011) 1248, App I Training Requirements and Qualification Journal for Uranium Recovery Project Managerrrechnical Reviewer 04/19/13 (13-011) 1252 Construction Inspector Training and Qualification Program 04/25/11 (11-007) 1252_, App A Construction Inspector Basic-Level Training and Certification Journal 04/25/11 (11-007) 1252, App B Construction Inspector General Proficiency-Level Training and Qualification Journal 04/25/11 (11-007) 1252, App C Construction Inspector Post Qualification Requirements, Continuing and Refresher Training 04/25/11 (11-007))

1300 Incident Response 1301 Response to Non-Emergency Incidents Involving Radioactive Material 10/20/00 (00-022) 1302 Action Levels for Radiation Exposures and Contamination Associated with Materials Events Involving Members of the Public 07/14/05 (05-019) 1303 Requesting Emergency Acceptance of Radioactive Material by the U.S.

Department of Energy 11/29/07 (07-037)

. Issue Date: 10/26/15 8 TABLE OF CONTENTS

1304 Reserved for Independent Split Sampling Program for Residual Radioactivity 1330 Response to Transportation Accidents Involving Radioactive Materials 10/06/04 (04-025) 1360 Use of Physician and Scientific Consultants in the Medical Consultant Program 11/02/06 (06-033) 1400 Reserved 1415 State Contracts for Environmental Monitoring 06/28/91 (91-009) 1500 Reserved 1600 Emergency Preparedness 1601 Communication Protocol for Assessing Offsite Emergency Preparedness Following a Natural Disaster 08/27/13 (13-018) 1700 Reserved 1800 Reserved 1900 Reserved 2000 Reserved 2100 Reserved 2200 Nuclear Security and Incident Response 2200 Security Inspection Program for Construction 09/07/12 (12-020) 2200, App A Security Construction Inspection Program 09/07/12 (12-020) 2201 Serurity Inspection Program for Commercial Nuclear Power Reactors 09/22/15 (15-017) 2201, App A Security Baseline Inspection Program 09/22/15 (15-017) 2201, App B Supplemental Inspection Program 09/22/15 (15-017) 2201, App C Generic, Special, and Infrequent Inspections 09/22/15 (15-017) 2201, App D Facility Status Reviews for Security and Safeguards Inspection Program 09/22/15 (15-017)

Issue Date: 10/26/15 9 TABLE OF CONTENTS

2201/003 Reserved for Fitness for Duty Part 26 Subpart K 2201/004 Inspection of Implementation of Interim Cyber Security Milestones 1-7 12/22/14 (14-031) 2201 /005 Inspection of TVA WB 1, Implementation of the Cyber Security Program Required by 10 CFR 73.54 and 10 CFR 73.55 07/03/14 (14-015) 2202 Security Inspection Program for Decommissioning Reactors 08/27/14 (14-019) 2202, App A Security Core Inspection Program 08/27/14*(14-019) 2202, App B Security Discretionary Inspection Program 10/06/14 (14-023) 2300 High Level Waste 2300 Yucca Mountain Inspection Program License Application Review Period 09/11/08 (08-026) 2400 Low Level Waste Program 2401 Near-Surface Low-Level Radioactive Waste Disposal Facility Inspection Program 11/27/01 (01-028) 2410 Conduct of Observation Audits 07/12/00 (00-012) 2500 Reactor Inspection Program 2500 Reactor Inspection Program 11/06/86 (reactivated 09-020) 2500/16 Inspection to determine if a Potential Seismic Interaction Exists Between the Movable In-Core Flux Mapping System and Seal Table at Westinghouse Designed Facilities or Facilities with Similar Designs 06/13/86 (reactivated 09-015) 2500/19 Inspection of Licensee's Actions Taken to Implement Unresolved Safety Issue A-26: Reactor Vessel Pressure Transient Protection for Pressurized Water Reactors 11/14/86 (reactivated 09-015) 2500/020, Inspection to Determine Compliance with ATWS Rule, 10 CFR Rev. 2 50.62 08/06/03 (reactivated 09-015) 2500/26 Inspection Requirements for NRC Compliance Bulletin 87-02, "Fastener Testing to Determine Conformance with Applicable Material Specifications 11/20/87 (reactivated 09-025) 2500/27 Inspection Requirements for NRC Compliance Bulletin 87-02, "Fastener Testing to Determine Conformance with Applicable Material Specifications 05/22/89 (reactivated 09-025) 2501 Construction Inspection Program: Early Site Permit (ESP) 06/06/13 (13-013) 2502 Construction Inspection Program: Pre-Combined License (Pre-COL) Phase 12/13/10 (10-026) 2503 Construction Inspection Program: Inspections of Inspections, Tests,*

Analyses, and Acceptance Criteria (ITAAC) 07/05/12 (12-012)

Issue Date: 10/26/15 10 TABLE OF CONTENTS

2504 Construction Inspection Program: Inspections of Construction and Operational Programs 10/24/12 (12-025)

  • 2505 Periodic Assessment of Construction Inspection Program Results 10/15/14 (14-024) 2506 Construction Reactor Oversight Process General Guidance and Basis Document 03/16/15 (15-004) 2507 Construction Inspection Program: Vendor Inspections 10/03/13 (13-024) 2508 Construction Inspection Program: Design Certification 03/08/13 (13-008) 2512 Light Water Reactor Inspection Program - Construction Phase 12/17/86 (reactivated 07-032) 2512/07, Regional Construction Assessment Team Inspections 01/27/84 Rev. 2 (reactivated 08-004) 2512/15 Inspection of Watts Bar Nuclear Plant Employee Concerns Program 11 /18/85 (reactivated 08-004) 2512/016 Inspection of Watts Bar Nuclear Plant Cable Issues Corrective Action Program Plan 07/13/92 (reactivated 08-004) 2512/017 Inspection of Watts Bar Nuclear Plant Cable Tray and Supports Corrective Action Program Plan 07/13/92 (reactivated 08-004) 2512/018 Inspection of Watts Bar Nuclear Plant Electrical Conduit and Supports Corrective Action Program Plan 07/13/92 (reactivated 08-004) 2512/019 Inspection of Watts Bar Nuclear Plant Design Baseline Corrective Action Program Plan 07/13/92 (reactivated 08-004) 2512/020 Inspection of Watts Bar Nuclear Plant Electrical Issues Corrective Action

. Program Plan 07/13/92 (reactivated 08-004) 2512/021 Inspection of Watts Bar Nuclear Plant Equipment Seismic Corrective Action Program Plan 07/13/92 (reactivated 08-004) 2512/022 Inspection of Watts Bar Nuclear Plant Fire Protection Corrective Action Program Plan 07/13/92 (reactivated 08-004) 2512/023 Inspection of Watts Bar Nuclear Plant Hanger Update Corrective Action Program Plan 07/13/92 (reactivated 08-004) 2512/024 Inspection of Watts Bar Nuclear Plant Heat Code Traceability Corrective Action Program Plan07/13/92 (reactivated 08-004) 2512/025 Inspection of Watts Bar Nuclear Plant HVAC Duct and Supports Corrective Action Program Plan 07/13/92 (reactivated 08-004) 2512/026 Inspection of Watts Bar Nuclear Plant Instrument Lines Corrective Action Program Plan 07/13/92 (reactivated 08-004) 2512/027 Inspection of Watts Bar Nuclear Plant Piece Parts/Procurement Corrective Action Program Plan 07/13/92 (reactivated 08-004) 2512/028 Inspection of Watts Bar Nuclear Plant QA Records Corrective Action Program Plan 07/13/92 (reactivated 08-004) 2512/029 Inspection of Watts Bar Nuclear Plant Q-List Corrective Action Program Plan 07/13/92 (reactivated 08-004) 2512/030 Inspection of Watts Bar Nuclear Plant Seismic Analysis Corrective Action Program Plan 07/13/92 (reactivated 08-004) 2512/031 Inspection of Watts Bar Nuclear Plant Vendor Information Corrective Action Program Plan 07/13/92 (reactivated 08-004)

Issue Date: 10/26/15 11 TABLE OF CONTENTS

2512/032 Inspection of Watts Bar Nuclear Plant Welding Corrective Action Program Plan 07/13/92 (reactivated 08-004) 2512/033 Inspection of Watts Bar Nuclear Plant Concrete Quality Special Program 07/13/92 (reactivated 08-004) 2512/034 Inspection of Watts Bar Nuclear Plant Containment Cooling Special Program 0.7/13/92 (reactivated 08-004) 2512/035 Inspection of Watts Bar Nuclear Plant Control Room Design Review Special Program 07/13/92 (reactivated 08-004) 2512/036 Inspection of Watts Bar Nuclear Plant Environmental Qualification Special Program 07113/92 (reactivated 08-004) 2512/037 Inspection of Watts Bar Nuclear Plant Master Fuse List Special Program 07/13/92 (reactivated 08-004) 2512/038 Inspection of Watts Bar.Nuclear Plant Mechanical Equipment Qualification Special Program 07/13/92 (reactivated 08-004) 2512/039 Inspection of Watts Bar Nuclear Plant Microbe Induced Corrosion Special Program 07/13/92 (reactivated 08-004) 2512/040 , Inspection of Watts Bar Nuclear Plant Moderate Energy Line Break Special Program 07/13/92 (reactivated 08-004) 2512/041 Inspection of Watts Bar Nuclear Plant Radiation Monitoring System Special Program 07/13/92 (reactivated 08-004) 2512/042 Inspection of Watts Bar Nuclear Plant Soil Liquefaction Special .Program 07/13/92 (reactivated 08-004) 2512/043 Inspection of Watts Bar Nuclear Plant Use-As-ls CAQRS Special Program 07 /13/92 (reactivated 08-004) 2512 App I Light Water Reactor Inspection Program - Construction Phase -

Procedure List 10/16/07 (07-032) 2513 Light Water Reactor Inspection Program - Preoperational Testing and Operational Preparedness Phase 08/05/08 (Reactivated 08-023) 2513, App A Light Water Reactor- Preoperational Testing Phase 08/05/08 (reactivated 08-023) 2513, App B Light Water Reactor - Operational Preparedness Phase 08/05/08 (reactivated 08-023) 2514 Light Water Reactor Inspection Program-Startup Testing Phase 08/21/89 (89-013) 2514, App A Startup Test Program Inspection Procedures 04/15/94 (94-018) 2515 Light Water Inspection Program - Operations Phase 05/01/15 (15-009) 2515, App A Risk-Informed Baseline Inspection Program 03/08/13 (13-008) 2515, App B Supplemental Inspection Program 08/18/11 {11-013) 2515, App C Special and Infrequently Performed* Inspections 06/24/15 (15-012) 2515, App D Plant Status 09/04/15 (15-016) 2515, App E Inspection Program Modifications during a Pandemic 01/26/07 (07-004) 2515, App F Reactor Construction Activities near Operating Unit(s) 06/02/11 (11-009) 2515/28 Inspection Requirements to Review Licensee Actions Taken in Response to IE Bulletin 79-02, Revision No. 07/0fn9 (reactivated 09-015)

  • 2515/29 Inspection Requirements for IEB 79-14 09/14n9 (reactivated 09-015) 2515/30 Inspection Requirements To Review PWR Licensee Actions Taken in Response to IE Bulletin No. 79-21 09/14n9 (reactivated 09-015)

Issue Date: 10/26/15 12 TABLE OF CONTENTS

2515/37 Inspection Requirements To Review Licensee Actions Taken in Response to IE Bulletin 80-11, Masonry Wall Design 07/03/80 (reactivated 09-015) 2515/64, Near-Term Inspection Followup to Generic Letter 83-28 04/04/85 Rev.1 (reactivated 09-015) 2515/65, TMI Action Plan Requirement Followup 07/10/90 Rev.2 (reactivated 09-015) 2515/66 Inspection Requirements for IE Bulletin 84-03, 'Refuefing Cavity Water Seals 12/17/84 (reactivated 09-015) 2515/69 Inspection of Response to IE Bulletin 85-0112/20/85 (reactivated 09-015) 2515/71 Inspection of Licensees' Actions in Response to IE Bulletin 82-02 12/20/85 (reactivated 09-015) 2515/72 Inspection of Response to IE Bulletin 85-02 12/20/85 (reactivated 09~015) 2515/87 Inspection of Licensee's Implementation of Multiplant Action A-17:

Instrumentation for Nuclear Power Plants To Access Plant and Environs Conditions During and Following an Accident (Regulatory Guide 1.97) 09/17/90 (reactivated 09-015) 2515/88 Inspection of Licensee's Actions Taken to Implement NRC Guidelines for Protection from Flooding of Equipment Important to Safety 04/06/87 (reactivated 09-015) 2515/91 Inspection Followup to Generic Letter 83-28, Item 4.1 04/06/87 (reactivated 09-015) 2515/101 Loss of Decay Heat Removal (Generic Letter No. 88-17) 10 CFR 50.54(f)

(reactivated 09-015) 2515/103 Loss of Decay Heat Removal (Generic Letter No. 88-17) 10 CFR 50.54(f)

  • -Programmed Enhancements (Long Term) Review 12/18/89 (reactivated 09-015) 2515/105 Inspection of Licensee Activities in Reference to NRC Bulletin 88 Potential Safety-Related Pump Loss 05/14/90 (reactivated 09-015) 2515/107 Electrical Distribution System Functional Inspection (EDSFI) 10/19/90 (reactivated 09-015)
  • 2515/109, Inspection Requirements for Generic Letter 89-10, Safety-Related Rev.4 Motor-Operated Valve Testing and Surveillance 07/23/98 (reactivated 09-015)
  • 2515/110, Performance of Safety-Related Check Valves 11 /15/93 Rev.1 (reactivated 09-015) 2515/111 Electrical Distribution System Followup Inspection 08/06/03 (reactivated 09-015) 2515/113 Reliable Decay Heat Removal During Outages 11 /18/91 (reactivated 09-015) 2515/114 Inspection Requirements for Generic Letter 89-04, Acceptable lnservice Testing Programs 01/15/92 (reactivated 09-015) 2515/118, Service Water System Operational Performance Inspection Rev.2 (SWSOPI) 03/17/95 (reactivated 09-015) 2515/120 Inspection of Implementation of Station Blackout Rule Multi-plant Action Item A-22 09/24/93 (reactivated 09-015)

Issue Date: 10/26/15 13 TABLE OF CONTENTS

2515/139 Inspection of Licensee's Implementation of Generic Letter 96 Testing of Safety Related Logic Circuits 07/23/98 (reactivated 09-015) 2515/140 Periodic Verification of Design-Basis Capability of Safety-Related Motor-Operated Valves (GL 96-05) 09/29/98 (reactivated 09-015) 2515/142 Draindown During Shutdown and Common-Mode Failure (NRC Generic Letter 9&-02) 06/18/99 (reactivated 09-015) 2515/145 Circumferential Cracking of Reactor Pressure Vessel Head Penetration Nozzles (NRC Bulletin 2001-01) 09/20/01 (reactivated 09-015) 2515/152 Reactor Pressure Vessel Lower Head Penetration Nozzles (NRC Rev. 1 Bulletin 2003-02) 11/15/03 (reactivated 09-015) 2515/153, Reactor Containment Sump Blockage (NRC Bulletin 2003-01)

Rev.1 02/18/05 (reactivated 09-015) 2515/160 Pressurizer Penetration Nozzles and Steam Space Piping Connections in U.S. Pressurized Water Reactors (NRC Bulletin 2004-01) 10/06/04 (reactivated 09-015) 2515/165 Operational Readiness of Offsite Power and Impact on Plant Risk 03/03/06 (reactivated 09-025) 2515/176 Emergency Diesel Generator Technical Specification Surveillance Requirements Regarding Endurance and Margin Testing 05/16/08 08-015 2515/179 Verification of Licensee Responses To NRC Requirement Rev.1 for Inventories of Materials Tracked in the National Source Tracking System Pursuant to Title 10, Code of Federal Regulations, Part 20.2207 (10 CFR 20.2207) 05/27/10 (10-014) 2515/182 Review of the Implementation of the Industry Initiative to Control Rev 1 Degradation of Underground Piping and Tanks 08/08/13 (13-016) 2515/190 Inspection of Licensee's Proposed Interim Actions as a Result of the Near-Term Task Force Recommendation 2.1 - Flooding Evaluation 09/04/15 (15-016) .

2515/191 Inspection of the Licensee's Responses to Mitigation Strategies Order EA-12-049, Spent Fuel Pool Instrumentation Order EA-12-051 and Emergency Preparedness Information Requested in NRC March 12, 2012 10/06/14 (14-023) 2515/192 RESERVED Interim Actions Associated with and Open Phase Condition (OPC) 2515/193 RESERVED Tube -to- Tubesheet Welds 2516 Policy and Guidance for the License Renewal Inspection Programs 08/13/13 (13-017) 2517 Watts Bar Unit 2 Construction Inspection Program 06/06/13 (13-013) 2518 Reserved for Construction Inspection Program: Advanced Reactors, Pre

' Construction Permit (CP) 2519 Construction Significance Determination Process 07/15/13 (13-015)

  • 2522 Construction Reactor Oversight Process Self-Assessment Program 07/28/14 (14-017) 2522, App A Construction Reactor Oversight Process Self-Assessment Metrics 11/30/12 (12-027)

Issue Date: 10/26/15 14 TABLE OF CONTENTS

2523 NRC Application of the Reactor Operating Experience Program in NRC Oversight Processes 06/19/13 (13-014) 2530 Integrated Design Inspection Program 04/24/85 (reactivated 10-006) 2535 Design Verification Programs 03/24/89 (reactivated 10-006) 2545 Research and Test Reactor Inspection Program 06/23/04 (04-018) 2550 Reserved for Radioisotope Production Facilities (RPF) Licensed Under 10CFR50: Construction Inspection Program (CIP) 2561 Decommissioning Power Reactor Inspection Program 04/14/03 (03-012) 2600 Fuel Cycle Facility Inspection Program 2600 Fuel Cycle Facility Operational Safety and Safeguards Inspection Program 09/24/15 (15-018) 2600, App A Guidance for Conducting Fuel Cycle Inspections 09/24/15 (15-018) 2600, App B NRC Core Inspection Requirements, Tables 1and209/24/15 (15-018) 2600, App C Fuel Cycle Resident Inspection Program 09/24/15 (15-018) 2600, App D Fuel Cycle Facility Inspection Planning 09/24/15 (15-018) 2600/017 Review of the Implementation of the Decommissioning Planning Rule 02/25/13 (13-006) 2602 Decommissioning Oversight and Inspection Program for Fuel Cycle Facilities and Materials Licensees 07/29/08 (08-021) 2603 Reserved for Fuel Cycle Facility Construction Inspection Program Assessment 2604 Licensee Performance Review 10/11 /12 (12-023) 2606 Assessment of the Change in Risk Resulting From a Violation at a Fuel Cycle Facility 09/26/12 (12-022) 2606, E-2 Evaluation Based on Specific Licensee ISAs 09/26/12 (12-022) 2620 On-Site Construction Reviews of Remedial Action at Inactive Uranium Mill Tailing Sites (Title I, Uranium Mill Tailings Radiation Control Act) 10/05/01 (01-020) 2630 Mixed Oxide Fuel Fabrication Facility Construction Inspection Program 09/24/15 (15-018) 2635 Reserved for Uranium Enrichment Facility Construction and Pre-Operational Readiness Review Inspection Programs 2641 In-Situ Leach Facilities Inspection Program 08/25/00 (00-014) 2681 Physical Protection and Transport of SNM and Irradiated Fuel Inspections of Fuel Facilities 06/27/14 (14-014) 2682 Technical Assistance for Safeguards MC&A Inspections at Fuel Facilities 06/18/84 (84-18) 2683 MC&A Safeguards Inspection of Fuel Facilities 05/09/14 (14-011) 2689/009 Inspection Guidance and Requirements for Physical Protection of the Transfer, Loading and Shipment of Irradiated Special Nuclear Material from General Atomics Facility, San Diego, California to U.S. Department of Energy, Idaho National Laboratory, Scoville, Idaho 08/12/1O(10-017)

Issue Date: 10/26/15 15 TABLE OF CONTENTS

2690 Inspection Program for Dry Storage of Spent Reactor Fuel at Independent Spent Fuel Storage Installations and for 1o CFR Part 71 Transportation Packagings 03/09/12 (12-004) 2694 USEC Inc. Gas Centrifuge Facility Construction and Pre-operational Readiness Review Inspection Programs 05/16/07 (07-016) 2696 Louisiana Energy Services Gas Centrifuge Facility Construction and Pre-Operational Readiness Review Inspection Programs 10/19/06 (06-028) 2700 Licensee Contractor and Vendor Inspection Program 2800 Materials Inspection Program 2800 Materials Inspection Program 11/15/10 (10-023) 2800/030 Verification of the Status of Devices Authorized For Use Under a General License 05/30/00 (00-011) 2800/032 Follow-up - Materials Safeguard Advisory 10/31/01 (01-023) 2800/036 Inspection of Manufacturing and Distribution Licensees 09/13/04 (04-024) 2800/037 Safety Procedures for Panoramic lrradiators Rev 1 07/14/05 (05-019) 2800/038 Inspection of the Implementation of Increased Controls for Licensees Authorized to Possess Risk Significant Radioactive Material 03/30/06 (06-008) 2800/039 Verification of Licensee Responses to NRC Requirement for Inventories of Materials Tracked in the National Source Tracking System Pursuant to Title 1O Code of Federal Regulations, Part 20.2207 (1 O CFR 20.2207) 04/09/09 (09-011) 2800/040 Material Control and Accounting at Nuclear Power Plants and Wet Storage Sites 03/07/11 (11-002) 2800/041 10 CFR Part 37 Materials Security Review at Facilities with a Title 1O Code of Federal Regulations Part 73 Physical Protection Program 07/01/15 (15-013) 2800/042 Reserved for Evaluation of Trustworthiness and Reliability Determinations 2801 Uranium Mill 11e.(2) Byproduct Material Disposal Site and Facility Inspection Program 08/25/00 (00-014) 2810 Master Materials License Oversight and Inspection Program 10/11/12 (12-023) 2815 Construction and Preoperational Inspection of Panoramic, Wet-Source-Storage Gamma lrradiators 03/27/01 (01-010) 2882 Transfer of NRC License Files to Agreement State(s) 12/03/01 (01-029) 2900 Performance Appraisal Program 2901 Team Inspections 08/24/01 (01-016) 2920 - Construction Appraisal Team Inspection Program 03/29/85 (85-11)

Issue Date: 10/26/15 16 TABLE OF CONTENTS

3000 Management Meetings 30050 Construction Permit Corporate Management Meeting 04/01/80 (reactivated 07-034) 30703 Management Meetings - Entrance and Exit Interviews 01/01/82 (reactivated 08-008) 30800 Initial Management Meeting - Materials Licensees 10/01/76 (76-26) 3100 Reserved 3200 Reserved 3300 Reserved 3400 Reserved 3500 Quality Assurance 35002 Early Site Permit Pre-Docketing Quality Assurance Controls Meeting 05/29/03 (03-018) 35004 Pre-Docketing Early Site Permit Quality Assurance Controls Inspection 05/29/03 (03-018) 35006 Post-Docketing Early Site Permit Quality Assurance Controls Inspection 05/29/03 (03-018) 35007 Quality Assurance Program Implementation During Construction and Pre-Construction Activities 02/26/14 (14-006) 35012 Early Site Permit Quality Assurance Controls Assessment and Conclusion 05/29/03 (03-018) 35017 Quality Assurance Implementation Inspection 07/29/08 (08-021) 35023 Reserved for Design Reliability Assurance Program 35031 Reserved for Design Certification Pre-Meeting 35032 Reserved for Pre-Docketing Design Certification Quality Assurance Controls Inspection 35033 Reserved for Post-Docketing Design Certification Quality Assurance Controls Inspection 35034 Design Certification Testing Inspection 01/27/10 (10-003) 35060 Licensee Manag~ment of QA Activities 04/01/83 (reactivated 07-032) 35061 In-Depth QA Inspection of Performance 11/19/85 (reactivated 07-034) 35065 Procurement, Receiving, and Storage 04/01/83 (Reactivated 07-032) 35101 QA Program Implementation Inspection for Operational Programs 10/03/07 (07-030)

