**NRC INSPECTION MANUAL**

**MANUAL CHAPTER 0620**

INSPECTION DOCUMENTS AND RECORDS

0620-01 PURPOSE

01.01 To provide general guidance for requesting, controlling, and
dispositioning NRC inspection documents and records during all phases of
the inspection program. This is not intended to replace guidance in
relevant agency manual chapters identified in the reference section
which serve as the final authority.

0620-02 DEFINITIONS

02.01. Agency-wide Documents Access and Management System (ADAMS). A
document management and recordkeeping system that maintains the official
records of the agency and manages their disposition.

02.02 [Classified Information]{.underline}. Records that (1) are
specifically authorized, under criteria established by an Executive
Order or by statute, to be kept secret in the interest of national
defense or foreign policy and (2) are, in fact, properly classified
pursuant to such authority. These records normally include information
in a document or correspondence that is designated National Security
Information, Restricted Data, or Formerly Restricted Data. Such
classifications may include, but are not limited to, Top Secret, Secret,
and Confidential and are consistent with NRC Management Directive (MD)
12.2, \"NRC Classified Information Security Plan.\"

> a\. [Classified National Security Information]{.underline}.
> Information that has been determined pursuant to E.O. 12958 or any
> predecessor order to require protection against unauthorized
> disclosure and that is so designated.
>
> b\. [Restricted Data.]{.underline} All data concerning design,
> manufacture or utilization of atomic weapons, the production of
> special nuclear material, or the use of special nuclear material in
> the production of energy, but shall not include data declassified or
> removed from the Restricted Data category pursuant to Section 142 of
> the Atomic Energy Act.

02.03 [Sensitive, Unclassified Information.]{.underline} Safeguards
information (SGI), official use only information, proprietary
information, and 10 CFR 2.390 publicly exempt information. It includes
unclassified information from sources other than the NRC, its
contractors, and licensees.

> a\. [Safeguards Information]{.underline}. Information not otherwise
> classified as National Security Information or Restricted Data that
> specifically identifies a licensee=s or applicant=s detailed, security
> measures for the physical protection of special nuclear material, or
> security measures for the physical protection and location of certain
> plant equipment vital to the safety of production or utilization
> facilities.
>
> b\. [10 CFR 2.390 Publicly Exempt Information]{.underline}.
> Information below the level of SGI that relates to the security
> measures for the physical protection of special nuclear material, or
> security measures for the physical protection of a facility, including
> inspection reports, findings, and potential vulnerabilities that can
> be identified to a specific site.

02.04 [Document Types]{.underline}:

> a\. [Controlled Document]{.underline}. Any document, correspondence,
> or information that is in the licensee\'s document control system.
> These documents are generally required to be retained for specific
> periods.
>
> Also, any NRC document that is classified, SGI, official use only, or
> exempt from public disclosure in accordance with 10 CFR 2.390.
>
> b\. [Draft Document]{.underline}. A preliminary written document or a
> preliminary sketch or drawing. A document is considered to be a draft
> while it is being developed and reviewed. It ceases to be a draft only
> when it has been approved by responsible management and issued as a
> final document for implementation.
>
> c\. [Inspection Document]{.underline}. Any material that is obtained
> or developed in preparation for, during, or resulting from the
> inspection of a licensee and that is considered to be an NRC record.
>
> d\. [Uncontrolled Document~~s~~]{.underline}. Document~~s~~ or
> information that is not in the licensee\'s or vendor\'s document
> control system.

02.05 [Docket File]{.underline}. Files that contain those agency records
or other information related to a specific NRC docket number that
provide a complete record of the transactions between the licensee and
the NRC whether the information has been made publicly available or not.

02.06 [Freedom of Information Act (FOIA]{.underline}). Prescribes the
procedures for making NRC agency records requested by a member of the
public available to the public for inspection and copying.

02.07 [Handwritten Note]{.underline}. An informal method of
communicating information to individual members of the licensee or
vendor staff during the performance of an inspection (while onsite).
Examples include, leaving a note on a licensee staff member\'s desk
indicating the inspector had stopped by to see them, or writing down a
procedure (drawing, record, etc.) number to give to a licensee document
control clerk to retrieve.