Issue Date: 10/26/15 17 TABLE OF CONTENTS

35301 Preoperational Testing - Quality Assurance 08/06/03 (03-028) 35501 QA for the Startup Test Program 01/20/84 (84-04) 35701 Quality Assurance Program Review 09/17/01 (01-017) 35750 QA Program Measuring and Test Equipment 04/14/92 (reactivated 08-032) 35960 QA Program Evaluation of Engineering Organization 10/01 /82 (reactivated 07-034) 35962 R~served for Part 52 QA Program Evaluation of Engineering Service Organization 3600 Organization and Administration 36100 Inspection of 10 CFR Parts 21 and 50.55(e) Programs for Reporting Defects and Noncompliance 02/13/12 (12-002) 36100.01 Inspection of 10 CFR Part 21 and Programs for Reporting Defects and Noncompliance During Construction 02/13/12 (12-002) 36301 Operational Staffing 07/01/77 (reactivated 08-032) 36302 Part 52. Operational Staffing 08/19/08 (08-024) 36801 Organization, Management, and Cost Controls at Permanently Shutdown Reactors 08/11/97 (97-012) 3700 Design, Design Changes, Modifications 37002 Construction Refurbishment Process - Watts Bar Unit 2 02/05/10 (10-005) 37051 Verification of As-Builts 12/04/87 (reactivated 07-032) 37055 Onsite Design Activities 04/01/83 (reactivated 07-032) 37060 Inspections under the 10CFR Part 50.69 Special Program 09/14/11 (11-016) 37301 Comparison of As-Built Plant to FSAR Description 03/14/14 (14-008) 37700 Design Changes, and Modifications 09/17/01 (01-017) 37801 Safety Reviews, Design Changes, and Modifications at Permanently Shutdown Reactors 08/11 /97 (97-012) 37803 Reserved 37804 Aircraft Impact Assessment Inspection 02/09/12 (12-001) 37805 Engineering Design Verification Inspections 04/25/11 (11-007) 3800 Procurement 3900 Records 39701 Records Program 09/17/01 (01-017)

Issue Date: 10/26/15 18 TABLE OF CONTENTS

4000 Review and Audit 40001 Resolution of Employee Concerns 06/03/97 (97-006) 40002 Inspections to Review Allegations 06/28/02 (02-024) 40100 Independent Safety Culture Assessment Fqllow-up 04/09/15 (15-005) 40505 Reserved for Effectiveness of Process to Identify, Resolve, and Prevent Construction Problems 40600 Licensee Program for Inspections, Tests, Analyses, and Acceptance Criteria (ITAAC) Management 07/28/14 (14-017) 40801 Self-Assessment, Auditing, and Corrective Action at Permanently Shutdown Reactors 08/11/97 (97-012) 4100 Training 41301 Pre-Licensing Review of Training and Qualification Programs 02/18/87 (reactivated 08-032) 41500 Training and Qualification Effectiveness 06/13/95 (95-007) 41501 Part 52, Review of Training and Qualification Programs 04/25/11 (11-007) 41502 Nuclear Power Plant Simulation Facilities 10/16/12 (12-024) 4200 Procedures 42001 Emergency Operating Procedures 06/28/91 (91-009) 42051 Fire Prevention and Protection 10/01/77 (reactivated 08-004) 42401 Part 52, Plant Procedures10/27/10 (10-022) 42453 Part 52, Operating Procedures Inspection 08/19/08 (08-024) 42454 Part 52, Emergency Operating Procedures 09/09/13 (13-020) 42700 Plant Procedures 11 /15/95 (95-015) 4300 Vendor Procedures 43002 Rau.tine Inspections of Nuclear Vendors 07/15/13 (13-015) 43003 Reactive Inspections of Nuclear Vendors 10/03/13 (13-024) 43004 Inspection of Commercial-Grade Dedication Programs 11 /29/13 (13-027) 43005 NRC Oversight of Third-Party Organizations Implementing Quality Assurance Requirements 10/08/15 (15-019) 4400 Reserved Issue Date: 10/26/15 19 TABLE OF CONTENTS

4500 Geotechnical/Foundation 45051 Geotechnical/Foundation Activities Procedure Review 05/29/03 (03-018) 45051.A GeotechnicaVFoundation Activities Procedure Review 03/23/84 (reactivated 08-004) 45052 Review of Geotechnical and Site Characterization Activities 10/03/07 (07-030) 45053 Geotechnical/Foundation Activities Work Observation 03/23/84 (reactivated 07-034) 45055 Geotechnical/Foundation Activities Record Review 03/23/84 (reactivated 07-034) .

4600 Structural Concrete 46051 Structural Concrete Procedure Review 07/01/83 (reactivated 07-034) 46053 Structural Concrete Work Observation 07/01/83 (reactivated 07-034) 46055 Structural Concrete Record Review 07/01/83 (reactivated 07-034) 46061 Structural Masonry Construction 12/17/86 (reactivated 07-034) 46071 Concrete Expansion Anchors 12/17/86 (reactivated 07-034) 4700 Containment (Post-Tensioning)

  • 4800 Structural Steel and Supports 48051 Structural Steel and Supports Procedure Review 12/17/86 (reactivated 07-032) 48053 Structural Steel and Supports Work Observation 12/17/86 (reactivated 07-032) 48055 Structural Steel and Supports Record Review 07/01/83 (reactivated 07-032) 4900 Piping 49001 Inspection of Erosion/Corrosion Monitoring Programs 12/11/98 (98-019) 49051 Reactor Coolant Pressure Boundary Piping QA Review 08/16/82 (reactivated 07-032) 49053 Reactor Coolant Pressure Boundary Piping -Work Observation 11/19/85 (reactivated 07-032) 49055 Reactor Coolant Pressure Boundary Piping Record Review 08/16/82 (reactivated 07-034) 49061 Safety-Related Piping 10/01/82 (reactivated 07-034)

Issue Date: 10/26/15 20 TABLE OF CONTENTS

49063 Piping - Work Observation 11 /19/85 (reactivated 07-034) 49065 Safety-Related Piping-Records Review 10/01 /82 (reactivated 07-034) 5000 Mechanical Components and Equipment 50001 Steam Generator Replacement lnspedion 11/08/11 (11-031) 50002 Steam Generators 12/31/96 (96-024) 50003 Pressurizer Replacement Inspection 07/07/05 (05-018) 50051 Reactor Vessels and Internals QA Review 08/16/82 (reactivated 07-034) 50053 Reactor Vessel and Internals Work Observation 08/16/82 (reactivated 07-034) 50054 Reactor Vessel Material Surveillance Program 12/04/08 (08-034) 50055 Reactor Vessel and Internals Record Review 08/16/82 (reactivated 07-034) 50054. Reserved 'for Reactor Vessel Material Surveillance Program 50071 (Safety-Related Components - Procedure Review 04/01 /83 (reactivated 07-034) 50073 Mechanical Components - Work Observation 11 /19/85 (reactivated 07-034) 50075 Safety Related Components - Records Review 04/01/83 (reactivated 07-034) 50090 Pipe Support and Restraint Systems 08/06/03 (03-028) 50095 Spent Fuel Storage Racks 03/14/94 (reactivated 07-034) 50100 . Heating, Ventilating, and Air Conditioning Systems 08/06/03 (03-028) 5100 Electrical Components and Systems 51051 Electrical Components and Systems - Procedure Review 03/30/84 (reactivated 07-034)

  • 51053 Electrical Components and systems - Work Observation 08/06/03 (03-028) 51055 Electrical Components and Systems - Record Review 08/06/03 (03-028) 51061 Electrical Cable - Procedure Review 08/06/03 (03-028) 51063 Electric Cable - Work Observation 11 /19/85 (reactivated 07-034) 51065 Electric Cable- Record Review 03/30/84 (reactivated 07-034) 51080 Equipment Qualification 11/07/11 (11-029)
  • 5200 Instrumentation Systems and Components 52003 Digital Instrumentation and Control Modification Inspection 10/31/08 (08-031) 52051 Instrument Components and Systems- Procedure Review 03/30/84 (reactivated 07-034)

Issue Date: 10/26/15 21 TABLE OF CONTENTS

52053 Instrument Components and Systems - Work Observation 03/30/84 (reactivated 07-034)

  • 52055 Instrument Components and Systems - Record Review 03/30/84 (reactivated 07-034) 5300 Containment Penetrations 53051 Containment Penetrations (Mechanical) Procedure Review 01/27/84 (reactivated 07-034) 53053 Containment Penetrations (Mechanical) Work Observation 01/27/84 (reactivated 07-034) 53055 Containment Penetrations (Mechanical) Record Review 01/17/84 (reactivated 07-034) 5400
  • Cleanliness 5500 Welding 55050 Nuclear Welding General Inspection Procedure 06/20/83 (83-06) 55093 Reactor Vessels Internals (Welding) Observation of Welding and Associated Activities 07/01/7 (reactivated 07-034) 55100 Structural Welding General Inspection Procedure 06/20/83 (83-06) 55150 Weld Verification Checklist 06/201_83 (reactivated 07-034) 5600 Calibration 56700 Calibration 03/23/05 (05-008) 5700 Nondestructive Examination, Destructive Examination and Fabrication Testing 57050 Visual Testing Examination 03/09/99 (99-003) 57060 Liquid Penetrant Testing Examination 03/09/99 (99-003) 57070 Magnetic Particle Testing Examination 03/09/99 (99-003) 57080 Ultrasonic Testing Examination 03/09/99 (99-003) 57090 Nondestructive Examination Procedure Radiographic Examination Procedure Review/Work Observation/Record Review 06/14/93 (93-005) 5800 Special Processes Issue Date: 10/26/15 22 TABLE OF CONTENTS

5900 Reserve Shutdown System 6000 Fuel Fabrication, Handling and Storage 60501 Fuel Receipt and Storage 04/30ll5 (reactivated 08-032) 60705 Preparation for Refueling 07/27/95 (95-009) 60710 Refueling Activities 07/27/95 (95-009) 60715 Reserved for Spent Fuel Safety at Operating Reactors 60801 Spent Fuel Pool Safety at Permanently Shutdown Reactors 08/11/97 (97-012) 60845 Operation of Intra-Unit Fuel Transfer Canister and Cask System 04/26/12 (12-007) 60851 Design Control of ISFSI Components 01/16/08 (08-003) 60852 ISFSI Component Fabrication by Outside Fabricators 01/16/08 (08-003) 60853 On-Site Fabrication of Components and Construction of an ISFSI 01/16/08 (08-003) 60854 Preoperational Testing of an Independent Spent FuelStorage Installation 01/16/08 (08-003) 60854.1 Preoperational Testing of Independent Spent Fuel Storage Facility Installation at Operating Plants 09/05/06 (06-022) 60855 Operation of an Independent Spent Fuel Storage Installation 01 /16/08 (08-003) 60855.1 Operation of an Independent Spent Fuel Storage Installation at Operating Plants 09/05/06 (06-022) 60856 Review of 10 CFR 72.212(b) Evaluations 03/05/08 (08-010) 60856.1 Review of 10 CFR 72.212(b) Evaluations at Operating Plants 02/02/04 (04-003) 60857 Review of 10 CFR 72.48 Evaluations 10/24/07 (07-033) 60858 Away-From-Reactor ISFSI Inspection Guidance 05/03/07 (07-015) 60859 Reserved for Welding Verification Checklist for Transportation and ISFSI Components 60860 Reserved for Nondestructive Examination Procedure Visual Examination Procedure Review/Work Observation/Record Review of Transportation and ISFSI Components

6100 Surveillance 61705 Calibration of Nuclear Instrumentation Systems 05/12/86 (86-25) 61706 Core Thermal Power Evaluation 07/14/86 (86-36) 61707 Determination of Reactor Shutdown Margin 10/11/85 (85-31) 61708 Isothermal and Moderator Temperature Coefficient Determinations 10/11/85 (85-31) 61709 Total Power Coefficient of Reactivity at Pressurized Water Reactors 07/14/86 (86-36) 61710 Control Rod Worth Measurements (PWR) 10/11 /85 (85-31) 61715 Verification of Containment Integrity 12/23/86 (86-60) 61720 Containment Local Leak Rate Testing 10/03/85 (85-30) 61726 Surveillance Observations 06/24/98 (98-010) 61728 Independent Measurement of RCS Leak Rates for a PWR 01/01/84 (84-02) 6200 Maintenance 62002 Inspection of Structures, Passive Components, and Civil

  • Engineering Features at Nuclear Power Plants 12/31/96 (96-024) 62003 Inspection of Steel and Concrete Containments at Nuclear Power Plants 06/11/97 (97-008) 62706 Maintenance Rule 12/13/00 (00-028) 62708 Motor-Operated Valve Capability 10/23/13 (13-026) 62709 Configuration Risk Assessment and Risk Management Process 12/28/00 (00-029) 62710 Power-Operated Gate Valve Pressure Locking and Thermal Binding 04/30/10 (10-013) 62711 Reserved for Operational Reliability Assurance Process 62712 Part 52, Maintenance Rule 08/13/13 (13-017) 62801 Maintenance and Surveillance at Permanently Shutdown Reactors 08/11/97 (97-012) 6300 Construction Testing 63050 Containment Structural Integrity Test 07/01/83 (reactivated 07-034) 6400 Fire Prevention/Protection 64051 Procedures - Fire Prevention/Protection 07/01ll9 (reactivated 07-034) 64053 Fire Loop Installation 07/01ll9 (reactivated 07-034)

Issue Date: 10/26/15 24 TABLE OF CONTENTS

64100 Postfire Safe Shutdown, Emergency Lighting and Oil Collection Capability at Operating and Near-Term Operating Reactor Facilities 03/16/87 (reactivated 10-009) 64102 . Reserved for Part 52 Post fire Safe Shutdown, Emergency Lighting and Oil Collection Capabilities 64704 Fire Protection Program 06/24/98 (98-010) 64705 Part 52, Fire Protection Operational Program 10/03/07 (07-030) 6500 10 CFR Part 52 ITAAC Inspections 65001 Inspections of Inspections, Tests, Analyses, and Acceptance Criteria (ITAAC) Related Work 08/13/13 (13-017) 65001.01 Inspection of ITAAC-Related Foundations & Buildings 04/18/14 (14-010) 65001.02 Inspection of ITAAC-Related Installation of Structural Concrete 11/22/11 (11-037) .

65001..03 Inspection of ITAAC-Related Installation of Piping 08/19/08 (08-024) 65001.04 Inspection of ITAAC-Related Installation of Pipe Supports and Restraints 08/13/14 (14-018) 65001.05 Inspection of ITAAC-Related Installation of Reactor Pressure Vessel and Internals 08/19/08 (08/19/08) 65001.06 Inspection of ITAAC-Related Installation o Mechanical Components 01/27/15 (15-001) 65001.07 Inspection of ITAAC-Related Installation of Valves 07/29/08 (08-021) 65001.08 Inspection of ITAAC-Related Installation of Electric Components and Systems 08/19/08 (08-024) 65001.09 Inspection of ITAAC-Related Installation of Electric and Fiber Optic Cable 08/05/09 (09-019) 65001.10 Inspection of ITAAC-Related Installation of Instrument Components and Systems 10/20/08 (08-029) 65001.11 Construction Inspection Program Inspection of ITAAC-Related Containment Integrity and Containment Penetration 08/19/08 (08-024) 65001.12 Inspection of ITAAC-Related Installation of Heating, Ventilating, and Air Conditioning Systems 07/29/08 (08-021) 65001.13 Inspection of ITAAC-Related Installation of Load Handling Equipment and Fuel Racks 08/05/09 (09-019) 65001.14 Inspection of ITAAC-Related Installation of Complex Systems with Multiple Components 06/24/15 (15-012) 65001.15 Inspection of ITAAC-Related Installation of Fire Protection Equipment 07/01/08 (08-019) 65001.16 Inspection of ITAAC-Related Engineering 06/20/14 (14-013) 65001.17 Inspection of ITMC-Related Security Structures, Systems, and Components 10/15/09 (09-024) 65001.18 Inspection of Emergency Planning ITAAC 10/30/08 (08-030) 65001.19 Inspection of Installation of ITAAC-Related Radiation Monitoring Components and Systems 10/20/08 (08.:029)

Issue Date: 10/26/15 25 TABLE OF CONTENTS

65001.20 Inspection of Safety-Related Piping Design Acceptance Criteria (DAC)-

Related ITAAC 06/02/11 (11-009) 65001.21 Inspection of Pipe Rupture Hazard Analysis Design Acceptance Criteria (DAC) - Related ITAAC 11/07/11 (11-029) 65001.22 Inspection of Digital Instrumentation and Control (Dl&C) System/Software Design Acceptance Criteria (DAC) - Related ITAAC 12/19/11 (11-041) 65.001.23 Inspection of Human Factors Engineering Integrated System Validation ITAAC 12/22/14 (14-031) 65001.23, App A Inspection Guide for AP1000 Human Factors Engineering Integrated System Validation 12/22/14 (14-031)

  • 65001.A ITAAC Attributes for As-Built Inspection 09/25/13 (13-023) 65001.B Inspection of the ITAAC-Related Welding Program 09/25/13 (13-023) 65001.C Inspection of the ITAAC-Related Construction Test Program 04/18/14 (14-010) 65001.D Inspection of the ITAAC-Related Operational Testing Program 05/09/14 (14-011) 65001.E Inspection of the ITMC-Related Qualification Program 06/20/14 (14-013) 65001.F Inspection of the ITAAC-Related Design and Fabrication Requirements 09/20/13 (13-022) 65051 Low-Level Radioactive Waste Storage Facilities 06/13/86 (reactivated 07-034) 6600 Reserved 6700 Reserved 6800 Reserved Issue Date: 10/26/15 26 TABLE OF CONTENTS

6900 Non-Power Reactor Inspection 69001 Class II Research and Test Reactors 02/03/04 (04-004) 69002 Class Ill Research and Test Reactors 02/03/04 (04-004) 69003 Class I Research and Test Reactor Operator Licenses, Requalification, and Medical Examinations 02/03/04 (04-004) 69004 Class I Research and Test Reactor Effluent and Environmental Monitoring 02/03/047 (04-004) 69005 Class I Research and Test Reactor Experiments 02/03/04 (04*004) 69006 Class I Research and Test Reactors Organization and Operations and Maintenance Activities 02/03/04 (04-004) .

  • 69007 Class I Research and Test Reactor Review and Audit and Design Change Functions 02/03/04 (04-004) 69008 Class I Research and Test Reactor Procedures 02/03/04 (04*004) 69009 Class I Research and Test Reactor Fuel Movement 02/03/04 (04-004) 69010 Class I Research and Test Reactor Surveillance 02/03/04 (04*004) 69011 Class I Research and Test Reactor Emergency Preparedness 02/03/04 (04-004) 69012 Class I Research and Test Reactors Radiation Protection 02/03/04 (04-004) 69013 Research and Test Reactor Decommissioning 02/03/04 (04-004) 69020 Reserved for Inspections of Structures, Systems And Components During Construction of Radioisotope Production Facilities 69021 Reserved for Inspections of Quality Assurance Program Implementation During Construction of Radioisotope Production Facilities 69022 Reserved for Inspections of Operational Readiness During Construction of Radioisotope Production Facilities 7000 Preoperational Testing 70300 Preoperational Test Procedure Test Review 10/01/83 (reactivated 08*032) 70301 Overall Preoperational Test Program Review Requirements 10/01/83 (reactivated 08-032) 70302 Preoperational Test Program Implementation 10/01/83 (reactivated 08-032) 70304 Engineered Safety Features Test* Preoperational Test Procedure Review 08/06/03 (03-028) 70305 Reactor Protection System Test Preoperational Test Procedure Review Preoperational Testing Procedure Verification 01/01/79 (reactivated 08*032) 70306 Loss of Offsite Power Test. Preoperational Test Procedure Review 01/01ll9 (reactivated 09-003) 70307 Containment Integrated Leak Rate Test- Procedure Review 03/07/86 (86-13)

Issue Date: 10/26/15 27 TABLE OF CONTENTS

70308 Preoperational Hot Functional Testing - PWR Procedure Review) 10/01/83 (reactivated 08-032) 70311 Preoperational Testing Procedure Verification 10/01/83 (reactivated 08-032) 70312 Preoperational Test Witnessing 10/01/83 (reactivated 08-032) 70313 Containment Integrated Leak Rate Test 11 /12/85 (85-36}

70314 HFT Witnessing 10/01/81 (reactivated 08-032) 70315 Engineered Safety Features Test Preoperational Test Witnessing) 01/01ll9 (reactivated 08-032) 70316 Loss of Offsite Power Test Preoperational Test Witnessing 01/01179 (reactivated 08-032) 70317 Reactor Protection System Test Preoperational Test Witnessing 01/01179 (reactivated 08-032) 70323 Containment Leak Rate Test Results Evaluation 10/03/85 (85-30) 70324 Preoperational Test Results Evaluation - Integrated Hot Functional Test 04/01ll7 (reactivated 08-032) 70325 Preoperational Test Results Evaluation - Reactor Protection System 01/01/79 (reactivated 08-032) 70326 Preoperational Test Results Evaluation - Loss of Offsite Power 01/01/79 (reactivated 08-032) 70329 Preoperational Test Result Evaluation Verification 10/01/83 (reactivated 08-032) 70331 Vibration Test- Preoperational Test Procedure Review 01/01179 (reactivated 09-003) 70332 Control Rod System Test - Preoperational Test Procedure Review 01/01ll9 (reactivated 09-003) 70333 Chemical Control System Test - Preoperation Test Procedure Review 01/01/79 (reactivated 09-003) 70334 Engineered Safety Features Act. System Test - Preoperational Test Procedure Review 01/01/79 (reactivated 09-003) 70335 Safety and Relief Valve Test - Preoperational Test Procedure Review 01/01/79 (reactivated 09-003) 70336 Residual / Decay Heat Removal System Test - Preoperational Test Review 01/01/79 (reactivated 09-003) '

70337 Main Stream Isolation Valve Test - Preoperational Test Procedure Review) 01/01/79 (reactivated 09-003) _

70338 Auxilliary Feedwater System Test -Preoperational Test Procedure Review 01/01179 (reactivated 09-003) 70339 Component Cooling Water System Test - Preoperational; Test Procedure Review 01/01ll9 (reactivated 09-003) 70340 D.C. Power System Test - Preoperational Test Procedure Review 01/01ll9 (reactivated 09-003) 70341 Emergency/Standby Power Supply System Test - Preoperational Teat Procedure Review 01/01ll9 (reactivated 09-003) 70342 Containment Combustable Gas Control System Test -

Preoperational Test Procedure Review 01/01/79 (reactivated 09-003)

Issue Date: 10/26/15 28 TABLE OF CONTENTS

70344 Containment Isolation Vales Test - Preoperational Test Procedure Review 01/01/79 (reactivated 09-003) 70345 Containment Heat/Cool/Vent. System Test - Preoperational Test Procedure Review 01/01/79 (reactivated 09-003) 70346 Aux. Bldg. Heat /Cool/Vent. System Test - Preoperational Test Procedure Review 01/01/79 (reactivated 09-003) 70347 Pressurizer and Level Control System Test- Preoperational Test Procedure Review 01/01/79 (reactivated 09-003) 70348 Main Feedwater Control System Test - Preoperational Test Procedure Review 01/01/79 (reactivated 09-003) 70349 Reactor Coolant Leak Detection System Test - Preoperational Test Procedure Review 01/01/79 (reactivated 09-003) .

70350 Loose Parts Monitoring System Test - Preoperational Test Procedure Review 01/01/79 (reactivated 09-003) 70351 Integrated Reactor Control System Test - Preoperational Test Procedure Review 01/01/79 (reactivated 09-003) 70352 Remote Reactor Shutdown Test - Preoperational Test Procedure Review 01/01/79 (reactivated 09-003) 70353. Cranes, Hoists and Lifting Equipment Test - Preoperational Test Procedure Review 01/01/79 (reactivated 09-003) 70354 Nuclear Instrumentation System Test - Preoperational Test Procedure Review 01/01/79 (reactivated 09-003) 70355 Compressed Gas System Test - Preoperational Test Procedure Review 01/01/79 (reactivated 09-003) 70362 Reactor Coolant System Hydrostatic Test Procedure Review 10/01/83 (reactivated 08-032) 70367 _Inspection of Pre-operational Test Program 01/15/14 (14-001) 70368 Part 52 Containment Leak Rate Testing (Programmatic) 11/07/11 (11-029) 70369 Reserved for Part 52 Containment Leak Rate Testing 70370 Testing Piping Support and Restraint Systems 03/07/86 (86-13) 70371 Reserved for Part 52 Testing of Pipe Support and Restraint System 70400 Preoperational Test Results Evaluation 10/01/83 (reactivated 08-032) 70431 Vibration Test - Preoperational Test Witnessing 01/01179 (reactivated 09-003) 70432 Control Rod System Test- Preoperational Test Witnessing 01/01/79 (reactivated 09-003) .

70433 Chemical Control System Test- Preoperational Test Witnessing 01/01/79 (reactivated 09-003) 70434 Engineered Safety Features Act. System Test- Preoperational Test Witnessing 01 /01179 (reactivated 09-003) 70435 Safety and Relief Valves Test- Preoperation*a1 Test Witnessing 01/01/79 (reactivated 09-003) 70436 Residual / Decay Heat Removal System Test - Preoperational Test Witnessing 01/01/79 (reactivated 09-003)

Issue Date: 10/26/15 29 TABLE OF CONTENTS

70437 Main Stream Isolation Valve Test - Preoperational Test Witnessing 01/01ll9 (reactivated 09-003) 70438 Auxiliary Feedwater System Test- Preoperational Test Witnessing 01/01ll9 (reactivated 09-003) 70439 Component Cooling Water System Test - Preoperational Test Witnessing 01/01ll9 (reactivated 09-003) 70440 D.C. Power System Test- Preoperational Test Witnessing 01/01ll9 (reactivated 09-003) 70441 Emergency/ Standby Power Supply System Test- Preoperational Test Witnessing 01/01/79 (reactivated 09-003) 70442 Containment Combustible Gas Control System Test - Preoperational Test Witnessing 01/01/79 (reactivated 09-003) 70443 Containment Spray System Test - Preoperational Test Witnessing 01/01/79 (reactivated 09-003) 70444 Containment Isolation Valve Test- Preoperational Test Witnessing 01/01ll9 (reactivated 09-003) 70445 Containment Heat/CoolNent. System Test - Preoperational Test Witnessing 01/01/79 (reactivated 09-003)

  • 70446 Auxiliary Bldg. Heat/CoolNent. System Test- Preoperational Test Witnessing 01 /22/09 (09-003) 70447 Pressurizer and Level Control System Test - Preoperational Test Witnessing 01 /01 ll9 (reactivated 09-003) 70448 Main Feedwater Control System Test- Preoperational Test Witnessing 01/01/79 (reactivated 09-003) 70449 Reactor Coolant Leak -Detection System Test - Preoperational Test Witnessing 01/01/79 (reactivated 09-003) 70450 Loose Parts Monitoring System Test- Preoperational Test Witnessing 01/01/79_ (reactivated 09-003)
  • 70451 Integrated Reactor Control System Test- Preoperational Test Witnessing 01 /01 ll9 (reactivated 09-003) 70452 Remote Reactor Shutdown Test- Preoperational Test Witnessing 01/01/79 (reactivated 09-003) 70453 Cranes, Hoists and Lifting Equipment Test - Preoperational Test Witnessing 01/01/79 (reactivated 09-003) 70454 Nuclear Instrumentation System Test - Preoperational Test Witnessing 01 /01 /79 (reactivated 09-003) 70455 Compressed Gas System Test- Preoperational Test Witnessing 01/01/79.

(reactivated 09-003) 70462 Reactor Coolant System Hydrostatic Test - Test Witnessing 08/13/14 14-018 70562 Reactor Coolant System Hydrostatic Test Results Evaluation 08/13/14 14-018 .

70701 Reserved 70702 Inspection of Preoperational Test Performance 01/15/14 (14-001)

Issue Date: 10/26/15 30 TABLE OF CONTENTS

7100 Operations (License & TS Requirements) 71002 License Renewal Inspection 11 /23/11 (11-038) 71003 Post-Approval Site Inspection for License Renewal 02/25/13 (13-006) 71004 Power Uprate 05/21/15 (15-010) 71007 Reactor Vessel Head Replacement Inspection 06/04/07 (07-018) 71013 Site Inspections at Plants with Timely Renewal Applications 09/25/13 (13-023) .

71111 Reactor Safety-Initiating Events, Mitigating Systems, Barrier Integrity 10/28/11 (11-025) 71111.01 Adverse Weather Protection 09/04/15 (15-016) 71111.04 Equipment Alignment 09/24/14 (14-022) 71111.05AQ Fire Protection (Annual I Quarterly) 09/30/10 (10-020) 71111.05N Reserved for Fire Protection - NFPA 805 (Triennial) 71111.05T Fire Protection (Triennial) 01 /31 /13 (13-004) 71111.05XT Fire Protection - NFPA 805 (Triennial) 01/31/13 (13-004) 71111.06 Flood. Protection Measures 10/28/11 (11-025) 71111.07 Heat Sink Performance 07/06/10 (10-015) 71111.08 In-service Inspection Activities 11 /13/14 (14-027) 71111.11 Licensed Operator Requalification Program 09/24/14 (14-022) 71111.12 Maintenance Effectiveness 04/29/11 (11-008) 71111.13 Maintenance Risk Assessments and Emergent Work Control 10/28/11 (11-025) 71111.15 Operability Determinations and Functionality Assessments14-030 (12/17/14) 71111.17T Evaluations of Changes, Tests, and Experiments and Permanent Plant Modifications 03/05/13 (13-007) 71111.18 Plant Modifications 12/21/10 (10-028) 71111.19 Post Maintenance Testing 09/24/14 (14-022) 71111.20 Refueling and Other Outage Activities 01/27/15 (15-001) 71111.21 Component Design Bases Inspection 11/29/13 (13-027) 71111.22 Surveillance Testing 06/15/15 (15-011) 71113 Reserved for Review of License Renewal Commitments for Plants in Timely Renewal 71114 Reactor Safety-Emergency Preparedness 05/29/12 (12-008) 71114.01 Exercise Evaluation 05/29/12 (12-008) 71114.02 Alert and Notification System Evaluation 05/29/12 (12-008) 71114.03 Emergency Response Organization Staffing and Augmentation System 05/29/12 (12-008) .

71114.04 Emergency Action Level and Emergency Plan Changes 10/31/08 (08-031) 71114.05 Maintenance of Emergency Preparedness 05/29/12 (12-008) 71114.06 Drill Evaluation 05/29/12 (12-008) 71114.07 Exercise Evaluation-Hostile Action (HA) Event 12/02/09 (09-029) 71114.08 Exercise Evaluation-Scenario Review 09/19/12 (12-021) 71121 Occupational Radiation Safety 03/06/02 (02-008) 71121.01 Access Control to Radiologically Significant Areas 03/06/02 (02-008)

Issue Date: 10/26/15 31 TABLE OF CONTENTS

71121.02 ALARA Planning and Controls 03/06/08 (02-008) 71121.03 Radiation Monitoring Instrumentation 03/06/02 (02-008) 71122 Public Radiation Safety 01/24/03 (03-001) 71122.01 Radioactive Gaseous and Liquid Effluent Treatment and Monitoring Systems 12/18/08 (08-036) 71122.02 Radioactive Material Processing and Transportation 01 /24/03 (03-001) 71122.03 Radiological Environmental Monitoring Program (REMP) 01/24/03 (03-001) 71124 Radiation Safety- Public and Occupational 12/02/09 (09-030) 71124.01 Radiological Hazard Assessment and Exposure Controls .

12/02/09 (09-030) 71124.02

  • Occupational ALARA Planning and Controls 12/02/09 (09-030) 71124.03 In-Plant Airborne Radioactivity Control and Mitigation 12/02/09 (09-030) 71124.04 Occupational Dose Assessment 12/02/09 (09-030) 71124.05 Radiation Monitoring Instrumentation 12/02/09 (09-030) 71124.06 Radioactive Gaseous and Liquid Effluent Treatment 06/06/13 (13-013) 71124.07 Public Radiation Safety 12/02/09 (09-030) 71124.08 Radioactive Solid Waste Processing and Radioactive Material Handling, Storage, and Transportation 12/02/09 (09-030) 71130 Security 04/20/15 (15-006) 71130.01 Access Authorization 04/20/15 (15-006) 71130.02 Access Control 04/20/15 (15-006) 71130.03 . Contingency Response- Force-On-Force Testing 04/20/15 (15-006) 71130.04 Equipment Performance, Testing and Maintenance 04/27/15 (15-007) 71130.05 Protective Strategy Evaluation 04/27/15 (15-007) 71130.06 Protection of Safeguards Information 04/20/15 (15~006) 71130.07 Security Training 04/27/15 (15-007) 71130.08 Fitness for Duty Program 05/21/15 (15-010) 71130.10 Reserved for Information Technology Security 71130.11 Material Control & Accounting (MC&A) 12/10/08 (08-035) 71130.12 Reserved for Physical Protection of Shipments of Irradiated Fuel 71130.13 Reserved for Security Inspections Conducted by Resident Inspectors 71130.14 Review of Power Reactor Target Sets 04/20/15 (15-006) 71150 Discrepant or Unreported Performance Indicator Data 01/04/07 (07-001) 71151 Performance Indicator Verification 09/26/12 (12-022) 71152 Problem Identification and Resolution 02/26/15 (15-003) 71153 Follow-up of Events and Notices of Enforcement Discretion 12/05/2011 (11-039) 71302 Preoperational Test Program Implementation Verification 10/01/83 (reactivated 08-032)
  • 71303 Part 52, Technical Specifications Review 10/20/08 (08-029) 71714 Cold Weather Preparations 09/17/01 (01-017) 71715' Sustained Control Room and Plant Observation 04/14/92 (92-004) 71801 Decommissioning Performance and Status Review at Permanently Shutdown Reactors 08/11/97 (97-012)

Issue Date: 10/26/15 32 TABLE OF CONTENTS

71841 Human Performance 12/12/00 (00:..027) 7200 Startup Testing 72300 Startup Test Procedure Review 01/20/84 (84--04) 72301 Startup Test Results Evaluation 01/20/84 (84-04) 72302 Startup Test Witnessing and Observation 01/20/84(84-04) 72303 Startup Testing for ABWR: Test Procedure Review, Test Witnessing, and Test Results Evaluation 09/05/06 (06-021) 72304 Startup Testing for AP 1000: Test Procedure Review, Test Witnessing, and Test Results Evaluation 09/05/06 (06-021) 72400B, Overall Startup Test Program 07/01/80 (80-16) 72401 Part 52, Inspection of Startup Test Program 06/24/14 (14-014) 72500B Initial Fuel Loading Procedure 04/30/75 (75-16) 72501 Reserved for Part 52 Initial Fuel Load Procedure Review 725028 Initial Criticality Procedure Review (8WR) 04/30ll5 (75-16) 725048 Heat-up Phase Procedure Review 04/30n5 (75-16) 725088 Power Ascension Procedure Review: HPCI System 07/01/80 (80-16) 725098 Power Ascension Procedure Review: Control Rod Drive System 07/01/80 (80-16) 725108 Power Ascension Procedure Review - Relief Valves and MS IVs 0413on5 (75-16) ,

72512B Startup Test Procedure Review - RCIC or Recirculation Pump Trip 04/30n5 (75-16) 725148 Startup Test Procedure Review-Turbine Trip/Generator Trip 07/01/80 (80-16) 725169 Startup Test Procedure Review - Shutdown From Outside the Control Room (Group A) 07/01/80 (80-16) 72517B Startup Test Procedure Review: Loss of Offsite Power (Group A & 8) 07/01/80 (80-16) 725188 Startup Test Procedure Review- Core Performance 07/01/80 (80-16) 72524 Initial Fuel Loading Witnessing 01/20/84 (84-04) 72525 Reserved for Part 52 Initial Fuel Load Witnessing 72526 BWR Initial Criticality Wrtnessing 01/20/84 (84-04) 72532 Power Level Plateau Data Review (BWR) 01/20/84 (84-04) 725648 Pre-critical Test Procedure Review - Protective Trip Circuit or Rod Drop Measurement 07/01/80 (80-16) 725668 Pre-critical Test Procedure Review - RES Lead Test or or Pressurizer*

Effectiveness 07/01/80 (80-16) 72570B Initial Criticality Procedure Review (PWR) 07/01/80 (80-16) 72572B 1 Low Power Test Procedures Review Moderator Temperature Coefficient and Boron Worth or Control Rod Worth and Pseudo Rod Ejection Worth 07/01/80 (80-16) 725768 Power Ascension Test Procedure Review - Natural Circulation or Power Reactivity Coefficient Measurement 07/01/80 (80-16)

Issue Date: 10/26/15 33 TABLE OF CONTENTS

725788 Power Ascension Test Procedure Review - Evaluation of Core Performance 07/01/80 (80-16) 725808 Power Ascension Test Procedure Review - Turbine Trip or Generator Trip 07/01/80 (80-16) 725828 Power Ascension Test Procedure Review - Loss of Offsite Power (Group A) 07/01/80 (80-16) 725838 Power Ascension Test Procedure Review: Shutdown from Outside the Control Room (Group 8) 07/01/80 (80-16) 725848 Power Ascension Test Procedure Review - Evaluation of Flux Asymmetry or Pseudo Rod Ejection Test 04/30ll5 (75-16) 72592 PWR Initial Criticality Witnessing 01/20/84 (84-04) 725968 Pre-critical Data Review 07/01/80 (80-16) 726008 Power Level Plateau Data Review (25% PWR) 07/01/80 (80-16) 726088 Power Level Plateau Data Review (50% PWR) 07/01/80 (80-16) 726168 Power Level PI01/14/86 (86-03) 7300 In-service Inspection 73052 In-service Inspection - Review of Procedures 01/14/86 (86-03) 73053 *Pre-service Inspection - Observation of Work and Work Activities 01/01ll9 (reactivated 07-034) .

73054 Part 52, Pre-service and In-service Inspection - Review of Program 12/22/14 (14-031) .

73055 Pre-service Inspection Data Review and Evaluation 01/01ll9 (reactivated 07-034) 73753 In-service Inspection 06/24/98 (98-010) 73754 Part 52 - Preservice Inspection - Non-Destructive Examination 12/12/13 (13-028) 73755 1n..:service Inspection - Data Review and* Evaluation 10/27/10 (10-022) 73756 In-service Testing of Pumps and Valves 07/27/95 (95-009) 73757 Part 52 In-service Inspection - Data Review and Evaluation 02/07/14 (14-005) 73758 Part 52, Functional Design and Qualification, and Preservice and lnservice Testing Programs for Pumps, Valves and Dynamic Restraints 04/19/13 (13-011) 7400 Reserved 7500 Reserved 7600 Reserved Issue Date: 10/26/15 34 TABLE OF CONTENTS

7700 Reserved 7800 High Level Waste 78010 10 CFR Part 21 Program 09/11/08 (08-026) 7900 Water Chemistry 79501 LWR Water Chemistry Control and Chemical Analysis - Audits 02/24/89 (reactivated 08-032) 79502 Plant Systems Affecting Plant Water Chemistry 12/31/91 .

(reactivated 08-032) 79503 Reserved for Part 52 LWR Water Chem. Control & Chem. Analysis (Pre-Op and Supp)

  • 79504 Reserved for Part 52 Plant systems Affecting Plant Water Chem.

79702 Control and monitoring of Radiological Source Term 04/17/00 (00-006) 8000 Environmental Protection 80210 Environmental Protection - Initial and Periodic "Inspections 06/22/05 (05-016) 80211 Reserved for Part 52 Environmental Protection - Initial & Periodic Inspection 80521 Radiological Environmental Monitoring (Preoperational and Supplemental) 01/01/84 (reactivated 08-032) 80522 Part 52, Radiological Environmental Monitoring Program (REMP) 07/01/08 (08-019) 80600 Reserved for Independent Assessment of Site Radiological Conditions 8072-1 Radiological Environmental Monitoring 09/17/01 (01-017) 8100 Physical Security 81000 Security 08/27/13 (13-018) 81000.01 Access Authorization 09/07/12 (12-020) 81000.02 Access Control 09/07/12 (12-020) 81000.03 Performance Evaluation Program 09/07/12 (12-020) 81000.04 Equipment Performance, Testing and Maintenance 09/07/12 (12-020) 81000.05 Protective Strategy Evaluation 01/03/13 (1J..001) 81000.07 Security Training 09/07/12 (12-020) 81000.08 Fitness for Duty Operational Program 09/07/12 (12-020) 81000.10 Security Organization, Management Effectiveness, Program Reviews and Audits 09/07/12 (12-020) 81000.11 Material Control and Accounting 09/07/12 (12-020)

Issue Date: 10/26/15 35 TABLE OF CONTENTS

81000.14 Review of New Reactor Target Sets 12/19/13 (13-029) 81001.1 Independent Spent Fuel Storage lnstallation(s) at Operating Plants 02/02/04 (04-003) .

81018 Physical Security Plan and Implementing Procedures 05/24/07 (07-17) 81019 Reserved for Part 52 Security Plan & Implementing Procedures 81020 Management EffectiVeness - Security Program 06/13/07 (07-019) 81021 Reserved for Part 52 Management Effectiveness 81023 Reserved for Part 52 Security Organization 81022 Security Organization 06/13/07 (07-019) 81034 Security Program Audit 09/10/07 (07-027) 81035 Reserved for Part 52 Security Audit Program 81038 Records and Reports 09/10/07 (07-027) 81039 Reserved for Part 52 Records & Reports 81042 Testing and Maintenance 04/12/07 (07-013) 81043 Reserved for Part 52 Testing & Maintenance 81046 Locks, Keys, and Combinations 09/10/07 (07-027) 81047 Reserved for Part 52 Locks, Keys & Combinations 81052 Physical Barriers - Protected Areas 09/10/07 (07-027) 81053 Reserved for Part 52 Physical Barriers - Protected Areas 81054 Physical Barriers - Vital Areas, Material Access Areas, and Controlled Access Areas 09/10/07 (07-027) 81055 Reserved for Part 52 Physical Barriers - Vital Areas, Material Access Areas & Controlled Access Areas 81058 Security System Power Supply 09/10/07 (07-027) 81059 Resetved for Part 52 Security System Power Supply 81062 Lighting 09/10/07 (07-027) 81063 Reserved for Part 52 Lighting 81064 Compensatory Measures 09/10/07 (07-027) 81065 Reserved for Part 52 Compensatory Measures 81066 Assessment Aids 09/10/07 (07-027) 81067 Reserved for Part 52 Assessment Aides 81070 Access Control - Personnel 12/22/08 (08-037) 81071 Reserved for Part 52 Access Control - Personnel 81072 Access Control (Power Reactor) - Packages 05/09/84 (84-15) 81073 Access Control (Fuel Facility) - Packages, Material, and Strategic Special Nuclear Material (SSNM) 08/05/09 (09-019)

  • 81074 Access Control - Vehicles 12/22/08 (08-037) 81075 Reserved for Part 52 Access Control - (Power Reactors) - Packages 81076 Resetved for Part 52 Access Control - Vehicles 81078 Detection Aids - Protected Areas 11/23/09 (09-028) 81079 Reserved for Part 52 Detection Aids - Protected Areas 81080 Detection Aids - MAA and CAA 12/22/08 (08-037) 81081 Reserved for Part 52 Detection Aids - VA, MAA, & CAA 81084 Alarm Stations 09/10/07 (07-027) 81085 Reserved for Part 52 Alarm Stations Issue Date: 10/26/15 36 TABLE OF CONTENTS

I I

81088 Communications 09/10/07 (07-027) 81089 Reserved for Part 52 Communications .

81120 Inspection Requirements and Guidance for Additional Security Measures for the Physical Protection in Transit for Radioactive Material Quantities of Concern 04/01/10 (10-010)

(Note this IP contains safeguards material) 81200 Security 08/27/14 (14-019) 81200.01 Access Authorization for Decommissioning Nuclear Power Reactors 10/21/14 (14-025) 81200.02 . Access Control for Decommissioning Nuclear Power Reactors 08/27/14 (14-019) 81200.03 Reserved for Decommissioning Force-on-Force Testing 81200.04 Equipment Performance, Testing, and Maintenance for Decommissioning Nuclear Power Reactors 08/27/14 (14-019) 81200.05 Protective Strategy Evaluation and Performance Evaluation Program for Decommissioning Nuclear Power Reactors 10/21/14 (14-025) 81200.06 Protection of Safeguards Information for Decommissioning Nuclear Power Reactors 08/27/14 (14-019) 81200.07 Security Training for Decommissioning Nuclear Power Reactor 10/21/14 (14-025) 81200.08 Reserved for Decommissioning Fitness for Duty Program 81200.10 Reserved for Decommissioning Cyber Security 81200.11 Reserved for Decommissioning Material Control and Accounting 81200.14 Review of Decommissioning Target Sets 01/15/14 (14-001) 81310 Physical Protection of Shipments of Irradiated Fuel 12/22/08 (08-037) 81311 Physical Security Requirements for Independent Spent Fuel Storage Installations 06/02/11 (11-009) 81335 Physical Protection of Shipments of Special Nuclear Material of Moderate Strategic Significance (SNM-MSS) 12/02/09 (09-029) 81340 Physical Protection of Shipments of Special Nuclear Material of Low Strategic Significance (SNM-LSS) 11 /23/09 (09-028) 81360 General Requirements for Physical Protection of Formula Quantities of Special Nuclear Material in Transit 12/02/09 (09-029) 81365 Records, Reports, and Planning for Physical Protection of Formula Quantities of Special Nuclear Material in Transit 11/23/09 (09-028) 81370 Specific Requirements for Physical Protection of Formula Quantities of Special Nuclear Materials in Transit 12/22/08 (08-037) 81402 Reports of Safeguards Events 11 /23/09 .(09-028) 81411 Physical Protection for Reactors with Formula Quantities of Special

. Nuclear Material 11 /04/85 (85-34) 81421 Fixed Site Physical Protection of Special Nuclear Material of Moderate

Issue Date: 10/26/15 37 TABLE OF CONTENTS

81501 Personnel Training and Qualification - General Requirements 12/02/09 (09-029) 81502 Fitness for Duty Program 12/22/08 (08-037) 81503 Reserved for Part 52 Personnel Training and Qualification - Gen.