02.08 [Inspection]{.underline}. The examination, review, or assessment
of any program or activity of a licensee to determine the effectiveness
of the program or activity, to ensure that the health and safety of the
public and plant personnel are adequately protected, to ensure that the
facility is operated safely, and to determine compliance with any
applicable rule, order, regulation, or license condition pursuant to the
Atomic Energy Act, Energy Reorganization Act, the National Environmental
Policy Act or other statutory requirement.

02.09 [Inspection Finding]{.underline}. An NRC identified or
self-revealing issue of concern that is related to a licensee
performance deficiency. Findings may or may not be associated with a
regulatory requirement and, therefore, may or may not result in a
violation. Licensee-identified findings of very low safety significance
(Green) that are not violations of regulatory requirements are not
documented in inspection reports.

02.10 [Inspector\'s Notes]{.underline}. Notes made by individual
inspectors for their own use in preparation for, during, or after an
inspection, including notes relative to telephone conversations, are
considered personal records. Inspector\'s notes may be stored
electronically provided they are not shared with others and are located
in a distinct subdirectory.

02.11 [Licensee]{.underline}. The applicant for, or holder, of an NRC
license or construction permit.

02.12 [Official Issuance]{.underline}. The final publication, and
distribution of a document that has been reviewed, concurred on, and
signed by all appropriate levels of management.

02.13 [Proprietary Information]{.underline}. Records that (1) contain
trade secrets and commercial or financial information, obtained from a
person or entity as privileged or confidential, the disclosure of which
would result in substantial harm to the competitive position of the
owner as supported by an accompanying affidavit signed and notarized by
the owner of the information in accordance with 10 CFR 2.390, (2)
contain voluntarily provided information that the submitter would not
normally release to the public, or (3) would harm the government\'s
ability to obtain information in the future.

02.14 [Records]{.underline}:

> a\. [Documentary Material]{.underline}. A collective term for records,
> non-record documents, and personal papers that refers to all media
> containing recorded information [regardless of the nature of the media
> or the methods or circumstances of recording]{.underline}.
>
> b . [Non-record Documentary Material]{.underline}. Documentary
> material such as unofficial copies of documents that are kept only for
> convenience or reference, or reference stocks of publications and
> processed documents, and library or museum material intended solely
> for reference or exhibition.
>
> c\. [NRC Record]{.underline}. Any record obtained or created by the
> NRC that is required for the conduct of government business. NRC
> records include any book, paper, map, photograph, brochure, punch
> card, magnetic tapes, sound recording, pamphlet, slide, motion
> picture, video-tape, e-mail, or other documentary material,
> [regardless of form or characteristics.]{.underline}
>
> d\. [Official Records]{.underline}. All books, papers, maps,
> photographs, machine readable documentary materials [regardless of
> form or physical characteristics]{.underline} created or received by
> any agency of the United States Government under Federal law or in
> connection with the transaction of public business and that are
> preserved or appropriate for preservation by that agency or its
> legitimate successor as evidence of the organization, functions,
> policies, decisions, procedures, operations, or other activities of
> the Government or because of the informational value of the data
> contained in these materials.
>
> e\. [Personal Records]{.underline}. Records created by NRC personnel
> that are not required to be made, have not been circulated, are not
> commingled with agency records, and are not required to be retained by
> the NRC, or records of a personal nature that are not associated with
> government business [regardless of the form or physical
> characteristics.]{.underline}
>
> f\. [Privacy Act Records]{.underline}. Any item, collection, or
> grouping of information about an individual that is maintained by the
> NRC in a Privacy Act system of records, including but not limited to
> the individual=s education, financial transactions, medical history,
> employment history, or criminal history, and that contains the
> individual=s name, or the identifying number, symbol, or other
> identifying particular assigned to the individual, such as a
> fingerprint, a voice print, or a photograph and is retrieved by the
> individual identifier.

02.15 [Regulatory Requirement]{.underline}. A legally binding obligation
such as a statute, regulation, license condition, technical
specification, or order.

16. [Retained]{.underline}. Information taken into possession by the NRC
    as an NRC record to support an inspection finding. This information
    will be kept by the inspector after the inspection report has been
    issued .

0620-03 RESPONSIBILITIES

03.01 [Executive Director for Operations (EDO)]{.underline}. Approves
the release of all inspection documents that have not been officially
issued, or any information contained therein, except in cases where
release authority for significant safety or safeguards issues has been
granted to the office directors or regional administrators.