.Requirements

81700.09 Security Measures for Licensed Facilities 10/26/15 (15-021) 81810 Protection of Safeguards Information 09/10/07 (07-027) 81811 Reserved for Part 52 Physical Protection Safeguards Information 81815 Authorization for Access to National Security Information (NSI) and Restricted Data (RD) 06/27/14 (14-014) 81820 Physical Protection Facility Approval and Safeguarding of National Security Information (NSI) and Restricted Data (RD) 06/27/14 (14-014) 8200 Emerq'ency Planning 82001 Evaluation of Emergency Preparedness 05/22/00 (00-010) 82002 Part 52, Emergency Preparedness Program 14/28/14 (14-026) 82002.01 Facilities and Equipment 11 /08/11 (11-030) 82002.02 Procedure Quality 11/08/11 (11-030) 82002.03 Review of Exercise Objectives and Exercise Scenario for Power Reactors "11/08/11.(11-030) 82002.04 Emergency Preparedness Exercises .11/08/11 (11-030) 82002.05 Emergency Response Organization On-Shift Staffing and Augmentation Drills 11/08/11 (11-030) .

82002.06 Emergency Response Organization, Dose Assessment Drills 11/08/11 (11-030) 82002.07 Operational Status of the Emergency Preparedness Program 11/08/11 (11-030) 82201 Emergency Detection and Classification 03/23/05 (05-008) 82202 Protective Action Decision Making 03/23/05 (05-008) .

82301 Evaluation of Exercises for Power Plants 04/24/13 (13-012) 82302 Review of Exercise Objectives and Scenarios for Power Reactors 04/24/13 (13-012) 82401 Decommissioning Emergency Preparedness Scenario Review and Exercise Evaluation 09/04/14 (14-020) 82501 Decommissioning Emergency Preparedness Program Evaluation 09/04/14 (14-020) 82701 Operational Status of the Emergency Preparedness Program 04/24/13 (13-012) .

Issue Date: 10/26/15 38 TABLE OF CONTENTS

8300 Radiation Protection 83100 Occupational Exposure During SAFSTOR and DEGON 12/30/91 (91-022) 83311 Reserved for Part 52, Radiation Protection During Construction 83501 Significant Uncontrolled Radiation Exposures 04/17/00 (00-006) 83502.01 Radioactive Gaseous and Liquid Treatment and Monitoring Systems 04/17/00 (00-006) .

83502.02 Radioactive Material Process and Transportation 04/17/00 (00-006) 83502.03 Radiological Environmental Monitoring Program and Radioactive Material Control Program 04/17/00 (00-006) 83521 Radiation Protection - Startup 01/01/84 (84-01) 83522 Radiation Protection, Plant Chemistry, Radwaste, and Environmental:

Organization and Management Controls 12/31/91 (reactivated 08-032) 83523 Radiation Protection, Plant Chemistry, Radwaste, Transportation and Environmental: Training and Qualifications 01/01/84 (reactivated 08-032) 83524 External Occupational Exposure Control and Personal Dosimetry (Preoperational and Supplemental) 01/01/84 (reactivated 08-032) 83525 Internal Exposure Control and Assessment (Preoperational and Supplemental) 01 /01 /84 (reactivated 08-032) 83526 Control of Radioactive Materials and Contamination, Surveys, and Monitoring (Preoperational And Supplemental) 01/01/84 (reactivated 08-032) 83527 Facilities and Equipment (Preoperational and Supplemental) 01/01/84 (reactivated 08-032) 83529 Reserved for Part 52 Radiation Protection - Startup 83531 Reserved for Part 52 Radiation Protection, Plant Chemistry, Radwaste, and Environmental 83532 Reserved for Part 52 Radiation Protection, Plant Chemistry, and Radwaste Training 83533 Part 52 External Occupational Exposure Control and Personal Dosimetry 10/27/10 (10-022) 83534 Part 52, Internal Exposure Control and Assessment 10/27/10 (10-022) 83535 Part 52, Control of Radioactive Materials and Contamination, Surveys, and Monitoring 10/27/10 (10-022) 83536 Part 52 Facilities and Equipment 10/27/1 O (10-022) 83537 Part 52 Maintaining Occupational Exposures ALARA 10/27/10 (10-022) 83722 Radiation Protection, Plant Chemistry, and Radwaste: Organization and Management Controls (Minimum/Basic) 09/17/01 (01-017) 83723 General Employee, Radiation Safety, Plant Chemistry, Radwaste, and Transportation Training 12/16/03 (03-041) 83724 External Occupational Exposure Control and Personal Dosimetry 04/17/00 (00-006) 83725 Internal Exposure Control and Assessment 04/17/00 (00-006) 83726 Control of Radioactive Materials and Contamination, Surveys and Monitoring 11/13/14 (14-027)

Issue Date: 10/26/15 39 TABLE OF CONTENTS

83727 Facilities and Equipment (Basic) 09/17/01 (01-017) 83728 Maintaining Occupational Exposures ALARA 04/17/00 (00-006) 83729 Occupational Exposure during Extended Outages 12/31/91 (91-021) 83746 Offsite Dose Calculation Manual (ODCM) 07/29/08 (08-021) 83750 Occupational Radiation Exposure 06/06/02 (02-023) 83801 Inspection of Remedial and Final Surveys at Permanently Shutdown Reactors 09/05/06 (06-020) 83822 Radiation Protection 09/07/00 (00-016) 83890 Closeout Inspection and Survey 05/01/03 (03-013) 8400 Radioactive Waste Management 84100 Special Nuclear Material Inspections At Near Surface Low-Level Waste Disposal Facilities In Agreement States 11/27/01 (01-028) 84101 Radioactive Waste Management 12/30/91 (91-022) 84521 Radwaste - Startup 01/01/84 (84-01) 84522 Solid Wastes (Preoperational and Supplemental) 01/01/84 (reactivated 08-032) 84523 Liquids and Liquid Wastes (Preoperational and Supplemental) 01/01/84 (reactivated 08-032) 84524 Gaseous Waste System (Preoperational and Supplemental) 01/01/84 (reactivated 08-032) 84525 Quality Assurance and Confirmatory Measurements for In-Plant Radiochemical Analysis (Preoperational and Supplemental) 5/23/85 (reactivated 08-032) 84526 Reserved for Part 52 Radwaste - Startup 84527 Part 52, Solid Waste Management System 07/01 /08 (08-019) 84528 Reserved for Part 52 Liquid Waste Management System 84529 Reserved for Part 52, Gaseous Waste Management System (Preoperational and Supplemental) 84750 Radioactive Waste Treatment, and Effluent and Environmental Monitoring 03/15/94 (94-006) 84850 Radioactive Waste Management - Inspection of Waste Generator Requirements of 10 CFR20 and 10 CFR 61 12/22/08 (08-037) 84900 Low-Level Radioactive Waste Storage 12/22/08 (08-037) *

(Preoperational and Supplemental) 8500 Material Control and Accountability 85102 Material Control and Accounting - Reactors 03/29/85 (85-10) 85103 Reserved for Part 52 Material Control and Accounting - Reactor 85200 MC&A for Licensees Possessing Less Than or Equal to One Effective Kilogram of SNM 04/10/85 (85-15) 85203 Management Structure and Controls 09/09/10 (10-019)

Issue Date: 10/26/15 40 TABLE OF CONTENTS

85205 Facility Operations and Internal Controls 09/09/10 (10-019) 85207 Measurement Systems 01/17/86 (86-04) 85209 Measurement Control and Statistics 04/10/85 (85-15) 85211 Physical Inventory 01/17/86 (86-04) 85303 Material Control and Accounting Management Structure and Personnel

. Training and Qualification 09/09/10 (10-019) 85305 Item Monitoring 09/09/10 (10-019)

  • 85307 Process Monitoring 12/21/2010 (10-027) 85309 Measurement Systems and Control 10/20/10 (10-021) 85311 Physical Inventory Program 11/15/10 (10-023) 85313 Alarm Resolution Program 11/15/10 (10-023) 85315 Internal Control 12/21/2010 (10-027) 85401 Management Structure 09/09/10 (10~019) 85402 Measurement Program 10/20/10 (10-021) 85403 Measurem~nt Control Program 10/20/10 (10-021) 85404 Physical Inventory Program for Low Enriched Uranium Fuel Facilities 11/15/10 (10-023) 85405 Item Control 09/09/10 (10-019) 85406 Resolution Program for Low Enriched Uranium Fuel Facilities 1 1/15/1 O (10-023) .

85407 Assessment Program 11 /29/1 O (10-024) 85408 Recordkeeping 11/29/1O(10-024) 85420 Inspection of IAEA Safeguards for Inspectors at Power Reactors 06/22/88 (88-07) 85501 Physical Inventory Program for Uranium Enrichment Facilities 11/15/10 (10-023) 85502 -Detection Program for Uranium Enrichment 1Facilities 12/21/2010 (10-027) 85503 Resolution Program for Uranium Enrichment Facilities 11/15/10 (10-023) 8600 Spent Fuel and Other Radioactive Material Packaging and Shipping 86001 Design, Fabrication, Testing, and Maintenance of.

Transportation Packagings 01 /16/08 (08-003) 86700 Spent Fuel Pool Activities 09/17/01 (01-017) 86730 Transportation of Radioactive Materials (49 CFR Parts 100-179 and 10 CFR Part 71) 04/17/00 (00-006) 86740 Inspection of Transportation Activities 10/30/08 (08-030) 86750 Solid Radioactive Waste Management and Transportation of Radioactive Materials 03/15/94 (94-006)

Issue Date: 10/26/15 41 TABLE OF CONTENTS

8700 Materials Safety Inspection 87102 Maintaining Effluents from Materials Facilities As Low As Is Reasonably Achievable (ALRA) 04/04/00 (00-005) 87103 Inspection of Material Licensees Involved in an Incident or Bankruptcy Filing 11/03/00 (00-023)

  • 87104 Decommissioning Inspection Procedure for Materials Licensees 07/29/02 (02-029) 87121 Industrial Radiography Programs 12/17/14 (14-030) 87122 lrradiator Programs 12/31/02 (02-047) 87123 Well Logging Programs 11/25/03 (03-037) 87124 Fixed and Portable Gauge Programs 11/25/03 (03-037) 87125 Materials Processor/Manufacturer Programs 09/28/05 (05-027) 87126 Industrial/Academic/Research Programs 09/28/05 (05-027) 87127 Radiopharmacy Programs 07/01/08 (08-018) 87128 Reserved for E~empt Distribution Programs 87129 Master Materials Program 09/15/03 (03-034) 87130 Nuclear Medicine Programs, Written Directtve Not Required 10/24/02 (02-041) 87131 Nuclear Medicine Programs, Written Directive Required 08/24/11 (11-014) .

87132 Brachytherapy Programs 02/26/15 (15-003) 87133 Medical Gamma Sterotactic Radiosurgery and Teletherapy Programs 08/24/11 (11-014) 87134 Medical Broad-Scope Programs 08/24/11 (11-014) 87135 Panoramic and Underwater lrradiator Security Program 10/30/08 (08-030) 87136 Manufacturing and Distribution (M&D) Security Program

  • 10/30/08 (08-030) 87137 10 CFR Part 37 Materials Security Programs 04/03/14 (14-009) 87250 Locating Missing Materials Licensees 10/29/01 (01-022) 87654 Uranium Mill, In-Situ Uranium Recovery, and 11e.(2) Byproduct Material Site Decommissioning Inspection 03/19/02 (02-010) 8800 Fuel Facility Inspection 88001 On-Site Construction 04/15/94 (94-011) 88003 Reactive Inspection for Events at Fuel Cycle Facilities 03/16/15 (15-004) 88004 Rese*rved for Adverse Weather Protection 88005 Management Organization and Controls 09/05/06 (06-020) 88010 Training 02/07/14 (14-005) 88015 Nuclear Criticality Safety 08/11/15 (15-0215)

Issue Date: 10/26/15 42 TABLE OF CONTENTS

88020 Operational Safety 01/23/14 (14-003) 88025 Maintenance and Surveillance Testing 01/23/14 (14-003) 88030 Radiation Protection 03/06/14 (14-007) 88035 Radioactive Waste Management 02/07/14 (14-005) 88045 Effluent Control and Environmental Protection 02/07/14 (14-005) 88050 Emergency Preparedness 03/06/14 (14-007)

  • 88051 Evaluation of Exercises and Drills 03/06/14 (14-007) 88054 Fire Protection (Triennial) 03/06/14 (14-007) 88055 Fire Protection (Annual) 01/23/14 (14-003) 88070 Plant Modification 02/26/14 (14-006) 88071 Configuration Management Program 03/06/14 (14-007) 88075 Event Follow~up 03/16/15 {15-004) 88100 Plant Operations 12/30/96 (96-026) 88101 Configuration Control 12/30/96 {96-026) 88102 Surveillance Observations 12/30/96 (96-026) 88103 Maintenance Observations 12/30/96 (96-026) 88104 Decommissioning Inspection Procedure for Fuel Cycle Facilities 07/03/02 (02-026) 88105 Management Organization and Controls 12/30/96 (96-026) 88106 Quality Assurance: Program Development and Implementation (Pre-licensing and Construction) 02/07/07 (07-006) 88107 Quality Assurance: Design and Documentation Control (Pre-licensing and Construction) 05/18/05 (05-013) 88108 Quality Assurance: Control of Materials, Equipment, and Services (Pre-licensing and Construction) 02/07/07 (07-006) 88109 Quality Assurance: Inspection, Test Control, and Control of Measuring and Test Equipment (Pre-licensing and Construction) 06/20/07 (07-020) 88110 Quality Assurance: Problem Identification, Resolution and Corrective Action 05/18/05 {05-013) 88111 10 CFR, Part 21, Inspection-Facility Construction 02/07/07 (07-006) 88112 Reserved for Software Validation 88113 Control of the Electronic Management of Data 02/07107 (07-006) 88114 Quality Affecting Item Procurement (1 O CFR Part 21) and Commercial Grade Item Dedication Process [Reactive] 10/25/06 (06-030) 88115 SupplierNendor Inspection (Construction Phase) 10/25/06 (06-030) 88120 Reserved Draft Construction and Operational Readiness Inspections for the Internal Isotopes Uranium Deconversion Facility 88121 Reserved Draft Operational Readiness Reviews for Uranium Deconversion Facilities 88130 Resident Inspection Program for On-Site Construction Activities at the Mixed Oxide Fuel Fabrication Facility 10/25/06 (06-030) 88131 Geotechnical/Foundation Activities 10/25/06 (06-030) 88132 Structural Concrete Activities 10/25/06 (06-030) 88133 Structural Steel and Supports Activities 7/25/07 (07-023)

Issue Date: 10/26/15 43 TABLE OF CONTENTS

88134 Quality Assurance: Piping Relied on for Safety) 05/18/05 (05-013) 88135 Resident Inspection Program for Category I Fuel Cycle Facilities 02/07/14 (14-005) 88135.02 Resident Inspection Program Plant Status Activities 05/21/15 (15-010) 88135.04 ISA Implementation 01/31/14 (14-004) 88135.05 Fire Protection 01/31/14 (14-004) 88135.17 Permanent Plant Modifications 01/31/14 (14-004) 88135.19 Post Maintenance Testing 01/31/14 (14-004) 88135.22 Surveillance Testing 01/31/14 (14-004) 88136 Mechanical Components 7/25/07 (07-023) 88137 Electric Cable 04/01/10 (10-010) 88138 Electrical Components and Systems 08/08/07 (07-024) 88139 Ventilation and Confinement Systems 08/08/07 (07-024) 88140 Instrumentation and Controls Systems 04/01/10 (10.:.010) 88141 Fire Prevention and Protection 08/08/07 (07-024) 88142 Underground Fire Water Loop and Equipment Installation 08/08/07 (07-024) 88143 Pipe Supports and Restraints 7/25/07 (07-023) 88150 Reserved for Training and Qualification of Plant Personnel 88151 Reserved for Facility Changes and Change Process (10 CFR70.72) 88152 Reserved for Physical Protection Equipment and Barriers 88153 Reserved for Material Control and Accounting 88154 Reserved for Fire Safety and Protection Systems 88155 Reserved for Functional Verifications of IROFS 88156 Reserved for Integrated Safety Analysis Implementation 88157 Reserved for Waste Management Equipment and Systems 88158 Reserved for Environmental Protection - Initial and Periodic Inspections 88159 Reserved for Process Enclosures and Vessels 88160 Reserved for Utilities and Bulk Chemicals 88161 Corrective Action Program (CAP) Implementation at Fuel Cycle Facilities 07/28/14 (14-017) 8900 Fuel Facility and Materials Special Program 89001 In-Situ Leach (ISL) Facilities 09/02/97 (97-013) 9000 Reportable Matters and Report Reviews 90001 Construction Regulatory Response Column Inspections 10/27/10 (10-022)  !

Issue Date: 10/26/15 44 TABLE OF CONTENTS

90002 Construction Degraded Performance Column Inspections 10/28/14 (14-026) 90003 Construction Multiple/Repetitive Degraded Cornerstone Column Inspection 10/28/14 (14-026) 905018 Reportable Matters - Startup Test Program 04/30/75 (75-16) 90502 Reserved for Part 52 Reportable Matters - Test Program 90700 Feedback of Operational Experience Information at Operating Power Reactors 03/23/05 (05-008) 90712 In-office Review of Written Reports of Non-routine Events at Power Reactor Facilities 12/31/98 (98-020)

  • 90713 In Office Review of Periodic and Special Reports 09/17/01 (01-017) 90714 Non-routine Reporting Program 09/17/01 (01-017) 9100 Title 10 Requirements 9200 Planned Non-Routine Activities 92050 Review of Quality Assurance for Extended Construction Delay 04/04/00 (00-005) 92700 Onsite Follow-up of Written Reports of Non-routine Events at Power Reactor Facilities 12/31/98 (98-020) 92701 Follow-up 03/13/07 (07-010) 92702 Follow-up on Traditional Enforcement Actions Including Violations, Deviations, Confirmatory Action Letters, Confirmatory Orders, and Alternative Dispute Resolution Confirmatory Orders 01/10/08 (08-001) 92703 Follow-up of Confirmatory Action Letters 05/13/09 (09-012) 92709 Licensee Strike Contingency Plans 03/14/14 (14-008) 92711 Continued Implementation of Strike Plans During an Extended Strike 03/14/14 (14-008) .

92712 Resumption of Normal Operations After a Strike 03/14/14 (14-008) 92714 Reserved for Part 52 Follow-up 92717 IE Bulletins for Information and IE Information Notice Followup 09/25/85 (reactivated 10-020) 92720 Corrective Action 09/28/98 (reactivated 07-034) 92721 Reserved for Part 52 Follow-up on Corrective Actions for Violations and Deviations 92722 Follow up Inspection for Any Severity Level I or II Traditional Enforcement Violation or for Two or More Severity Level Ill Traditional Enforcement Violations in a 12-Month Period 08/11 /09 (09-020) 92723 Follow Up Inspection for Three or More Severity Level IV Traditional Enforcement V_iolations in the Same Area is a 12-Month Period 08/11 /09 (09-020)

Issue Date: 10/26/15 45 TABLE OF CONTENTS

92901 Follow-up- Plant Operations 09/17/01 (01-017) 92902 Follow-up- Maintenance 09/17/01 (01-017) 92903 Follow-up- Engineering 09/17/01 (01-017) 92904 Follow-up- Plant Support 09/17/01 (01-017) 9300 Non-Routine Activities 93001 OHSA Interface Activities 09/08/09 (09-021) 93002 Managing Fatigue 11/09/09 (09-026) 93100 Safety-Conscious Work Environment Issue of Concern Follow-up 04/09/15 (15-005) 93702 Prompt Onsite Response to Events at Operating Power Reactors 09/17/01 (01-017) 93800 Augmented Inspection Team 03/23/09 (09-01 O) 93801 Safety System Functional Inspection (SSFI) 07/25/96 (96-016) 93802 Operational Safety Team Inspection (OSTI) 11/27/89 (89-015) 93803 Safety Systems Outage Modifications Inspection 04/27/89 (89-008) 93804 Risk-Based Operational Safety and Performance Inspection 01,151a2 (92-001>

  • 93805. Maintenance Program 08/06/93 (93-070) 93806 Operational Readiness Assessment Team Inspections 09/29/98 (98-015) 93807 Systems Based Instrumentation and Control Inspection 01/29/93 (93-001) 93810 Service Water System Operational Performance Inspection (SWSOPI) 09/14/98 (98-013) 93811 Electrical Distribution System Functional Inspection (EDSFI) 02/03/99 (99-002) 93812 Special Inspection 11/15/11 (11-033) 93813 Reserved for Part 52 Operational Readiness Assessment Team Inspection 93814 Independent Design Verification Program 11 /15/1 O (10-023) 93815 Part 52, Operational Programs Implementation Inspection 12/23/11 (11-043) 9400 Technical Activities of an Administrative Nature 94300 Status of Plant Readiness for an Operating Licensee 02/14/86 (Reactivated 07-034) 94301 Reserved for Part 52 Status of 10 CFR 52 Plant Readiness for Fuel Load 94302 Status of Watts Bar 2 Readiness for an Operating License 01/30/15 (15-002) 9500 Strategic Determination Actions 95001 Supplemental Inspection for One or Two White Inputs in a Strategic Performance Area 02/09/11 (11-001)

Issue Date: 10/26/15 46 TABLE OF CONTENTS

95002 Supplemental Inspection for One Degraded Cornerstone or Any Three White Inputs in a Strategic Performance Area 02/09/11 (11-001) 95003 Supplemental Inspection for Repetitive Degraded Cornerstones, Multiple Degraded Cornerstones, Multiple Yellow Inputs or One Red Input 02/09/11 (11-001) 95003.01 Emergency Preparedness 01/15/09 (09-002) 95003.02 Guidance for Conducting an Independent NRC Safety Culture Assessment) 04/03/14 (14-009) 9600 Materials Safety and Security 96001 NRC Force-on-Force Inspections at Category 1 Fuel Cycle Facilities 12/22/14 (12-031) 9700 Reserved 9800 Reserved 9900 Guidance2 9900 Technical Guidance 05/12/86 (86-26)

PART .

GUIDANCE Technical Guidance ASME Section Ill American Society of Mechanical Engineers ASME Boiler and Pressure Vessel Code, Section Ill 06/16/89 (89-011)

ASME Section Ill American Society of Mechanical Engineers ASME Boiler and & XI Pressure Vessel Code, Section Ill & XI 11 /12/96 (96-022)

ASME Section XI American Society of Mechanical Engineers ASME Boiler and Pressure Vessel Code,Section XI 12/08/86 (86-54)

ASME Section XI American Society of Mechanical Engineers ASME,Section XI 05/12/86 (86-26)

STS Sec 1.0 Operability 05/12/86 (86-26)

STS Sec 1.0 Definitions 12/08/86 (86-54) 2

[XXXXJOC] attached to each document in Part 9900, is the file name for that document.