03.02 [Office Directors and Regional Administrators]{.underline}

> a\. Provide for the establishment of internal procedures in accordance
> with existing policies, guidance, and regulatory require­ments for the
> acquisition, control, and disposition of documentation used in
> preparation for inspections, gained during the conduct of inspections,
> and resulting from inspections.
>
> b\. Obtain EDO approval before releasing a draft inspection document
> and before discussing the document in a way that is contrary to
> established NRC policies, procedures, and regulatory requirements for
> exit meetings, inspector discussions with licensees during inspection,
> etc.
>
> c\. Notify the EDO immediately if substantive documents (i.e.
> allegations, documents containing OI findings or significant safety or
> safeguards issues) are inadvertently released or discussed.
>
> d\. Take required corrective action when inspection documents are
> released contrary to NRC policies, procedures, regulations, and legal
> require­ments.
>
> e\. Ensure that subordinate managers and staff are cognizant of, and
> adhere to, the policies and guidance in this inspection manual chapter
> (IMC).

03.03 [Inspector Supervisors]{.underline}

> a\. Ensure that their staff is cognizant of, adheres to, and
> implements the policies and guidance contained in this IMC.
>
> b\. In accordance with this IMC and established policies, procedures,
> and regulatory requirements, provide for reviews, approvals, or
> denials of all inspection documentation before release to a licensee,
> ADAMS, or in response to a FOIA request.
>
> c\. As appropriate, immediately inform the respective division, staff,
> or project director when draft inspection documents are inadvertently
> released to a licensee, or the public, contrary to NRC policies,
> procedures and regulatory requirements, and report the facts
> concerning the release.
>
> d\. Review and approve extensive list of documents requested from
> licensees.
>
> 03.04 [Inspectors]{.underline}
>
> a\. Maintain a working knowledge of, and adhere to, the regulatory
> requirements, policies, and guidance for the acquisition, control, and
> disposition of inspection documentation.
>
> b\. May release on own authority, if time is critical, draft
> inspection documents to prevent or mitigate an emergency or
> significant safety or safeguards event.
>
> c\. Where approved by regional management, may provide the licensee
> with a written list of significant issues identified during the
> inspection before the issuance of the inspection report, if necessary
> to communicate inspection findings that require prompt corrective
> action.
>
> d\. If documents or information are inadvertently left unattended for
> a brief period of time in an area accessible by the licensee or the
> public, determine whether the subject matter was reviewed in detail by
> third parties or if a substantive release of information was evident.
> If release of information is evident, notify division director for
> further discussion.

03.05 [Program Office]{.underline}

> a\. Develops and interprets the information contained in this IMC.
>
> b\. Provides guidance on situations not covered in this IMC.