Issue Date: 10/26/15 47 TABLE OF CONTENTS

STS Sec 3.0 Acceptable Measurement Tolerances for Technical Specification Limits 10/01/78 (78-35}

STS Sec 3/4.6.4 Containment and Drywell Isolation Valves 06/09/88 (88-06}

STS Sec3.7.5 Ultimate Heat Sink 11/25/88 (88-17}

STS Sec 3/4.8.1 TOI Diesel Generator Air Roll Tests 06/09/88 (88-06}

STS Sec 4.2.8.X.X Surveillance Requirements - 125-Volt Battery Bank 10101n9 (79-22}

STS Sec 4.5.1 Standard Technical Specifications (BWR} 05/12/86 (8.6-26}

STS Sec 4.8.1.1.2 Surveillance Testing of Diesel Generator Lockout Feature 05/12/86 (86-26}

STS Surveillance Sections - Locked or Otherwise Secured Components 10/01n7 (77-25}

STS lnterp Licensee Technical Specification Interpretations 02/03/97 (97-001}

Maintenance Voluntary Entry into Limiting Conditions for Operation Action Statements to Perform Preventive Maintenance 01/17/02 (02-001}

Assessing On-Line Leak Sealing of ASME Code Class 1 & 2 07/15/97 (97-011}

Filled Organic Coatings Used in Maintenance of Safety Related Equipment 10/11/94 (94-018)

Preconditioning of Structures, Systems, and Components (SSCs)

Before Determining Operability 09/28/98 (98-014) [PRECOND.TG]

Mechanical Freeze Plugs 06/14/93 (93-005)

Steam Generator Plugs and Sleeving Repairs 08/01/94 (94-014}

Steam Generator Tube-to-Secondary Leakage 09/09/03 (03-033}

[TG_Mech SGTUBELKG.wpd]

Ice Condenser System Inspections 06/06/05 (05-015}

Issue Date: 10/26/15 48 TABLE.OF CONTENTS

Operations Notice of Enforcement Discretion for Gaseous Diffusion Plants 05/03/99 (99-008) [NOEDGAS.TG]

Operation - Safety and Compliance 09/11/07 (07-028)

[TG 9900 SAFETY]

PART.

10 CFR GUIDANCE 10 Title 1 Oof the Code of Federal Regulations 12/08/86 (86-54) 10 CFR71 and 49 CFR171-178 Transportation of Radioactive Material 12/01/04 (04-027) 50.55(e) Construction Deficiency Reporting 01/31/89 (89-002) 50.55a Codes and Standards 02/22/73 (73-9) 50.59 10 CFR 50.59, Changes, Tests, and Experiments 03/13/01 (01-008) [50_59.CFR]

Part 50, App A Definition of Leak-Before-Break Analysis 09/26/96 (96-020)

Part 50 Appendix J, Containment Integrated Leak Rate Testing 12/08/86 (86-54) 70.51 Material Balance, Inventory, and Records Requirements 12/19/74 (74-11) 70.52 Report of Accidental Criticality or Loss of Special Nuclear Material 11/15/74 (74-010)

Interpretations END Issue Date: 10/26/15 49 TABLE OF CONTENTS

NRC INSPECTION MANUAL IRIS MANUAL CHAPTER 0040 PREPARING, REVISING, AND ISSUING DOCUMENTS FOR THE NRC INSPECTION MANUAL

0040-01 PURPOSE *...................*..*.................................................................*...........:.......... 1 0040-02 OBJECTIVES ........................................................................................................... 1 0040-03 DEFINITIONS ...... .-.................................................................................................... 1 03.01 General ............................................................................................................:....... 1 03.02 Types of Inspection Manual Documents ................................................................... 2 03.03 Support Information for Inspection Manual Documents ............................................ 3 0040-04 RESPONSIBILITIES AND AUTHORITIES ................................................................ 4 04.01 Program Office ......................................................................................................... 4 04.02 Originating Organization ........................................................................................... 4 04.03 Director, Division of Inspection and Regional Support, NRR/DIRS ........................... 5 04.04 ROP Inspection Programs Division or Deputy Division Director:

NRO/DCIP, NRR/DIRS, NSIR/DPR, and NSIR/DSO, ............................................... 5 04.05 Chief, Nuclear Security Oversight Branch, NSIR/DSO/NSOB/ Chief, Inspection and Regulatory Improvements Branch, NSIR/DPR/IRIB .................................................. 6 04.06 Chief, Construction Inspection Program Branch, NRO/DCIP/CIPB ........................... 6 04.07 Chief, Reactor Inspection Branch, NRR/DIRS/IRIB/ Chief, Performance Assessment Branch, NRR/DIRS/IPAB .......................................................................................... 6

  • 04.08 Non-ROP Inspection Programs Division or Deputy Division Directors; NMSS ....................................................................................................................... 7 04.09 Inspection Manual Coordinators: NMSS, NRO, and NSIR ....................................... 7 04.10 Inspection Manual Coordinator: NRR ...................................................................... 7 0040-05 GENERAL INSTRUCTIONS FOR ALL DOCUMENT TYPES ................................... 8 05.01 Plain Writing Guidance ............................................................................................. 8 05.02 Program Document Requirements ........................................................................... 9 05.03 Revisions to Documents ..........................................................................................1O 05.04 References ...............................................................................: .............................. 1O 05.05 Incorporating Other Documents ............................................................................... 11 05.06 Requests for Guidance, Revisions, and New Documents ............. !.......................... 11 0040-06 DOCUMENT PREPARATION AND PROCESSING ................................................. 11 06.01 Training Considerations ...........................................................................................11 06.02 Document Preparation .............................................................................................11 06.03 Incorporating Generic Requirements ....................................................................... 12 06.04 Regional and Office Comments ............................................................................... 12 06.05 Comment Resolution ..................*.............................................................................14 06.06 Update or Create Revision History Page ................................................................. 14 06.07 Document Issuing* Package .....................................................................................14 06.08 Deleting Documents ................................................................................................15 06.09 Manual Coordinator's Review ................................. :................................................ 15 06.10 Final Approval ......................................................................................................... 16 06.11 Standard Distribution of Manual Documents ............................................................16 0040-07 DOCUMENT TYPES AND FORMATS .....................................................................16 07.01 Inspection Manual Chapters (IMCs) ........................................................................ 16 07.02 Inspection Procedures (IPs) ....................................................................................17 07.03 Temporary Instructions (Tls).'...............................................*.................................... 18 07.04 Operating Experience Smart Samples (OpESSs) ....................................................21 07.05 Appendix .................................................................................................................22 07.06 Attachment ..................................................................*............................................23 Issue Date: 11/20/14 0040

07.01 Table .......................................................................................................................23 07.08 Figure ......... *............................................................................. *..............................23 07.09 Exhibit .....................................................................................................................23 07.10 Issue Date ..........................................*....................................................................23 07.11 Document Number ..................................................................................................23 0040-08 REFERENCEs* ................ :.......................................................................................24 Exhibit 1 - Pidorial View of IMCs, IPs and Supporting Documentation .................................. E1-1 Exhibit 2 - Links to Document Issuing Form(s) (DIF) ................................... ,......................... E2-1 Exhibit 3- Example of Comment Resolution Table ............................................................... E3-1 Exhibit 4 - Example of Revision History Page ....... ,............................................................... E4-1 Exhibit 5 - Example of Document First Page ......................................................................... E5-1 Exhibit 6- Format Requirements Checklist ........................................................................... E6-1 Exhibit 7 - Guidance for Using MS Word 201 O...................................................................... E7-1 Attachment 1 - Revision History for IMC 0040 ..................................................................... Att1-1 Issue Date: 11/20/14 ii 0040

0040-01 PURPOSE 01.01 Inspection Manual Chapter 0040 establishes the basic requirements and format for preparing and obtaining comments on the U.S. Nuclear Regulatory Commissio.n (NRC)

Inspection Manual (Manual), including Manual chapters, inspection procedures, temporary instructions, and Operating Experience Smart Samples.

01.02 Instructions are provided on how to prepare appendixes, attachments, tables, figures, and other material for Manual documents.

01.03 Responsibilities and authmities for preparing, issuing, and revising documents for the Manual are specified.

  • 01.04 Processes are established to prepare, revise, and issue Manual documents, including those used by the various NRC Offices that conduct inspection programs such as: Office of Nuclear Material Safety and Safeguards (NMSS), Office of New Reactors (NRO), Office of Nuclear Reactor Regulation (NRR), and Office of Nuclear Security and Incident Response (NSIR).

0040-02 OBJECTIVES 02.01 To help managers and staff plan and develop clear, accurate, and effective Manual documents.

02.02 To ensure consistency, and meet Agency standards, in the format and content of Manual documents.

0040-03 DEFINITIONS 03.01 General.

a. Program Document. A Manual chapter, inspection procedure, temporary instruction, or Operating Experience Smart Sample, technical guidance, or Title 10 Code of Federal Regulations (CFR) guidance.
b. Document Issuing Form. (DIF). A form required to initiate creation, revision, or deletion of a program document. A signed DIF is required for every program document creation, revision, or deletion.
c. Originating Organization. The NRC program office, division, and/or branch responsible for the creation and modification of a program document.
d. Reactor Oversight Process (ROP). NRC's regulatory framework for operating reactors that includes licensee performance indicator (Pl) data, NRC inspection activity and determination of inspection finding significance, and licensee performance assessment.

Issue Date: 11/20/14 1 0040

e. Construction Reactor Oversight Process (cROP). NRC's regulatory framework for.

reactors under construction that includes NRC construction inspection assessment and enforcement programs.

03.02 Types of Inspection Manual Documents. A table of contents, inspection manual chapter, inspection procedure, temporary instruction, operating experience smart sample, change notice, technical guidance, or 10 CFR guidance. (See Exhibit 6 for formatl:ing instructions and standards.)

a. Table of Contents (TOC). An outline of the manual's structure and a numerical listing of the manual documents. Certain document numbers and titles are reserved for future development.
b. Inspection Manual Chapter (IMC). A document containing written administrative or inspection program statements of policy. IMCs state the purpose, objectives,.

definitions, responsibilities, authorities, and basic requirements for inspection programs.

An IMC for an inspection program defines the program through a listing of inspection procedures, which is normally appended to the IMC.

c. Inspection Procedure (IP). A statement of the objectives, requirements, and specific guidance for inspection activities, which are focused on safety, security, or safeguards.

IPs describe the activities performed by an inspector or technical staff, including administrative requirements. IPs also identify the applicable program, state the objective of the inspection, list the inspection requirements, give inspection guidance, and estimate the resources needed.

d. Temporary Instruction (Tl). A temporary inspection procedure that is focused on current safety issues or concerns not currently addressed by established IPs or IMCs.

Tis are issued to supplement an inspection program and generally are placed in effect for a period of 12 to 24 months. They are used for a one-time initial inspection of a safety issue or a one-time collection of information, but not to provide policy and guidance information to the licensee. If a Tl will be in effect for more than 24 months, special justification is required. *

e. Operating Experience Smart Sample (OpESS). A mechanism used to integrate operating experience (OpE) into the ROP inspection process. The OpESS makes relevant OpE more accessible to inspectors in the form of a detailed synopsis of selected issues determined to have potential generic safety implications. OpESS's inform and enhance ROP inspection samples within existing ROP inspection procedure requirements and level of effort. Additional information is provided in IMC 2523, "NRC Application of Operating Experience."
f. Change Notice (CN). A sequentially numbered and dated transmittal document that lists new, revised, and/or'deleted program documents; distributes new and revised program documents; and includes a "Remarks" section that summarizes the reasons for issuing, revising, or deleting a document. Any required special training identified in an IP or Tl is also stated.
  • Issue Date: 11 /20/14 2 0040
g. Technical Guidance (TG). A program document issued to provide specific guidance to address a particular technical question that is associated with an inspection procedure.

These guidance documents are found in Part 9900 of the Manual. No new technical guidance documents will be issued or revised.

It is planned that every technical guidance document will be reviewed. Based on the type of document and current use, it will be relocated from the inspection manual to another document collection; redefined as another program document, such as an IMC or IP; or deleted entirely.

h. 10 CFR Guidance. A guidance document on acceptable approaches to particular issues involving rules and regulations in 10 CFR. These guidance documents are found in Part 9900 of the Manual. No new 10 CFR guidance documents will be issued or revised.

It is planned that every 10 CFR Guidance document will be reviewed. Based on the type of document and current use, it will be relocated from the inspection manual to another document collection; redefined as another program document, such as an IMC or IP; or deleted entirely.

03.03 Support Information for Inspection Manual Documents.

See Section 05.02 and Exhibit 6 for formatting instructions and standards.

a. Table of Contents. The introductory outline of the entire Inspection Manual's structure and listing of the Manual's active program documents.
b. Appendix. A supplement that contains instructional material, either mandatory or discretionary, that is relevant to a document but is too detailed or extensive to be included directly in the body of the document. An appendix can be included in the back of the manual chapter or procedure itself, or it can be its own stand alone document.
c. Attachment. Material that is relevant to a document but is too detailed or extensive to be practically included directly in the body of the document. Attachments can be either placed in the back of the inspection manual chapter or inspection procedure, or can be considered as standalone documents. Attachments are generally in the form of a numbered table, exhibit, or figure, etc.
d. Exhibit. An example or feature of document requirements which may include accompanying instructions.
e. Figure. Graphical material.
f. Table. Information presented compactly in columns and rows.

Issue Date: 11/20/14 3 0040

0040-04 RESPONSIBILITIES AND AUTHORITIES 04.01 Program Office.

a. NRR appoints Inspection Manual (IM) Coordinator.
b. NMSS appoints NMSS Inspection Manual (IM) Coordinator.
d. NSIR appoints NSIR Inspection Manual (IM) Coordinator.
e. NRO appoints NRO Inspection Manual (IM) Coordinator.

04.02 Originating Organization. Following are responsibilities of the originating organization.

a. Develops and revises program documents necessary to carry out assigned organizational programmatic responsibilities that comply with NRC policies.
b. Performs tasks consistent with internal office guidance, such as preparing memoranda to obtain comments on proposed new and revised program documents from other organizations and stakeholders, and ensures that all program documents conform to

.I the appropriate guidance and basis documents for each program office.

In addition:

1. NRR will ensure that NRR Office Instruction OVRST-102, "NRR Procedures for Processing Inspection Manual Documents" is implemented.
2. NMSS will ensure that the Policy and Procedure (P&P) Letter 1-76, "Office of Nuclear Material Safety and Safeguards' Procedures for Processing Inspection Manual Chapters and Inspection Procedures," is implemented. (Due to the merger that occurred in October 2014 between the Office of Federal and State Materials and Environmental Management (FSME) and NMSS, NMSS may choose to use Policy and Procedure 6-8, "Office of Federal and State Materials and Environmental Management Programs Procedures for Processing Inspection Manual Chapters and Inspection Procedures," until a revision of program documents has been completed.)
3. NSIR will ensure that NSIR-ADM-100, "Preparing and Maintaining Office Procedures" is implemented.
c. Elicits appropriate stakeholder feedback from the regions and the NRC offices affected by drafts of new or substantially revised inspection program documents. The comments received are then dispositioned in a comment resolution summary page, which is included in the Document Issuing Package as non-public. (See Sections 06.04 and 06.05).

Issue Date: 11/20/14 4 0040

d. Identifies training needs associated with performing new or revised procedures required in an IP or a Tl, as described in subsection 06.01 of this IMC.
e. Obtains the necessary approval for any increase in the Full Time Equivalent (FTE) inspection effort specified in a program document. (Which would also include coordination in the initial stages of a Tl. See Section 07.03.}
f. Informs NRC technical staff of a pending procedure change and ensures that required training is provided before the procedure is issued or before the procedure becomes effective.
g. Prepares and routes final drafts of newly created or modified program documents to the originating organization's Inspection Manual (IM) Coordinator when ready for issuance, in accordance with applicable internal office guidance.
h. Ensures that a Tl is managed by: providing guidance for follow-up and closure of the Tl, including specific regional responsibilities; clearly distinguishing mandatory requirements; reviewing and analyzing Tl results; giving feedback to the appropriate managers, as necessary; determining whether additional inspection is needed as follow-up to the Tl; and submitting the document issuing form (Exhibit 2) to the IM Coordinator of the originating office when initiating, revising, or deleting the Tl.
i. Conducts a periodic review of each of its program documents to determine whether a document should be revised or deleted. The originating office is responsible for maintaining and updating inspection documents. (NRR Office Instruction OVRST-102 defines the review period as "every four (4) years".)
  • j. Informs the NRC staff in the affected division about evaluation, revision, or deletion of a program document.
k. In cases where the program document impacts another office of the NRC, through shared use of resources or scheduling; communicates the parameters and scope of the proposed program document early in the process; includes the other office in the comment seeking and resolution process; and adds an additional signature line on the document issuing form for the other office's management (branch chief or higher).

04.03 Director, Division of Inspection and Regional Support, NRR/DIRS. Coordinates inspection policies, programs, and guidance for nuclear reactors.

04.04 ROP Inspection Programs Division or Deputy Division Director: NRO/DCIP, NRR/DIRS, NSIR/DPR, and NSIR/DSO. .

a. Reviews regional best practices and initiatives for possible incorporation into the construction reactor inspection program/reactor inspection program.

Issue Date: 11/20/14 5 0040

b. Ensures that all new, as well as major revisions to, cROP program documents and ROP program documents conform to applicable program basis documentation. (A major revision is defined as an extensive change to the document that conforms to overall programmatic changes.)
c. Reviews and approves the content of new, as well as the major revisions of, cROP/ROP documents (which could include, but is not limited to, policy changes) necessary to carry out assigned program functions. (Division Directors or Deputy Division Directors from NRO and NSIR must sign each DIF before sending the document to NRR for distribution, unless otherwise noted.)
d. Confirms that a new cROP/ROP document, as well as a major revision, meets the requirements of this IMC prior to signing the DIF (Exhibit 2).
e. The NRR/DIRS Division Director or Deputy Division Director reviews and approves the content of new NSIR documents, as well as those with major revisions, as they relate to the ROP.

04.05 Chief, Inspection and Regulatory Improvements Branch, NSIR/DPR/IRIB/ Chief, Nuclear.Security Oversight Branch, NSIR/DSO/NSOB_.

a. Reviews and approves program documents that relate to the security cornerstone and emergency preparedness areas, respectively, of the cROP/ROP.
b. Approves and signs requests for comments on program documents that relate to the security cornerstone and emergency preparedness areas, respectively, of the cROP/ROP in accordance with applicable office guidance.

04.06 Chief, Construction Inspection Program Branch, NRO/DCIP/CIPB.

a. Reviews and approves program documents that relate to the cROP, unless otherwise stated. Provides final approval to issue minor (editorial) document revisions and deletions.
b. Approves and signs requests for comments on program documents that relate to the cROP in accordance with applicable office guidance.

04.07 Chief. Reactor Inspection Branch, NRR/DIRS/IRIB/ Chief, Performance Assessment Branch, NRR/DIRS/IPAB.

a. Reviews and approves content for all inspection manual documents that relate to the ROP unless otherwise stated in NRR Office Instruction OVRST-102. Provides final approval to issue minor (editorial) document revisions and deletions. In addition to the designated NSIR branch chief review and approval identified in section 04.05 above, Issue Date: 11/20/14 6 0040

the' IRIB BC reviews and approves content for inspection manual documents that relate to the security cornerstone and emergency preparedness cornerstone of the ROP. The IRIB/IPAB Branch Chief should notify DIRS management of IMC and IP revisions on a periodic basis.

b. Approves and signs requests for comments on program documents for the ROP unless otherwise stated in NRR Office Instruction OVRST-102.

04.08 Non-ROP Inspection Programs Division or Deputy Division Directors: NMSS.

a. Approves the content of documents necessary to carry out assigned program functions, and signs the DIF prior to sending the document to NRR for distribution.
b. Confirms that documents meet the requirements of this IMC prior to signing the document issuing form (Exhibit 2).
c. Approves and signs requests for comments on program documents in accordance with applicable office guidance.

04.09 Inspection Manual Coordinators: NMSS, NRO, and NSIR.

a. Ensure that'the appropriate inspection program organizations, NRC regional offices, and other affected NRC offices are given the opportunity to comment on documents affecting their programs.
b. Verify that the requirements of this IMC are met in the preparation and approval of program documents.
c. Ensure that the policies and procedures outlined in their office's internal guidance (e.g.,

P&P Letter 1-76 for NMSS, and NSIR-ADM-100 for NSIR) have been followed.

d. Track the progress of draft program documents submitted to them for issuance and make the status of submitted documents available to those who submitted them, from the date of submission to the date of issuance.
e. Accept final drafts of newly-created or modified documents prepared by the originating office for submission to the NRR Inspection Manual Coordinator for final processing and issuance.

04.10 Inspection Manual Coordinator: NRR.

a. Performs the sametasks as the other IM Coordinators as described above for NRR, including ensuring that the policies and procedures of NRR Office Instruction OVRST-102 have been followed, and also:
  • Issue Date: 11/20/14 7 0040
b. Accepts final drafts of newly-created or modified program documents from IM Coordinators of other offices for issuance in the Manual. No documents should be accepted from any individual other than an IM Coordinator identified in advance by the originating office's management.
c. Returns final drafts of program documents to the IM Coordinators of originating offices other than NRR when further changes are required.
d. Ensures that all format and other requirements have been met for final drafts of program documents. For program docume.nts originating from offices other than NRR, the approvals of the office and division management will be accepted with respect to content.
e. Assures availability of inspection program documents through the NRC's Agencywide Documents Access and Management System (ADAMS) and the NRC Web site.
f. Updates the Inspection Procedure Authority System within NRR's Reactor Program System (RPS/IPAS).
g. Tracks the progress of draft program documents and makes the status of submitted documents available to the IM Coordinators who submitted them, from the date of submission to the date of issuance. -
h. After the documents become official records in ADAMS, sends an e-mail to announce the change notice is issued to the Agency staff listed on the Outlook Distribution list, as well as staff members listed on the DIFs of documents included in the Change Notice.

0040-05 GENERAL INSTRUCTIONS FOR ALL DOCUMENT TYPES All ROP program documents must conform to IMC 0308, "Reactor Oversight Process Basis Document." If changes or revisions alter the scope or basis of a program document, appropriate updates to the ROP Basis Document are required. Once the need for a basis change is recognized, the appropriate changes to IMC 0308 should be written and provided to the IMC 0308 owner for incorporation into the next issuance of IMC 0308, which will occur approximately every year.

  • Consider the impact that changes in a particular Manual document (e.g., IMC, IP, Tl, or OpESS) will have on other Manual documents. Contact the originating office of the affected Manual document(s) and coordinate further changes that are essential to maintaining consistency within the Manual.

05.01 Plain Writing Guidance. State clearly what the NRC technical staff is to do. Use specific and objective words. State who, what, when, where, and why. State conditions, limitations, and exceptions separately. Write in a readable style in simple English. It is not just desirable for an NRC technical staff to understand your writing; it is mandatory.

Issue Date: 11/20/14 8 0040

a. Use short words, short sentences, and short paragraphs. If possible, avoid words that are not In common use outside of the NRC unless they are defined or explained. (Most of the program documents are publicly available). Divide long drawn-out sentences into two or more sentences. Try to limit paragraphs to 10 lines or less. Reorganize material to break lengthy, complex paragraphs into several paragraphs or a list.
b. Read and edit draft material from the user's perspective. Replace wordy prepositions

("in the vicinity of') with one-word prepositions ("near").