0620-04 BASIC REQUIREMENTS

04.01 [Requesting Documents]{.underline}

> a\. Requesting Documents for Inspection Preparation.
>
> 1\. Requests for documents or information needed either to prepare for
> an inspection or during an inspection are to be reasonable and should
> not put an excessive burden on the licensee.
>
> 2\. Documents that are already NRC records in ADAMS shall not normally
> be requested.
>
> 3\. Inspectors should not normally request draft licensee documents or
> analyses that do not exist in the licensee=s document control system.
>
> 4\. Inspectors shall not request that a licensee generate documents
> such as analyses, position papers, or calculations, that are not
> needed to meet a regulatory requirement. Inspectors can request from
> the licensee listings of specific records in the licensee=s document
> control system such as listings of modifications or corrective action
> program documents sorted by date, subject, status, or other attribute.
>
> 5\. The lead inspector or team leader should prepare a list of
> documents that are needed for the inspection or that the inspector
> would like to have available upon arrival at the site. If the list is
> lengthy, or if requested by the licensee, or if directed by NRC
> management, the list should be sent in a letter which includes the
> docket number, to the licensee. The purpose of this is to avoid
> placing an excessive burden on the licensee.
>
> 6\. Lengthy requests for documents should be communicated, either
> orally or in writing, to the licensee at least 30 days before the
> documents are needed.
>
> 7\. For team inspections, corresponding with the licensee via e-mail
> is appropriate to request additional documents after the initial
> request has been formally made. Documents that contain classified
> information (i.e. National Security Information, and Restricted Data)
> may not be transmitted via e-mail. SGI may be sent via e-mail if the
> files are encrypted on a SGI system using a FIPS 140-02 compliant
> version of PGP (Pretty Good Protection) then transferred via diskette
> (in encrypted form) to the LAN attached system for e-mail
> transmission. (Refer to NRC Management Directive=s 12.2, ANRC
> Classified Information Security Plan@ and 12.4, ANRC Telecommunication
> Systems Security Program@ for current policy).
>
> Additionally, e-mail may be used for exchanges of general information
> on administrative activities such as schedules, meeting preparations,
> travel plans, etc.
>
> 8\. Some inspections or site visits may require requests for the same
> information from each of a selected sample of licensees. If the same
> information is requested from ten or more licensees during a one year
> period, OMB review and approval is required before such requests are
> submitted to the licensee.
>
> b\. Obtaining Documents.
>
> Acceptable practices for obtaining licensee documents include:
>
> 1\. Requesting the licensee to send the documents to the region office
> addressed to the individual inspector.
>
> 2\. Requesting that the documents be sent electronically to the team
> leader or lead inspector. Documents that contain Classified
> Information (i.e. National Security Information, and Restricted Data)
> cannot be transmitted via e-mail. SGI may be transmitted
> electronically if properly encrypted. (Refer to NRC Management
> Directive=s 12.2, ANRC Classified Information Security Plan@ and 12.4,
> ANRC Telecommunication Systems Security Program@ for current policy).
>
> 3\. Sending a designated inspector to the site to obtain the needed
> documents from the licensee.
>
> 4\. Requesting the resident inspectors\' office staff to retrieve the
> needed documents from the licensee or vendor.
>
> 5\. Using the licensee=s computer with approved NRC agreement.
>
> 6\. Using the licensee=s copy machine to make copies of materials
> relevant to the inspection.

NOTE: If a licensee asserts that any of the documents or document
excerpts to be retained by an inspector as an NRC record contain
proprietary or company classified information, an application for
withholding pursuant to 10 CFR 2.390(b)(1) with the required affidavit
shall be requested from the licensee before any of the documents are
removed from the site. The affidavit must be provided to the lead
inspector or team leader by the licensee at the exit meeting or within
10 working days after the exit meeting.