0

c. For further guidance, refer to NUREG-1379, NRC Editorial Style Guide," and the Government Printing Office Style Manual {latest edition). These references can be found under the Plain Language Action Plan on the internal website. Also refer to Webster's dictionary (latest edition).
d. Terminology must be consistent. Do not use two or more words for the same idea, concept, or activity. Except for abbreviations in common use, show the complete word, tiUe, or phrase the first time it is used with the abbreviation in parenthesis immediately after. An example is service water system operational performance inspection *

(SWSOPI).

e. The originator must make clear what is mandatory of NRC technical staff and what is discretionary. For example, use "must," "shall," and "will" to indicate mandatory requirements and "can," "may," "might," and "should" to convey discretion.
f. Since Web links can change, the insertion of a Web link in a document is not preferred and should normally only be used to provide supplemental, non-critical information.
g. For all new documents and those that contain extensive revisions, the originator should follow the Agency procedures to receive technical editing assistance.

05.02 Program Document Requirements. All drafts and final documents shall be prepared in Microsoft Office Word (MS Word), consistent with the format described in this IMC, and stored in ADAMS. Exhibit 6 provides guidance in using MS Word to prepare Manual documents.

a. Format requirements listed in Exhibit 6 for tab settings, margins, horizontal graphics line, footers, and page numbering, must be followed.
b. On the first line, centered, capitalized, and in Arial 19-point bold font, the words NRC Inspection Manual shall be entered; and against the right margin, the organizational code in Arial 10-point font, entered.
c. The main body and the footer must be in Arial 11-point font, left justified. Do not use bold, italic, shadow, or other appearances. Underline may be used for emphasis. The only exceptions are charts and graphs that may appear in the main body, and commitments, which are required to be in italics (see subsection 06.03 of this IMC).

Issue Date: 11/20/14 9 0040

d. All footers shall be the same throughout the entire document with the following format:

the issue date at the left margin and the document number at the right margin. Page numbers should be located at the bottom center of each page, and numbering should restart with each new component: the table of contents (if any) in lower-case Roman numerals; the body of the document with Arabic numbers, and exhibits, tables and attachments with a designating prefix (letter or letter/number combination), hyphen, and number (e.g., the third page of Exhibit 4 as E4-3).

e. The last page(s) of a program document shall list the revision history (see subsection 06.06 of this I MC) to include: the ADAMS accession number of the document, a brief description of the scope of the revision, training required as a result of the change, the date the training was completed, ADAMS accession number for comment and feedback resolution summary, and commitment tracking identification numbers specific to the document (see Exhibit 3).
f. The Manual document must be placed in ADAMS. The originator should ensure version control when revising and creating Manual documents by using the ADAMS check-out and check-in procedures and other version control techniques for exclusive use of official copies from ADAMS.
g. All new or substantially revised Manual documents should be reviewed by an Agency
  • technical editor.

05.03 Revisions to Documents. When Manual documents are revised, the entire document is re-issued. To make revisions, edit the MS Word version of the current document. First remove the existing vertical lines in the margins showfng revised text and the red font of changed text by clicking on the Review tab and then accepting all changes in document. Save the document.

Then set up the Track Changes options in MS Word to display insertions in red and Changed Lines in the Outside Border to always show balloons (see Exhibit 6). In the case of a total re-write of a document, it is not necessary to mark the changes in red with lin~s in the margins.

Revisions are issued by a change notice, giving careful consideration to not deleting generic inspection requirements inadvertently. Major changes to the document must be noted in the revision history page (see subsection 06.06 of this IMC).

05.04 References. References must be directly relevant to the document and essential to its completion. The reference list shall include all other inspection manual documents (IMC, IPs, and Tis) that appear in the document. References may not be used simply to convey historical information. References to another inspection program document must include the type of document, the number, and the section or appendix (e.g., IMC 2500-05.01; IMC 2500, Appendix A). Reference to another section of the same document should include a phrase such as

'subsection 04.01 of this IMC.'

Any commitment being added to a document (such as requirements of a generic letter) shall also be listed in the section where it appears arid.identified with a commitment tracking number as described in subsection 06.03 of this IMC. Commitments must also be included under the commitment section of the revision history page.

Issue Date: 11/20/14 10 0040

05.05 lncomoratinq Other Documents. Documents from the NRC or other agencies may be incorporated by reference into Manual documents when necessary to conduct the inspection program.

05.06 Requests for Guidance, Revisions, and New Documents.

a. Requests for guidance, new documents, and revisions to documents applicable to the ROP should be initiated using the Feedback Process, as desaibed in IMC 0801, "Reactor Oversight Process Feedback Program." This process will track the requests through the evaluation and editing periods.
b. Requests for guidance, new documents, and revisions to documents other than those applicable to the ROP should be addressed to the Chief, IRIB, NRR, for reactor inspection programs or to the applicable manager in NMSS, NRO, or NSIR.

0040-06 DOCUMENT PREPARATION AND PROCESSING 06.01 Training Considerations. When planning to revise an existing document or create a new document, assess the need for NRC technical staff to be trained. This determination should consider whether written guidance already exists, the complexity of the activity, and the frequency in which the staff performs the activity. In general, tra.ining should be developed for activities that require a new skill, are complex in nature, or require a subject matter expert to answer questions. When training is required, the originating organization is responsible for developing the technical content and determining the most appropriate training method.

Training methods include updating written guidance, conducting a teleconference or video conference, recording the training on video tape, developing computer or Web-based training, adding self-study or on-the-job training standards to existing qualification requirements, or conducting regional presentations. When selecting the training method, consider the time needed.for all affected staff to complete the training and that training should be completed prior to issuing the Manual document

  • 1' 06.02 Document Preparation. Develop a new document in the current version of MS Word, using the structure and format requirements, described in this IMC.

Use the current official Manual document as the starting point for a revised Manual document.

Retrieve the current MS Word version of the document from the NRC Web site and save it as a separate working file. To retrieve the most recent MS Word version: go to the NRC internal home page and follow these steps, click on: (1) Organization, (2) click on NRR, (3) click on ROP Digital City, (4) under the section "Inspection Documents" or"Security Documents," click on type of Manual document, and (5) locate the number of the document. The MS Word file associated with the document is the file labeled "doc" or "docx" on the public Web, and linked to the MS Word icon 011 the internal website for security-related documents.

Issue Date: 11/20/14 11 0040

06.03 Incorporating Generic Requirements.

a. There are instances when specific inspection requirements* are placed in an inspection procedure to satisfy a generic requirement (e.g., identified in a generic communication, such as a bulletin). When adding the commitments of a generic* requirement to a Manual document, the requirement shall be identified as follows:
1. The text that defines the commitment shall be italicized. This is a specific exception to the requirement not to use italic text type in a program document for emphasis. Spacing before and after the text should be such that the information clearly stands out within the document.
2. A commitment tracking number shall be assigned using the next sequential number available for that procedure. This number shall be bracketed and entered following the italicized text (e.g., [CX]); and the commitment tracking number added to the revision history page ..
b. To delete a generic requirement that is n,o longer valid, the approval of the respective division director is required.

For IMC 0040, the following commitment applies:

To ensure that generic inspection requirements are not inadvertently deleted through a revision to a procedure, a review of the revision history section shall be performed. If the revision history does not cover a minimum of 4 years, then a review of the change notices from the past 4 years for that document shall be performed and the results documented in the revision history page. Change Notices are located on the external NRC Web Page. [C1]

06.04 Regional and Office Comments. Drafts of new or substantially revised Inspection program documents must be sent for review and comment to offices that will be affected by the changes. Documents thatwill have an effect on more than one office, i.e., NMSS, NRO, and NSIR, need to be routed through the appropriate IM Coordinators to ensure affected divisions and regions have had the opportunity to comment on the document. IM Coordinators in NMSS, NRO, and NSIR should follow the appropriate internal office guidance (e.g., Office Instruction.

OVRST-102 for NRR, P&P Letter 1-76 for NMSS, and NSIR-ADM-100 for NSIR). Each office's IM Coordinator shall ensure comments from regional offices and other internal stakeholders of the document have been

. obtained according to the applicable office guidance. It is the responsibility of the originating office to obtain comments, perform comment resolution, and create a comment resolution summary page for each document.

a. The purpose of the review and comment period is to resolve issues specific to the proposed change to the document. Comments outside the scope of the proposed change are not appropriate for this process and should be submitted using the processes described in subsection 05.06 of this IMC. However, depending on the Issue Date: 11/20/14 12 0040

nature of the comments received, it may be appropriate to include comments outside the scope of the proposed change. These non-editorial changes should be shared with the regions and the NRC offices affected - if they meet the review criteria*- and may warrant' an additional opportunity for comment. (The review and comment period is, on average, 30 days. If additional time is needed for the review, a request for an extension should be provided to the technical lead and Inspection Manual Coordinator via e-mail.)

b. Comments from the regions are important because the regions implement the inspection programs. However, requests for their comments must be controlled so they do not become burdensome on their workload. Minor, non-substantive changes do not need to be sent to the regions for comment. In those cas~s. the comment resolution
  • column of the revision history page is marked N/A (see subsection 06.06 of this IMC).

Determine if a document must be sent to the region by answering the following questions:

1. Will the proposed document affect regional resources?
2. Will the document significantly affect regional programs?
3. Is a regional perspective.really needed?
4. Are the regions interested in the subject?
5. Does the document represent a major policy change?
6. Could any of the proposed changes to an existing procedure potentially change its context and/or impact the inspection program?

If the answer to any of the questions is "yes," then a draft of the document should be sent to all regions and other affected offices for comments.

c. The rules for sending draft documents to the regions for comments are:
1. Send only final drafts.
2. Identify a technical person in the originating office who the regions can contact to discuss the document.
3. Prepare the request far enough in advance of the document's deadline to allow for review of not less*than 30 calendar days, unless otherwise specified.
4. Each program office shall identify persons in each region and other stakeholders in organizations within the NRC to review the draft documents out for comment.
5. For requests for regional comments on new or revised Manual documents that involve major policy changes, send a copy to the Office of the Deputy Executive Director for Regulatory Programs and the Office of the Inspector General.

Issue Date: 11/20/14 13 0040

06.05 Comment Resolution. The originating office will include a copy of all substantive written comments received with their disposition briefly noted in the document issuing package. The originator will enter the final version of the comment resolution summary into ADAMS and list the accession number on the revision history page. (See Exhibit 3 for an example of a comment resolution summary.) Prior to submitting the document issuing package to the NRR Inspection Manual Coordinator, the comment resolution summary, and applicable feedback forms, shall be declared as an official non-public record in ADAMS.

06.06 Update or Create Revision History Page. Maintaining a revision history page will ensure that requirements are not inadvertently deleted. If a revision history page does not already exist for the document, it shall be created by the originator using Exhibit 4 as an example. The first time the document is issued, the "Description of Change" column shall 1

include a statement that a four-year historical search for commitments was conducted and whether or not commitments were found. The training completion date (if training is required) in all cases shall be prior to the document issue date. When applicable, ROP feedback form numbers shall be listed in the "Comment and Feedback Resolution Accession Number" column.

ADAMS Accession numbers of the document, feedback form, and comment resolution summaries shall be listed. To provide an historical record of the document, consider listing the ADAMS Accession numbers for previous revisions. The issue date will be filled in by the NRR Inspection Manual Coordinator prior to issuing the final document.

Note: The revision history page identifies certain commitments. In addition to being used as a mechanism for knowledge transfer and to generate the change notice, it also is a way to quickly identify why the document was created or modified and the last time it was reviewed.

Documents not containing a revision history page will be returned to the originator for correction.

06. 07 Document Issuing Package. It is the responsibility of the IM Coordinator of the originating office to ensure that all documents are correctly formatted and that the comment and feedback resolution summary is an official Agency record in ADAMS prior to routing to the NRR Inspection Manual Coordinator. Exhibits 5 and 6 shall be used to meet this requirement.

Documents failing to adhere to the guidelines provided in these exhibits will be retume,d to the IM Coordinator of the originating office, and then to the originator for correction.

Before routing the document to its IM Coordinator, the originating organization shall enter the final document, as well as the comment and feedback resolution summary into ADAMS, and prepare a hard-copy document issuing package. The comment and feedback resolution summary shall be profiled as non-publicly available. Owner rights to the final document shall be granted to the originating office IM Coordinator and the NRR Inspection Manual Coordinator. A complete document issuing package consists of the following:

1 A four year historical search consists of, but is not limited to, a review of SECY papers, Staff Requirements Memoranda (SRM) and other relevant program documents that have a direct impact on the inspection document.

Issue Date: 11/20/14 14 0040

a. A completed and signed paper copy of the document issuing fom, (DIF) (Exhibit 2). If more than one office provides input to creating or revising a document, additional signature lines may be added to the DIF. If the resources of another office are anticipated to be used in the inspection activity, an additional line for the signature of a branch chief or division director or deputy division director of that office must be added.

Electronic template files of the document issuing fom,s (Exhibit 2) are posted on the NRR ROP Digital City website (from the NRC internal home page, go to NRR, then ROP Digital City, and then select the office document issuing fom, from the bottom-left pull-down menu, "Forms, Templates, Sample Reports and More"). The signed DIFs are included in the final Change Notice ADAMS package as non-public.

b. A paper copy of the final version of the document to be issued, including color copies of any graphics or exhibits that are intended to be shown in color. All documents must have an updated revision history page, and will include the Accession number of the Comment Resolution Summary document where applicable. In addition, if the document revision caused a feedback form to be closed, the feedback form number and the Accession number will be included on the Revision History page. The paper document should be identical to the electronic version of the document in ADAMS. (If the issuing document is a Tl, it should be, on average, 10 to 25 pages long, and should not include policy or guidance information.)
c. A paper copy of the comment and feedback resolution summary, as well as any open feedback forms that will be closed by issuing a new or revised document (see Exhibit 3).
d. Completed ADAMS Document Submission Fom,s (Form 665P} for the final document to be issued and the comment and feedback resolution summary. For public documents, it is required that a Sensitive Unclassified Non-Safeguards Information (SUNSI) review be completed, and the words, 'SUNSI Review Complete' entered in the keyword field of the ADAMS profile before a Manual document is issued. Non-public documents must be entered into the ADAMS profile, and documented on the Form 665, with app(icable entries for the keyword and document sen,sitivity fields.

06.08 Deleting Documents. For documents in which the inspection activity is complete or no longer applicable, the originating o~ganization shall submit the Document Issuing Fom, (Exhibit 2), with the box "Deletion" checked and write the reason for deletion. The document will be removed from the active documents of the Inspection Manual that are listed in the Table of Contents and posted on the Web. The DIFs for each deleted document will be saved in ADAMS.

06.09 Manual Coordinator's Review. The originating organization of any NMSS, NRO, or NSIR document shall route all document packages to the respective office's IM Coordinator for review. Upon satisfactory review, the originating office's IM Coordinator then shall submit the document to the NRR Inspection Manual Coordinator. NRR documents are routed directly to the NRR Inspection Manual Coordinator. Documents submitted to the NRR Inspection Manual Coordinator that are not ready for issuance will be returned to the IM Coordinator of the originating office for correction, as required. The NRR Inspection Manual Coordinator reviews the document for publication.

Issue Date: 11/20/14 15 0040

06.10 Final Approval. Final approval of program documents for inclusion in the Manual is given by the division director or deputy division director of the originating office, other than NRR.

The NRR/DIRS/IRIB {or IPAB) branch chief will approve minor revisions {i.e. editorial) to existing documents. The NRR DIRS division director or deputy division director will approve major revisions and policy changes to an existing document, as well as the issuance of a new document {for NRR see Sections 04.04 and 04.07). The NRR Inspection Manual Coordinator will publish the change notice on the NRC Web site.

06.11 Standard Distribution of Manual Documents. New and revised Manual documents are distributed by publication of a change notice. Technical leads within NRR will ensure that the document is distributed to any necessary staff in addition to the standard change notice distribution list. IM Coordinators and regional counterparts outside of NRR shall ensure that the document gets the widest dissemination necessary in accordance with internal office policy.

0040-07 DOCUMENT TYPES AND FORMATS The Inspection Manual is divided into 100 parts numbered 0000 through 9900 (0000 is the first part, 0100 is the second part, etc.). Manual documents within the parts have 4-digit numbers

{manual chapters), 5-digit numbers (inspection procedures), or 7-digit numbers (temporary instructions).

07.01 Inspection Manual Chapters. Manual chapters numbered 0000 through 1999 are used for policy statements on the inspection programs and the manual. Inspection Manual Chapters 2000 through 2999 define the various inspection programs. The first two digits of the manual chapter numt;,er identify the administrative or inspection category, and the last two digits identify the inspection program. For example, the first two digits of IMC 2515 identify the inspection program (reactor), the third digit identifies the type of reactor (light water), and the fourth digit identifies the operational phase (operations) - "Light Water Reactor Inspection Program -

Operations Phase." Inspection manual chapters include the following:

a. Table of Contents. Due to the amount of information* provided in an IMC, a table of contents shall be included to allow the user to make more efficient use of the document.

Pages of the Table of Contents shall be numbered with lower-case Roman numerals.

b. Section 01, "Purpose." Provides a broad statement of the topic covered by the IMC.
c. Section 02, "Objectives." Used to state the aim of the program or functions covered by the IMC. This section is not required if this information is already covered in Section 01.
d. Section 03, WApplicability." Identifies the type of facilities, operations, actions, or population for which the IMC is applicable. The applicability section is optional.

Issue Date: 11/20/14 16 0040

e. Section 04, "Definitions:" A definition is only necessary if the term is used in a special sense or the meaning may not be clear to the user.
f. Section 05, "Responsibilities and Authorities." Provides a brief description of ownerships arranged from higher to lower levels of authorities.
g. Section 06, "Requirements." This section is used to provide the specific instructions of

~IM~ *

h. Section 07, "References." The reference section shall list all other inspection manual documents (IMCs, IPs, and Tis) that appear in the document, plus other relevant documents as described in subsection 05.04. Additional sections can be used beyond 07, as required, to provide better structure to the document.

07.02 Inspection Procedures. IPs are subdivisions of Parts 3000 - 9800 of the manual, are five-digit numbers, and describe the activities to be performed by an inspector to implement a part of an inspection program. For example, the first two digits of IP 71111.01; "Adverse Weather Protection," identify the part of the manual (7100 Operations (License & TS Requirements)). and the 111.01 is the number of the procedure in the sequence of procedures in Part 7100. (Pilot inspections will be considered for a new or substantially revised NRC requirement(s). The purpose of the pilot inspection is to detennine the adequate inspection scope and requirements which NRC should verify to ensure that the licensee is in compliance with either a new or substantially revised NRC requirement(s).

  • Pilot inspection procedures can be in effect for several years and are cancelled once the results, as appropriate, are incorporated into the ROP baseline inspection program.)

IPs include the following sections:

a.* "Program Applicability." Identifies the IMC(s) to which the. IP applies, and should be reviewed and updated, as necessary, with each inspection procedure revision .

. b. Section 01, "Inspection Objective(s)." States the objective(s) of the IP.

c. Section 02, "Inspection Requirement(s) and Inspection Guidance." Describes the requirements for completing the procedure and achieving its objectives and corresponding inspection guidance. This section may specify systems, components, and records to be inspected and inspection methods such as sampling (including sample sizes), observation, records review, and interviews. The IP should not involve excessive reviews of documents. Some auditing of documents (e.g., reports, analyses) may be necessary, but the emphasis should be on inspecting equipment and observing licensee activities. Ensure it is clear to the inspector what portions are mandatory and what, if any, are optional.

This section may contain general guidance. After each requirement, specific inspection guidance should follow. Specific guidance explains how individual requirements can be accomplished and alerts the inspector to potential problems. Clearly identify guidance, Issue Date: 11/20/14 17 0040

so it will not be mistaken for additional inspection requirements. For new procedures, the guidance section can be used to tell the inspector how the originating office il"!lended the requirements to be accomplished. For existing procedures, the guidance should reflect experience gained or problems encountered in perfonning the inspection.

  • ~ : For existing IPs, there is an option to separate the inspection requirements and inspection guidance into two sections based on specific organizational needs. For this option, the inspection guidance section may offer general as well as specific guidance; and each inspection requirement should have a specific number or letter assigned to it for identification purposes. The identifier should be used in the inspection guidance section to associate the specific guidance to the associated requirement. When there are two separate sections, if no guidance is given for a requirement, the corresponding identifier in the guidance section should use the phrase, "No.inspection guidance."

(This was primarily done wth pre-ROP procedures, but can be done with ROP procedures as well. By using this method, the numbering scheme in the procedure will change, but it will not necessarily change in the report itself.)

d. Section 03, "Resource Estimate;" An estimate of the average time needed to complete the inspection (not including preparation and documentation time). This estimate is for broad resource planning and is not intended as a measure for judging the inspector's or the region's perfonnance. Actual inspections may require substantially more or less time, depending on the individual circumstances.
e. Section 04, "References.* Lists documents that will be immediately helpful to the inspector in perfonning the inspection procedure. The reference section is not intended to be a historical listing of documents about the inspection area. It should be limited tothose references directly relevant to perfonning the procedure. Manual documents should not reference documents, policies, or practices of the Institute of Nuclear Power Operations (INPO).

The reference section shall list all other inspection manual documents (IMCs, IPs, and Tis) that appear in the document. For NRC documents, the ADAMS accession number (e.g., ML003717333) should be listed last. Regulatory guides and industry standards and codes do not need an ADAMS accession number.

Procedures for the risk-infonned baseline inspection program for reactors may include requirements and guidance in attachments to the procedures. For this program, the attachments correspond to "inspectable areas" within the "cornerstones of safety" that fonn the foundation of the ROP (see IMC 2515, "Light-Water Reactor Inspection Program - Operations Phase").

f. Section 05, "Procedure Completion." Defines the minimum sample size to be inspected and reported in RPS in order to consider the procedure complete. Describes what is meant by inspection sample(s) and how samples are counted.

07.03 Temporary Instructions {Tis). . Temporary instructions are issued with a number that includes the number of the manual chapter with which the Tl is associated, Issue Date: 11/20/14 18 0040

followed by a sequence number. For example, Tl 2515/102 would be the 102"d Tl issued under the operating phase of the light water reactor inspection program (IMC 2515). A Tl is primarily used as a one-time inspection of a significant generic safety issue or less frequently for a one-time information collection. (It is not used to provide or document policy and/or guidan~e information to the licensee.)

Requests for new ROP Tis should be directed to the Reactor Inspection Branch Chief (NRR/DIRS/IRIB) to obtain approval for budget estimates. This request would typically be made via e-mail, after con:ipleting the ROP Tl Request Form (found on ROP Digital City/Communications and Trainingffemporary Instruction Request Form) as soon as the need for a Tl is identified. The request should include the necessary background to understand why a Tl is required, or warranted, including why the information should not be obtained by other means (e.g., OpESS or generic communication), an estimate of required resources and site applicability, an assessment of the safety or security significance providing justification for such

  • resource expenditures, and the estimated dates for start and completion. The IRIB Branch
  • Chief will discuss the proposed Tl with his/her Regional counterparts to obtain their vie\NS on the implications of the proposed Tl. If the IRIB Branch Chief approves the Tl request, it will be I provided to the DIRS Division or Deputy Division Director for finai approval or denial to proceed with the Tl A Tl is, on average, a 10 to 25 page document that is in effect for a 12 to 24 month period.

Their purpose .is to have inspectors concentrate on a specific, current issue, not an overall program. Any Tl that will be more than 25 pages should consider specifically what it is asking the inspectors to do. If a Tl will be in effect for less than 12 months, or more than 24 months, the originator must provide a special justification to the NRR/DIRS/IRIB Branch Chief by e-mail.

The request to extend the Tl should be received in a timely manner prior to its expiration. If it is not, the Tl will be deleted via a Change Notice and closed in the Reactor Program System (RPS).

Each Tl has an expected completion date,* as well as an expiration date. If the stated purpose of the Tl has not been accomplished by the expiration date, or if there is a need to add clarification to existing requirements and guidance, the originating organization may revise and reissue the Tl. The revised Tl must be accompanied by a document issuing form (Exhibit 2) justifying the re-issuance. Tis are the only Manual documents that use revision numbers.

Revisions of other Manual documents are indicated only by the new issue date.

Tis shall contain the following information:

a. Cornerstone (for ROP Tis only). Lists the comerstone(s) for which the Tl is applicable .

. b. Applicability (for ROP Tis only). Identifies the facility or facilities, site(s), and unit(s) for which the Tl is applicable.*

c. Section 01, "Objective(s)." Lists the objective(s) of the Tl. For multiple objectives, use a bulleted list. This section also states whether the nature of the Tl is performance-based or information-gathering.

Issue Date: 11/20/14 19 0040

d. Section 02, "Background." This section provides critical and pertinent background information required to understanding the generic issue and assist in the implementation of the Tl. This section should specifically describe the reasons why this Tl is being issued including an assessment of the safety or security significance and justification of resources expenditures.
d. Section 03, "Inspection Requirements and Inspection Guidance." This section presents, in a numerically-ordered list of distinct, concise statements, the specific inspection items that need to be accomplished in order to meet the objective(s) stated in Section 01.

Each numbered requirement shall be followed by specific guidance to implement the requirement. Tis emphasize observing activities. They are not to be used for solely reviewing documents. Tl requirements should be performance-based, clearly stated, and focused on the implementation of programs, modifications, and procedures.

  • However, Tis that are information-gathering by nature may involve inspection requirements for Agency inspectors that are slightly different from performance-based requirements.

Revisions of existing Tis may have separate sections for inspection requirements and inspection guidance based on, specific organizational needs.

f. Section 04, "Reporting Requirements." States where and how the Tl results will be documented. In most cases, Tl results are documented in inspection reports, (e.g., in*

accordance with IMC 0612, Power Reactor Inspection Reports)." The Tl shall specify the location and information required to be documented. In cases where the inspection results are not to be documented in a routine inspection report, sufficient additional information must be provided regarding the specific reporting requirements. Any non-standard distribution of reports documenting the Tl inspections should be specified in this section (e.g., filling out a table that is attached to the Tl and e-mailing it to NRR for review). *

g. Section 05, "Completion Schedule." This section includes an expected date for
  • completion of the Tl. This date should be reasonable and should precede the expiration date of the Tl to allow the originating organization sufficient time to interpret, analyze, and report the Tl results. For ROP Tis, completion dates should be the last day of a calendar year quarter (March 31, June 30, September 30, or December 31 ).
h. Section 06, "Expiration." States the effective duration of the Tl and includes an expiration date, which marks the official end of the Tl. In establishing the expiration date for Tis under the ROP, consider the amount of time beyond the completion date the staff will need to complete the inspection report and associated enforcement activities. After the expiration date, no resources shall be charged to the Tl~ and the originating organization shall follow the procedures described in subsection 06.08 of this IMC to delete the Tl from the Inspection Manual.
i. Section 07, "Contact(s)." This section identifies the originating organization (office, division, and branch) and the name, phone number, and e-mail address of technical contact(s) who are designated to answer questions about the Tl. Usually the author of Issue Date: 11/20/14 20 0040

the Tl is considered the lead technical contact. Other technical contacts may include, but are not limited to, other staff within the branch and the immediate supervisor of the technical lead.

j. Section 08, "Statistical Data Reporting." This section identifies temporary instruction number(s), the associated charge codes (e.g., Inspection Procedure Authority System (IPE) and activity codes) for the Tl and, if necessary, the inspection procedure and code to which an inspector should charge time for any follow-up inspections after the Tl has
  • been completed. For ROP-related Tis, all inspection effort should be charged to Tl 2515/XXX (which represents the number of the Tl), the IPE code of Tl, and the activity code of TIP for preparation or TJD for documentation.
k. Section 09, "Resource Estimate." This section presents an estimate of the direct inspection effort (DIE) in hours per unit or site needed to complete the Tl inspection requirements. The estimated average time should include a band (i.e., a low and a high.

estimate). If the resources during the implementation of the Tl can be attributed to other IPs other than the Tl, provide a list of potentially applicable IPs, and an estimate (in hours) of the potential usage.

I. Section 1O, Training." This section states the required training needed in order to successfully accomplish the inspection requirements. If the necessary training needed is covered by program office's general training and qualification program (e.g., IMC 1245, Qualification Program for the Office of Nuclear Reactor Regulation Programs,")

stating the applicable appendix of training IMC will suffice.

m. Section 11, "References." Lists documents that will be immediately helpful to the inspector in performing the Tl. The reference section shall list all other inspection manual documents (IMCs, IPs, and Tis) that appear in the document.

When the originating organization determines that the stated purpose of the Tl has been accomplished, it shall prepare a final report documenting the Tl results for distribution to pertinent staff no later than the expiration date. The final report may also recommend additional inspections or changes to the inspection program. In those cases, the originating organization shall add the appropriate branch chief (for the ROP, Chief, IRIS or IPAB), to the distribution.

When the stated purpose of the Tl has been accomplished, the originating organization will delete the Tl by submitting a document issuing form (Exhibit 2) to the IM coordinator. All Tis shall be deleted by the expiration date.

07.04 Operating Experience Smart Samples (OpESSs). OpESSs may be employed to inform and enhance ROP inspection of selected OpE issues determined to have potential generic

  • safety implications. OpESSs are only developed when an inspection can be accomplished within existing ROP inspection requirements and level of effort. Issues that cannot be addressed within existing ROP inspection requirements and level of effort should be considered for a one-time inspection under a Tl.

Issue Date: 11/20/14 21 0040

OpESSs contain the following information:

a. Cornerstone. List the cornerstone(s) for which the OpESS is applicable. The.

cornerstone( s) may include one or all of the cornerstones listed for the ROP pertinent inspection procedure(s).

b. Applicability. Identifies the type of plant (e.g., PWR, BWR, CE, Mark 1 containment, etc.) that is affected or could be inspected under the OpESS.
c. Objective(s). Lists the objective(s) of the OpESS. The objective(s) may be more specific than those specified in the selected inspection procedure(s) but must be congruent with the stated objective(s) of the selected inspection procedure(s).
d. Background. Presents OpE associated with the OpESS and relevant research and references.
e. Inspection Guidance. Provides the information and links for inspectors to use during inspection of the OpESS. Include a list of applicable ROP baseline IP(s) and how the OpESS satisfies one (or more) of the sample requirements for the IP(s). The guidance may be more specific than those specified in the selected IP(s), but must be congruent with the stated objectlve(s) of the selected IP(s).
f. References. List of documents that will be helpful to the inspector in performing the OpESS. These may include related generic communications, management briefing slides, Regulatory Guides, INPO documents, previous related inspection findings, and OpE communications. Include hyperlinks when available.
g. Reporting Resultsffime Charges/Additional Issues. In general, OpESS results will be documented and inspection reports will be distributed in accordance with guidance specific to existing inspection procedure(s) and IMC 0612, "Power Reactor Inspection Reports." Any guidance on non-standard documentation or distribution shall be specified in this section. In addition, provide guidance on how inspectors are to charge their time under the baseline ROP inspection program.
h. Contact(s). Identifies the name, phone number, and e-mail address of technical contact(s) who are designated to answer questions about the OpESS. This is generally the OpESS author and applicable NRR contacts. This contact information may be redacted from the OpESS posted on the NRC public webpage.
i. Attachments. May be used as necessary to provide additional information related to the OpESS.

07.05 Appendix. An appendix may contain additional instructional material. Appendixes must pertain to the IMC, IP, or Tl to which they are appended. They should not contain policies, responsibilities, or requirements, which are to be covered in the basic document. An appendix format shall follow the chapter format as much as possible, and will be depicted by a letter (A, B, C, etc.) in the title.

Issue Date: 11/20/14 22 0040

a. Purpose. Briefly explain why an appendix is being provided.
b. Objectives. Provide necessary information to understand the guidance of the appendix, as well as its context.
c. Applicability. Provide necessary detailed information for the appendix.

07.06

  • Attachment. An attachment may contain additional instructional material. Attachments must pertain to the IMC. IP. or Tl to which they are appended. They should not reiterate policies. responsibilities, or requirements, which are covered in the basic document. An attachment format shall follow the chapter fonnat as much as possible, and will be depicted by a number ( 1, 2, 3, etc.) in the title.
a. Purpose. Briefly explain why an attachment is being provided.
b. Objectives. Provide necessary information to understand the guidance of the appendix,

. as well as its context. * ,

c. Applicability. Provide necessary detailed information for the attachment.

The Revision History Table is an inclusive attachment to an inspection manual chapter, inspection procedure and/or temporary instruction that outlines the revisions made to the document on a summary page.

07.07 Table. Every table should have a number (Table 1, 2, etc.) and should be cited in the text by that number. In general, tables should have titles, and the text within the table should be font Arial 11, but can also be font Arial 9 or 10, depending on the size of the table.

07 .08 Figure. Every figure should have a number (Figure 1, 2, etc.) and should be cited in the text by that number. In general, figures should have titles. The NRC Graphic Services Section, Office of Administration, is available to prepare figures.

07.09 Exhibit. Every exhibit should be numbered (Exhibit 1, 2, etc.) and should be cited in the text by that number.

  • 07.10 Issue Date. The issue date is on each page of the document in the form XX/XX/XX and is placed at the lower left of the *page (as illustrated in this IMC). The issue date is omitted from the first page of an IMC that contains a Table of Contents. The actual date will be entered by the NRR Inspection Manual Coordinator before the document is issued. The format for the issue date is: "Issue Date: XX/XX/XX" (2 spaces after the colon).

07.11 Document Number. The document number is put at the bottom right of all pages containing an issue date.* Revisions of Manual documents have the same number as the original document. The NRR Inspection Manual Issue Date: 11/20/14 23 0040

Coordinator is responsible for assigning numbers for new Manual documents. Office Inspection Manual Coordinators and NRR document originators should request the NRR Inspection Manual Coordinator to reserve numbers for new Manual documents before the document issuing package is prepared.

0040-08 REFERENCES IMC 0308, "Reactor Oversight Process (ROP) Basis Document" IMC 0801, "Reactor Oversight Process Feedback Program" IMC 1245, "Qualification Program for Operating Reactor Programs" IMC 2506, "Construction Reactor Oversight Process General Guidance and Basis Document" IMC 2515, "Light-Water Reactor Inspection Program - Operations Phase" IMC 2600 Appendix A, "Guidance for Conducting Fuel Cycle Inspections" IMC 2800, "Materials Inspection Program" NUREG-1379. "NRC Editorial Style Guide" U.S. Government Printing Office Style Manual END Exhibits:

1. Pictorial view of IMCs, IPs and Supporting Documents
2. Links to Document Issuing Forms
3. Example of Comment Resolution Summary
4. Example of Revision History Page
5. Example of Document First Page
6. Format Requirements Checklist
7. Guidance for Using MS Word

Attachment:

Revision History for IMC 0040 Issue Date: 11/20/14 24 0040

Inspection Manual Chapters: (Polley)

  • 'Mitten statements of policy that caver most NRC oversight and Inspection program areas (e.g., reactors, materials, reactor construction, IMCs fuel faclfrtles, etc.
  • State the purpose. objecUves, definitions, responsibilities, authorttles.

end basic requirements for Inspection programs.

  • Defines lhe program through a listing of lnspacUon procedures, which Is normally appended to the IMC Inspection Procedures:

(Implementation of Polley)

  • A statement of obJecUves, requirements and specific guidance for IPs Inspection actMUes , whldl are focused on safety, security, or safegUaras.
  • Describe lhe acUvities performed by an Inspector or technical staff, including admlnistrallve requirements.

IMC 2515 App C llm lPa for perfonnlng i Infrequent lnspactlona (e.g. ISFSla, SG , ,

Follow-up replacement, PDWIII'  :  :  !

0 Baseline rocedures upma, etc.) at operating : Event l"ollow-up :

are requl ed to be Inspections at plam / 1nspettions \ .

plants with 0

perfonne at all Operatin Reactors. degraded performance. I SITS \

I  ;

i i Temporary Instruction Procedures: ~ Safely lssuesand i

  • FOaJSes on cu179111 safety Issues or concems not

~ Topics a.trenUy addressed by established IPs or IMCs.

~- IITs

  • Placed In effect for a period of 12 to 24 monlhs.

Operating

  • Used for a one-time initial Inspection of a safety issue. Augmented Incident Experience or e one-time collacUon of Information. (If a Tl will be In . Inspection Investigation Smart Samples effect for more than 24 months, special Justlflcatlon Team Team Is required.)

Issue Date: 11/20/14

  • E1-1 0040

Exhibit 2 - Links to Document Issuing Forms (DIF)

(posted on NRC internal website: NRR/ROP Digital City under uForms, Templates, Sample Reports & More")

NMSS Document Issuing Form:

http://nrr1O.nrc.gov/rop-digital-city/index.html NRO Document Issuing Form:

http://nrr1 0 .nrc.gov/rop-digital-city/index.html NRR Document Issuing Form:

http://nrr10.nrc.gov/rop-digital-city/index.html NSIR Document Issuing Form:

http://nrr1 0. nrc.gov/rop-digital-city/i ndex.html

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Sample Reports &

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  • j jlMC 0040 Format Checio.h!.I ,,!

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IMC 0040 ColM'tftlt Rualution Summa,y t**';,/lt}o\!11*',H,_-ljlll!J.'lll'l"'I' IMC 0040 Wo<<J Gwdance ASMf Head Fabric:S!ion Ct10cklia1-Wo1d Letter. Closmg EP Report JC.Won!

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  • Form 3-10. FNI D~. Ur(EU~)

Fnrm :l-lUISI Fm11I rlA1 I t r ~ IFM Atri'U Issue Date: 11/20/14 E2-1 0040

Exhibit 3 - Example of Comment Resolution Table Resolution of Comments for IMC XXXX (Date)

Source Comment Added Remarks The first comment is stated or No remarks necessary if R-1 Yes paraphrased. comment incorporated in full.

Second comment is stated or Explain why comment not R-1 paraphrased. No incorporated into program document.

R-11 No comments Explain why, if comment only R-111 Xxxx XXXXX XXXX XXX XX. Yes partially incorporated.

R-IV Xxx xxxxx ~ xxxx. Yes ...

NMSS Xxxx xxxx xxxxx xx. Yes ...

NSIR Xxxx xxxx xxxxx xx. Yes ...

OE Xxxx xxxx xxxxx xx. Yes ...

OGC Xxxx xxxx xxxxx xx. Yes ...

OIS Xxxx xxxx xxxxx xx. Yes ...

NRR Xxxx xxxx xxxxx xx. Yes ...

NRO Xxxx xxxx xxxxx xx. Yes ...

HR Xxxx xxxx xxxxx xx. Yes ...

Issue Date: 11/20/14 E3-1 0040

Exhibit 4 - Example of Revision History Page Commitment Accession Description of Change Description of Comment and Tracking Number Training Required Feedback Resolution Number Issue Date and Completion Date Accession Number Change Notice (Pre-Decisional, Non-Public Information)

NIA MLXXXXXXX First issuance. Completed 4 year search None NIA 3117106 for commitments and found none.

CNXX-XXX NIA MLXXXXXXX1 Revised to include feedback from None NIA 1/18104 inspectors and also for editorial changes CNXX-XXX C-1 MLXXXXXXX6 Incorporated comments of GL 04-01 Web-based training ML060905000

Reference:

6/16/04 for all power reactor Generic CNXX-XXX inspectors Letter (GL) 04120/04 '

04-01 NIA MLXXXXXX Revised to change sample size and None MLXXXXXAXXX XX/XX/XX clarify inspection guidance. (ROPFFs Closed FBF:

CNXX-XXX XXXXX-1234 and XXXXX-1235) XXXXX-XXXX MLXXXXXAXXX Issue Date: 11/20114 E4-1 0040

Exhibit 5 - Example of Document First Page NRC INSPECTION MANUAL ABCD MANUALCHAPTERXXXX TITLE (All CAPS)

XXXX-01 PURPOSE (All CAPS starting at third tab)

Two lines dividing each section. One line dividing paragraphs and subsections.

XXXX-02 OBJECTIVE($) (OR POLICY)

Sections may be subdivided and paragraphed as follows (do not use 02.01 unless there is an 02.02):

02.01 Subsections. Numbered consecutively. Titles are underlined with a period at the end.

Further subdivisions formatted and numbered as shown below.

a. Xxxxxxxx XXXXXX XXXX XXXXXXXXXX X XXXXXXX XXXXXXX XXXX XXXXX XXXXXX XXXX X XXXXXXX xxxxxxx.
b. Xxxxxx, "xxxx." Xxxxxxxx xxxxxx xxxx xxxxxxxxxx x xxxxxxx xxxxxxx xxxx xxxxx xxxxxx xxxx x.
1. XxxXXXXXX X XXX X XXXXX XXXXXXXXXX XXXX XXXXXXXXXX XXXXXXXXX X XXXXXXX XXXXX xxxx xxxx.

(a) Xxx xxxxxx xxxx xxxxxxxxx xxxxx xxxxx xxxxxxxx xxxxxxxx xxxxx xxxxxxx XXXX XXXXXX XXX.

( 1) Xxxxx xxxxxxxx xxxxxxxxxxxx xxxxxxxx xxxxx xx xxxxxxxxxx.

02.02 Xxxxxxx xxxxxxxxxxx. Xxx xxxx x xxxxxxx xxxxx xxxxxxxx xxxxxxxxx x xxxx xxxxxx xx xxxx.

Issue Date: 11/20/14 E5-1 0040

Exhibit 6 - Format Req uirernents Checklist Note: Refer to Exhibit 7 for instructions on how to format using MS Word.

Body of document:

11-point Arial font Justification set to left Margins for all pages:

Top margin at 1.0"

  • Bottom margin at 1.0" Left and right margins at 1.0" Headers:

Set at 1.0" 11 point Arial font Footers:

Set at 1.0" Issue Date: XX/XX/XX' against left margin Page number in center Document Number against right margin 11-point Arial font Tab settings for 1st line (NRC Inspection Manual in center and Originating Organization code at right):

3.25" Center Tab 6.5" Right Tab Tab settings for body of document:

Relative to left margin: 0.19D, 0.56", 1.00", 1.44", 1.88", 2.25", 2.69", 3.13", 3.50", 3.94", 4.38",

5.19", 5.63", 6.06" Default tab stops: 0.42" Tab settings for footer:

Portrait format:

3.25" Center Tab 6.5" Right Tab Landscape format; 4.5" Center Tab 9" Right Tab Page numbers:

When there is a table of contents, do not number the title page before it.

Number the table of contents with lovuer-case Roman numerals (t, ii, iii).

Number the body of the document with Arabic numerals (1, 2, 3).

  • Issue Date: 11/20/14 E6-1 0040

Number each new section following the body with its own prefix (e.g., E1 for Exhibit 1, Att1 *for Attachment 1), followed by a hyphen, and then an Arabic numeral. Begin renumbering with page 1 for each new section (E1-1, Att1-1).

Official Use Only Document Headers/ Footers: {for SENSITIVE, Non-Public documents)

Follow the SUNSI guidance and place the required wording (e.g., "Official Use Onlyn) centered in the headers and footers of all applicable pages.

Page one requirements:

Line 1: NRC Inspection Manual in all CAPS in bold Arial 19-point font, centered; and originating organization code in Arial 10-point font, against the right margin.

Line 1 NRC INSPECTION MANUAL IRIB Line 2: Blank Line 3: Document title in all CAPS in Arial 11-point font, centered with horizontal line above and below document title.

Line 3 MANUAL CHAPTER 0040 Lines 4 and 5: Blank Line 6: Document Name in all CAPS in Arial 11-point font, centered.

Line 6 PREPARING, REVISING, AND ISSUING DOCUMENTS FOR THE NRC INSPECTION MANUAL Support Information for Inspection Manual Documents:

For the Table of Contents, Appendices, Attachments, Exhibits, Figures and Tables 11-point Arial font (unless otherwise stated)

Margins: Top, Bottom, Left and Right set to 1.0" Issue Date: 11/20/14 E6-2 0040

Exhibit 7 - Guidance for Using MS Word 2010 Horizontal lines above and below title:

Type three dashes in a row without spaces(-~) and press the Enter key.

Margins:

Page Layout tab, click on Page Setup. Enter margins (see Exhibit 6).

Page Numbering:

Create a new section each time the page numbering or formatting changes. New sections should be created for the title page, table of contents, main body, and each attachment. To create a section break, from the Page Layout tab, click on Breaks and under Section Breaks, click next page.

Tabs:

Home tab, click on Paragraph (box below appears). Click on Tabs (bottom left) and enter the list of settings from Exhibit 6 for tab settings for body of document.

Adjust tabs while working on the document by highlighting text to be formatted, clicking on Paragraph, and entering:

Alignment = Left Left Indentation

  • a, b, c = 0.19" Hanging by 0.37"
  • 1,2,3 = 0.56" Hanging by 0.44"
  • (1 ), (2), (3) = 1.00" Hanging by 0.44"
  • (a),(b),(c) = 1.44" Hanging by 0.44" Right indentation = O" h~-~*.t......,_,...,~T***~'?'M:t,p,,..~Sr.,.oo'!... ~ ..... ,_lr.l*'l'-*~**nll<'!'*,-,~

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Spacing Before and After = 0

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Line spacing = Single

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Example of formatting for a, b, c, Note: The correct format can be copied from one section to another by highlighting text from the section you want copied, clicking on the Format Paint (brush icon), and highlighting the section to which you want the format copied.

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Issue Date: 11/20/14 E7-1 0040

Footers:

Insert tab, select Footer and pull down to 'Blank (Three Columns).'

For left footer, type: Issue Date: XXIXX/XX For right footer, type: number of document For center footer, click Insert tab, click on Page Number, (if applicable enter any prefix to the number), and select Plain Number To make changes from one footer section to the next, open the Header/Footer toolbar by double-clicking in the footer. Click on 'Link to Previous,' to remove the link from the previous footer.* (This is a toggle switch.)

Table of Contents:

Entries in the table of contents shall list titles and page numbers.

First mark the items you want displayed in the Table of Contents:

1. Highlight the text and hold down the keys ALT + SHIFT + the letter 0.
2. In the box that appears, select the Level Numbers Sections (0040-01) = Level 1 Subsections (01.01) = Level 2 Add additional levels if appropriate Box that appears after entering ALT+ SHIFT+ 0 After all items are marked, display the Table of Contents.
3. Click on the place where you want the table of contents inserted. On the References tab, select Table of Contents. Pull down to Insert Table of Contents (see image below at left). Uncheck Use hyperlinks instead of page numbers and click on Options. (This f;': ~,g:~}f~: ]~f~~ffi!:;: :~e,~;!:

'.:;,<' Headlngl .................................. 1 ~ i Headlngl ................................. 1 .:

brings up the image at right).

Headlng2 .............................. a Headlng2 ............... :............. a Headlng3 .......................... 5 Heading 3.......................... 5 Issue Date: 11/20/14 E7-2 0040

4. Uncheck the Styles and Outline levels, check Table entry fields, and click OK twice to generate the table of contents.
5. After the table of contents is displayed:
  • For entries after the main body, type in the prefix before the 1
  • Remove any underlining by highlighting the text and clicking on the underline button.
6. After making changes to the text, re-generate the table of contents by depressing the F9 key.

Set the Track Changes Options to display red font and lines for changes:

For final drafts of documents to be issued:

In the Review tab, under Tracking, select Final Showing Markup, and then click on Track Changes/Change Tracking Options and set as follows Markup Insertions= Color only Color= Red Deletions = None Color= Red Formatting= None, Color= Red Changed Lines = Outside Border Color= Red Moves Uncheck Track Moves Formatting Uncheck Track formatting, none, color Red For documents sent out for comment:

Same as above except Deletions = Strikethrough Balloons only for comments/formatting View the entire document to display balloons. Remove. all balloons before submitting document' to be issued by right clicking on each balloon and accepting the changes.

Issue Date: 11/20/14 E7-3 0040

Attachment 1 - Revision History for IMC 0040 Commitment Accession Description of Change Description of Comment and Tracking Number Training Required Feedback Resolution Number Issue Date and Completion Date Accession Number Change Notice (Pre-Decisional, Non-Public Information)

C1 ML040690209 Revised to ensure that revisions of , None N/A

Reference:

02/02/04 inspection procedures do not inadvertently Davis-Besse CN 04-003 delete inspection requirements that were Lessons added as a result of an event or Learned Task occurrence that had generic applicability.

Force Item 3.1.2(3) and Problem Identification Form 2005-008 N/A ML053210382 Complete rewrite of document structure, None ML053210329 11/28/05 add requirement for revision history page, CN 05-031 minor revision to DIF. Completed 4 year historical CN search NIA ML063260070 This document is being revised to update None ML070570542 03/05/07 and clarify the processes that will be used CN 07-008 to prepare, revise, and issue Manual documents, including processes used by the various NRC offices that conduct inspection.

Issue Date: 11/20/14 Att1-1 0040

Commitment Accession Description of Change Description of Comment and Tracking Number Training Feedback Resolution Number Issue Date Required and Accession Number Change Notice Completion Date (Pre-Decisional; Non-Public Information)

N/A ML071580744 This document has been revised to establish None ML071580749 06/20/07 deadlines for submission of Manual documents Closed FBF:

CN 07-020 in WordPerfect and MS Word formats; update 0040-1144 the Office of New Reactors' document issuing 0040-1128 form, pursuant to Feedback Form 0040-1144; and provide greater clarity and incorporate editorial changes in response to Feedback Form 0040-1128. _It also serves as a template for a Manual document in MS Word.

NIA ML082240426 The document has been revised to clarify None ML082240428 08119108 instructions on the use of Microsoft (MS) Word in Closed FBF:

CN 08-024 preparing inspection manual documents, reflect n/a office-related requests to modify document issuing forms, respond to Feedback Forms, and make editorial improvements.

NIA ML082820151 Relocates program office document issuing None ML092170189 10129109 forms from IMC 0040 to the NRR Digital City Closed FBF:

CN 09-025 .website. Adds a document issuing form for nla NSIR. Clarifies authorization requirements for documents affecting multiple program offices.

Stipulates that no new technical guidance or 10 CFR guidance documents will be issued and that these documents will be relocated in the future.

Issue Date: 11120114 Att1-2 0040

Commitment Accession Description of Change Description of Comment and Tracking Number Training Feedback Resolution Number Issue Date Required and Accession Number Change Notice Completion Date (Pre-Decisional, Non-Public Information)

NIA ML11053A009 Improved the process: (1) all documents to have None ML11125A085 06102111 a references section which includes a list of other Closed FBF:

CN 11-009 IPs, .IMCs, or Tis that appear in the document 0040-1354 (ROPFF 0040- 1354). (2) the document's ML ML11174A197 number to be listed on the revision history page. 0040-1645 (3) comment resolution summary to be an official ML11174A193 non-public record prior to submittal to NRR.

(4) For new IPs and Tis, the requirements and guidance sections are to be combined (ROPFF 0040-1645). (5) Clarified organizational

. responsibilities. (6) Upgraded guidance on MS Word to version 2007. (7) Made editorial improvements.

NIA ML11242A062 Included guidance on the formatting of an None NIA 11116111 Operating Experience Smart Sample: Change CN 11-035 coordinated with development of IMC 2523, "NRC Aoolication of Operatina Experience.a NIA ML12045A397 Revised to support re-alignment with Agency None N/A 04112112 documentation standards.

CN 12-005 ML12345A262 Revised to support minor edits, address FBF ML12332A148 12/10/12 0040-1769, and add a flowchart .. FBF 0040-1769 CN 12-.028 Issue Date: 11 /20114 Att1-3 0040

Commitment Accession Description of Change Description of Comment and Tracking Number Training Feedback Resolution

,Number Issue Date Required and Accession Number Change Notice Completion Date (Pre-Decisional, Non-Public Information)

ML13176A014 Revised to change signature authority from DIRS 08/08/2013 Deputy Dire~tor for all change notices to only CN 13-016 those changes that are new documents or policy changes, and allow the IPAB/IRIB Branch Chief signature authority for revisions and deletions.

Add the links for the DIFs in Exhibit 2, and new guidance for temporary instruction reQuests.

ML14147A186 Revised to provide more clarity for writing new ML14323A008 11/20/14 manual chapters, inspection procedures and CN 14-028 temporary instructions. Added signature*

authority for the Division or Deputy Division Director for major and policy changes, as well as issuing a new document. Included verbiage for a "Pilot" IP, which should be included in the "Soecial and lnfreauent" insoections.

Issue Date: 11/20/14 Att1-4 0040

NRC INSPECTION MANUAL IRIB MANUAL CHAPTER 0102 OVERSIGHT AND OBJECTIVITY OF INSPECTORS AND EXAMINERS AT REACTOR FACILITIES 0102-01 PURPOSE Periodic industry feedback and internal reviews have identified the need for continued management involvement and oversight of NRC activities conducted at reactor facilities. This chapter describes the policy for management involvement and oversight of inspections, operator licensing examinations, audits, and other on-site inspection related activities at reactor facilities.

This policy is intended to ensure the effective direction of activities, communication, and inspector objectivity at reactor facilities. Objectivity is the extent to which the inspector or examiner implements the NRC's programs, interfaces with the public and conducts both personal and work relationships in an unbiased'manner, free from both partiality and antagonism toward a licensee or vendor, or the employees of a licensee or vendor, as evidenced by patterns of the inspector's or examiner's actions.

0102-02 POLICY 02.01 General

a. Every level of management must clearly communicate to its subordinates the Agency's expectations regarding the duties of inspectors and examiners and the principles to be applied in the performance of those duties.
b. ' Only trained and qualified individuals having the knowledge and aptitude to perform on-site activities in a manner consistent with Agency expectations should be assigned to perform independent on-site activities.
c. When on-site activities are initiated, line managers must oversee those activities to ensure that the Agency's expectations and principles regarding inspectors and examiners are satisfied.
d. There are no restrictions on the number of site assignments or total time in position for resident inspectors provided that the performance of the resident inspector remains 0

acceptable as defined by Management Directive 10.67, Non-SES Performance Appraisal System." Hence, resident inspectors and their managers should maintain the flexibility to make job assignments and career decisions in the best interest of both the NRC and the individual.

e. All resident inspectors have a 7-year maximum length of tour. This policy does not preclude resident inspectors from relocating for promotions, voluntary reassignments, or management-directed reassignments.

Issue Date: 04/24/13 1 0102

f. Throughout this manual chapter the term employee applies to all NRC technical staff who performs independent inspections or examinations at PQWer reactor facilities. The term inspections apply to inspections, examinations, audits, and reviews conducted by NRC technical staff at power reactor facilities.

02.02 Observations. To assess the adequacy of program guidance (e.g., inspection procedures, tools, and resources) and verify the adequacy of employee performance, line managers must directly observe on-site activities. Those on-site observations should assess the adequacy of program guidance and the following individu~I performance attributes:

a. Safety perspective and the application of safety principles during on-site activities.
b. The adequacy of technical training and preparation for the on-site activity.
c. Knowledge of applicable regulatory requirements, procedures and guidelines (e.g.,

10 CFR, NRC Inspection Manual, inspection procedures, updated final safety analysis d.

guides, apd industry codes and standards).

reports (UFSAR), Operator Licensing Examination Standards, NUREGs, regulatory Adherence to agency-wide regulatory positions and policies (e.g., backfit) and avoidance of personal interpretations and opinions.

e. Employee objectivity considering the employee's experience, technical expertise, site familiarity, industriousness, overall effectiveness, external and internal pressures, and differences of opinion based on valid technical merit.
f. Employee demeanor, professionalism, and interpersonal skills (e.g., ability to communicate accurately and effectively with licensees). ****
g. Effective on-site activity techniques, including in part, evidence of good preparation, a performance-based focus, selection of risk-informed samples, emphasis on direct observation of activities, use of in-depth probing where appropriate, and sufficient emphasis on independently verifying licensee provided information.

02.03 Other Oversight. Direct observation alone is not sufficient. Line managers must take an active role in the on-site activities that they oversee. They must engage their employees in open, two-way communication regarding their inspection or examination findings so that both parties.fully understand the issues and the appropriate regulatory approach to those issues. By sharing their perceptions, opinions, and philosophies, employees will gain a better understanding of what their supervisors expect of them and supervisors will gain valuable insights to the capabilities and ~hortcomings of their employees and the inspection program, Similarly, reviews of inspection reports, peer reviews, involv~ment in enforcement actions, senior management debriefings, management self-assessments, involvement in developing mid-cycle and end-of-cycle assessment reports, and feedback from licensees can provide additional insights to the conduct, objectivity, and performance of employees and managers as well.

Issue Date: 04/24/13 2 0102

~--------

0102-03 DISCUSSION OF POLICY Line management is responsible for overseeing employees that conduct on-site activities at reactor facilities by clearly establishing and communicating performance expectations, providing staff development opportunities, evaluating feedback from reactor licensees, and ensuring that on-site activities are performed as intended. Employees should be considered for recognition when management finds them exhibiting outstanding performance, superior technical expertise, continuing sound judgment and professional behavior. Management is expected not only to hold the staff accountable for its actions when instances of performance or conduct inconsistent with Agency positions or supervisory expectations are detected, or an employee's objectivity is questioned, but also to address any staff developmental needs to prevent recurrence of the inappropriate action. Circumstances may arise which require greater management involvement above the levels described in these guidelines.

  • 0102-04 OVERSIGHT AND OBJECTIVITY REQl.JIREMENTS AND GUI DANCE 04.01 General. The requirements and guidance provided in section 0102-04 are to be used by NRC managers to verify employee performance and objectivity by direct observation of on-site activities at power reactor facilities and through other available indirect methods as needed.

On-site activities include individual or team inspections, examinations, audits, visits, and reviews.

NRC employees should use the applicable guidance and requirements of this section in the performance of their on-site activities.

04.02 Individual Inspectors, Team Leaders, and Examiners

a. Inspectors, team leaders, chief examiners, and other staff who lead NRC on-site activities should develop an appropriate plan, brief and receive approval from the line supervisor responsible for the activity on their planned activities, and should provide a copy of the inspection, examination, or audit plan to the responsible regional office Division of Reactor Projects (DRP) supervisor before the on-site activities begin.
b. All NRC staff who leads NRC on-site activities will conduct an entrance meeting with the principal facility personnel before beginning on-site activities. The senior resident inspector (SRI), or the resident inspector in the SRl's absence, should be invited to all entrance briefings.
c. All NRC staff who leads NRC on-site activities should brief the immediate line.

supervisors responsible for the activity and the SRI regarding their findings before any exit meeting with the facility licensee takes place.

d. Inspectors, team leaders, chief examiners, and other staff who lead or participate in NRC on-site activities shall maintain a professional, objective relationship with licensee management and staff.

04.03 Senior Resident Inspectors

a. SRls should routinely brief their immediate supervisor on resident inspection issues and findings and should keep their supervisor informed of scheduled exit meetings.

Issue Date: 04/24/13 3 0102

b. SRls should keep abreast of all NRC on-site activities at the facility to which they are assigned. However, minor issues should not be tracked or trended.
c. SRls should attend entrance and exit meetings. If the SRI is unavailable, other resident inspectors should attend in their place. For economy of time, meetings for multiple on-site activities should be combined whenever possible.
d. To enhance objectivity, SRls and resident inspectors shall spend a minimum of one week each year inspecting at another site. This inspection may be accomplished by participating in a team inspection at another site, or by visiting their backup site for familiarization.

04.04 Line Managers

a. Line managers should keep abreast of on-site activities conducted by employees over whom they have supervis~ry authority.
1. Line managers should discuss on-site activity plans with their employees before on-site activities begin to ensure the employee's activities are properly scheduled, coordinated and focused. \',*(,*"it
2. Regional DRP line managers should talk with their resident inspectors at each of their sites several times a week.
3. Line managers responsible for an on-site activity should discuss the findings and concerns with the employees assigned to the activity before the facility exit meeting is held. Discussions should focus on potential safety and regulatory approaches to issues to ensure mixed messages are not sent to the licensee.
4. Line managers will oversee significance determinations of inspection findings and any enforcement decisions involving facilities or activities for which they are responsible.
5. Line managers should attend at least one exit meeting annually to observe their subordinate inspectors. This expectation can be accomplished by attending an exit meeting for their subordinate resident and specialist inspectors if significant inspection or examination findings (e.g., potentially greater than green significance, possible escalated enforcement or unsatisfactory requalffication examination) will be discussed. Appropriate line manager shall attend team inspection exit meetings as directed by their division directors and should supplement the discussion at the meeting, as necessary.
6. Line managers responsible for an on-site activity should promptly and thoroughly debrief the assigned employees after the employees leave the site. Line managers must promptly intervene and communicate any changes in findings or conclusions to DRP management, and shall promptly contact the licensee to discuss the changes if necessary.

Issue Date: 04/24/13 4 0102

7. DRP line managers shall ensure the resident inspectors conduct inspections to maintain access to and familiarity with their backup sites or, if not assigned a backup site, are annually assigned to an inspection at another site. These efforts should be coordinated to ensure adequate site coverage is maintained at all reactor sites.
b. Line managers should ensure that their division director and the regional DRP division director are promptly informed of significant safety and regulatory issues identified by employees whom they supervise.
c. Line managers shall ensure that inspectors do not track or trend minor issues. This means that line managers shall ensure that inspectors are not performing data analysis and charting of minor issues.
d. Line managers from the region and Office of Nuclear Safety and Incident Response (NSIR) responsible for the Force-on-Force inspections shall observe each of their employees, if practicable, during an on-site activity at least once a yec1r. During their site visits, line managers may accompany any or all of their employees who are on site at the time of their visit. In addition, DRP line managers should visit one of the sites they are responsible for once a quarter. These visits may be combined (i.e., accomplished on one trip rather making two separate trips) for plants which are collocated or nearby (e.g., Salem/Hope Creek; Fitzpatrick/Nine Mile Point; and Kewaunee/Point Beach).These visits should typically inclt,1de a tour of the RCA DRP line managers shall maintain unescorted access authorization at each of their sites. A DRP line manager, branch chief or higher, should typically tour the containment with one of the resident inspectors during each plant refueling outage.

Regional operator licensing managers should alternate their field observations between examination and inspection activities for their employees who are certified in both areas.

When observing an examination, the manager should accompany the examiner during a complete operating test. Part-time (i.e., reserve) examiners are also subject to periodic observation and evaluation while administering operating tests. These observations shall:

1. be performed at least every 24 months by the regional operating licensing branch chief or a certified chief examiner, and
2. cover at least half of a walk-through (i.e., 5 system job performance measures and 2 administrative topics) and at least one simulator scenario.

These observations are in addition to and do not replace the annual accompaniments required by the part-time examiner's supervisor.

e. Line managers should continuously assess the performance of their assigned employees using a combination of direct observation of the employees' activities during site visits and the review of their performance as portrayed in inspection or examination reports, telephone conversations, and other indirect methods. A line manager's site visit should be of sufficient duration to supplement the indirect methods of assessing the performance of their subordinate employees. Line managers should focus on the following applicable areas related to assessing their subordinate employees:

Issue Date: 04124/13 5 0102

1. Does the employee independently verify information from the licensee when appropriate?
2. Does the employee adhere to NRC regulatory positions and policies when discussing issues with licensee or NRC management, avoiding personal interpretations and opinions?
3. Does the employee maintain a professional relationship with the licensee using good interpersonal relationship skills?
4. Has the employee provided an accurate and balanced account of licensee performance and plant conditions in communications with NRC regional management via inspection reports, telephone calls, or other means?
5. How do licensee staff and managers respond to the employee's questions or concerns?
6. Is the employee focused on safety significant concerns, applying significance determination and enforcement guidance appropriately?
7. Does the employee develop issues without biased interpretation of facts?
8. Are findings adequately supported by the facts?
9. Does the employee conduct exit interviews in accordance with NRC policies and practices?
f. Line managers should tour the facility during their site visits. Facility tours should
  • include those areas the employees would normally tour on a routine basis. DRP line manager tours should include an overview of control room activities and inspector interactions with control room staff. The tour should be used to provide the line manager with insights regarding how well the licensee performs and how well the employee has characterized the licensee performance in communication with NRC regional management.
g. During site visits, line managers should make every effort to have discussions with maintenance, operations, radiological controls, engineering and technical support, quality control, and senior site managers as applicable. These discussions should include quality of licensee interactions with NRC employees or team inspections. Have there been significant conflicts or concerns with findings or the manner in which findings were communicated to the licensee?
h. Line managers should meet individually with their employees to discuss on-site activity-related performance and objectivity issues observed during each site visit.
i. Line managers shall annually document the objectivity of their assigned employees.

The documentation should address each item of 02.02 a through g that is applicable to the employee and activity reviewed. When patterns tend to indicate a loss of objectivity, corrective measures should be immediately implemented by regional management.

Issue Date: 04/24/13 6 0102

04.05 Division Directors

a. Division directors should meet with their subordinate line managers on a regular basis (e.g., weekly) to discuss on-site activities, including significant findings, trends, and potentially generic issues. Their level of involvement should be proportional to the significance of the findings. They shall ensure that an appropriate NRC manager is present at those on-site activity exit meetings where findings have resulted in an apparent significant finding.
b. Division directors or their deputies should average one site visit a month to monitor on-site activities for which they are responsible. The DRP division director or deputy should make every effort to visit each site at least once every two years. These visits should typically include a tour of the RCA in the accompaniment of a site inspector. The DRP and DRS division directors or deputies should consider making contact with individual licensee managers or unit managers as appropriate to the ongoing and/or apparent, security or regulatory impact issues at the site. During site visits, DRP or DRS division directo~ and their deputies should focus their observations on ongoing and/or apparent safety and security issues. Also, they should overtly solicit feedback from their licensee counterparts regarding implementation of the NRC regulatory programs at their facility. Division directors must evaluate the validity of the licensee's adverse comments and initiate appropriate action to correct the problem. See section 0102-05, below. In addition, the DRP director or deputy should hold a brief personal discussion with the SRI and/or resident inspector of each site periodically (i.e., about quarterly) to discuss ongoing and/or apparent safety, security or impact issues; this discussion may take place during a site visit, during an inspector's visit to the regional office for other agency business, during a periodic inspection debrief, or by telephone.
c. Division directors shall ensure that the regional administrator is informed of all significant safety, security and any issues related to NRC employee performance, identified by or resulting from NRC on-site activities.
d. Division dJrectors and their deputies should periodically assess their activities to confirm that oversight activities are being performed.

04.06 Regional Administrators

a. Regional administrators, or their deputies, are responsible to ensure sufficient routine management communication with each employee to maintain oversight and monitor objectivity of the employees when they are on site.
b. Regional administrators or their deputies are responsible for monitoring regional management activities and visiting sites to ensure .that all sites receive adequate attention and that all on-site activities receive adequate safety, security and management oversight.
c. The regional administrators shall ensure that the appropriate NRR manager is infonned of all significant issues.
  • Issue Date: 04/24/13 7 0102
d. Regional administrators or their deputies should average one power reactor site visit a month. During their site visits, regional administrators should focus their observations on ongoing and/or apparent safety and security issues. Also, they should overtly solicit feedback from their licensee counterparts regarding implementation of the NRC regulatory program at their facility. Regional .administrators must ensure that adverse comments are validated and appropriate corrective actions are initiated. See section 0102-05, below. Further, Regional Administrators or their deputy should seek opportunities for public outreach as appropriate. This might include attendance at public exit meetings arid other outreach opportunities, as appropriate. Consideration of public outreach should be consistent with the Action Matrix guidance.
e. Regional Administrators should make sure that licensees are aware that there are multiple tiers for raising concerns. Concerns regarding regional staff performance should be raised with the Regional Administrator, but concerns regarding the Regional Administrator should be raised to the EDO.

0102-05 Site Visit Observation Form (NRC Form 649)

A Site Visit Observation Form will be used to document ongoing and/or apparent, security or regulatory impact observations, including inspector objectivity, made during Senior Regional Manager Site visits. The specificity of comments should be adequate to convey the safety, security or regulatory impact issue so that meaningful communications can occur; however, a detailed account of the issue is not required. Issues related to security should only be documented if they relate to regulatory impact issues. It is not intended that this Form document safeguards issues. It will include documentation of actions deemed appropriate by the Regional

. Administrator or Deputy Regional Administrator.

NRR regular!¥ reports to the Commission the results of feedback from licensees on the impact of our activities. An important part of the report is an analysis of the feedback solicited by regional mangers during periodic visits (sections 04.05.b and 04.06.d, above). The feedback obtained from licensees by regional managers must be forwarded to the NRR Division of Inspection and Regi9nal Support (DIRS), Performance AssessmentBranch (IPAB). The feedback should be reported to IPAB on NRC Form 649, "Site Visit Observation," which is available through the DIRS Sharepoint site at the provided link. As noted on the form, the completed form can be emailed to FeedbackROP.resource@nrc.gov and/or a hard copy forwarded to the IPAB Branch Chief. Note that there is a "Submit Via Email" at the bottom of the form that will automatically forward your completed form to the appropriate email address.

END 1

SRM, "SECY-91-172-Regulatory Impact Survey Report-Final," dated December 20, 1991, required the staff to Implement a process to gather feedback from licensees and to annually report the results of the process to the Commission.

Issue Date: 04/24/13 8 0102

Attachment 1 Revision History for IMC 0102 Commitment Accession Description of Change Training Required Comment and Tracking Number and Completion Date Feedback Number Issue Date Resolution Change Notice Accession Number NIA 08/22105 Revision history reviewed for last four years NIA NIA NIA ML12012A053 IMC 0102 was changed to reflect current NIA ML13032A115 04124113 expectations on line management observation of ML13043A135 CN 13-012 NRC inspectors and improved routing of site visit ML13043A139 observation forms. FFs 0102-1237; -1384; -1598; ML13043A142

-1617;-1618; and -1648 were closed. ML13043A156 ML13043A159 ML13043A164 Issue Date: 04124/13 Att1-1 0102

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