04.02 [Controlling Documents and Records]{.underline}

> a\. Use of Cameras.
>
> 1\. Inspectors are required to obtain licensee permission to take
> photographs during the inspection. It is suggested that the inspector
> obtain blanket approval from the licensee before the start of the
> inspection to prevent burdening either the licensee or the inspector.
> Follow guidance on the use of photographs during the inspection
> process in Exhibit A.
>
> b\. Handwritten Notes to the Licensee
>
> 1\. The inspector should use caution when providing handwritten notes
> to a member of the licensee\'s staff. It is acceptable for an
> inspector to provide handwritten notes to licensee\'s document control
> staff listing a reasonable number of specific licensee documents.
>
> 2\. It is also acceptable for an inspector to leave a brief
> handwritten note on the desk or at the work station of a licensee
> employee indicating that the inspector had stopped by while the
> employee was out of the office. This handwritten note should be
> limited to the inspector\'s name, the date and time of the visit, a
> brief description of the topic to be discussed, and information
> related to how or when the inspector would like to be contacted in the
> future.
>
> 3\. Handwritten notes [shall not]{.underline} request the licensee
> employee to provide a response to a specific question.
>
> 4\. Handwritten notes [shall not]{.underline} take the place of a
> request for information from a licensee to support preparation for an
> inspection.
>
> c\. Inspector Notes
>
> 1\. Inspector\'s notes are retained or discarded at the inspecto­r\'s
> sole discretion because the NRC has exercised no control or dominion
> over them as long as they have not been shared with anyone.
>
> 2\. The team leader normally makes an integrated list of the
> significant inspection findings identified at team meetings; the
> findings are considered inspector\'s notes. As a courtesy, the team
> leader or lead inspector discusses them daily with licensee management
> so that there will be no surprises at the exit meeting. However, the
> written list of preliminary inspection findings is not to be shown to
> licensee management. If it is, it is to be placed in ADAMS and may be
> requested under FOIA.
>
> d\. Storage and Disposal of Inspector Notes and Materials
>
> 1\. Personal records and NRC records may be stored in the same file
> cabinet or in an inspector\'s desk. However, personal records must
> [not]{.underline} be kept in the same file folder or same drawer or on
> the same computer disk as agency records. If stored in separate
> folders in the same drawer or on the same computer disk as NRC
> records, such personal records may be considered to be commingled or
> mixed with NRC records and, as such become NRC records.
>
> 2\. While onsite, inspectors should take care to ensure draft material
> or notes developed at licensee facilities are appropriately disposed
> of when no longer necessary. This precaution is to ensure
> pre-decisional or draft information is not inadvertently reviewed by
> the licensee.
>
> 3\. Before using licensee facilities for disposal of documents or
> notes prepared by the inspector, the inspector should evaluate whether
> the information, if made available to the licensee, would interfere
> with the NRC\'s ability to effectively regulate the licensee or would
> be an embarrassment to the NRC or the inspector.
>
> e\. Licensee Controlled Information and Space
>
> 1\. Inspectors should inform licensee management before the inspection
> that they may be requesting documents from the licensee\'s document
> control staff.
>
> 2\. When the licensee uses a form to request controlled documents from
> its storage facility or document control clerks, the inspector may
> fill out this form following the licensee\'s procedures.
>
> 3\. Controlled copies of licensee records and documents may be
> reviewed at any time during the inspection on licensee owned property.
> This documentation is not to be removed from the licensee\'s property
> or disposed of without the licensee\'s permission. With the licensee=s
> permission, controlled copies of their records and documents may be
> reviewed offsite. Disposition of the licensee controlled information
> not retained by the inspector will be as directed by the licensee.
>
> 4\. Unlike the resident inspector\'s office, office space provided
> onsite for the use of inspectors is not considered NRC office space.
> This space and any licensee documents under review or used by
> inspectors in this office space, are the property of the licensee, and
> not the NRC. However, in accordance with 10 CFR 50.70 and 10 CFR
> 70.55, the licensee or vendor is not permitted to go through documents
> or materials used by NRC inspectors in this space and is not privy to
> any conversations held between NRC inspectors in this space.
>
> f\. Licensee Forms and Written Documentation
>
> 1\. Some licensees supply inspectors with forms, during team
> inspections, to ask written questions or to request information and
> documents that are needed to continue the inspection. Similar written
> forms are also generated by licensees to give inspectors written
> interim and final answers to inspectors\' questions. The information
> on these forms is then entered into the licensee\'s computer system,
> along with any written responses from the licensee, and tracked.
>
> 2\. Written answers by licensee personnel in response to
> [verbal]{.underline} questions by an inspector on a licensee form that
> are [retained]{.underline} by the inspector, after leaving the site,
> as the basis of an inspection finding are also NRC records subject to
> public disclosure. The inspector shall notify the licensee that the
> retained form will be considered an NRC record subject to public
> disclosure and provide them the opportunity to request withholding the
> information pursuant to the requireme­nts of 10 CFR 2.390(b)(1).
>
> 3\. Written answers in response to verbal questions by an inspector on
> licensee forms that provide background information or do not provide
> the basis for an inspection finding, and are not retained by the
> inspector after leaving the site are not NRC records and, therefore,
> are not subject to public disclosure. Disposition of the licensee
> forms not retained by the inspector will be as directed by the
> licensee.
>
> 4\. Written interim answers given by licensee personnel to an
> inspector on a prepared form or any type of paper, including computer
> printouts, may give the appearance that the inspector has helped the
> licensee to answer the question(s), may reflect the opinion of an
> individual staff member rather than the official position of the
> licensee, may give the appearance of the licensee doing the
> inspector\'s job and is not an acceptable substitute for obtaining
> first-hand information.
>
> g\. Release of Information Before Inspection Report Issuance
>
> 1\. Discussions with licensees related to information contained in the
> inspection report should be limited to the observations made by the
> inspector during the inspection and the inspector=s preliminary
> assessment of the observation.
>
> 2\. Under rare circumstances, a written list of significant issues
> identified during the course of inspection may be provided to the
> licensee by the lead inspector to facilitate the communication of
> inspection findings that require prompt corrective action. This list
> must be approved by the regional division director before it is
> released and it must be attached to the inspection report.
>
> 3\. Consistent with NRC policies, procedures and regulatory
> requirements, no portion of any inspection report shall be shown to or
> given to licensees, or any other group or person external to the NRC
> before formal issuance of the inspection report, without the explicit
> written permission of the EDO.
>
> 4\. If inspection documentation is inadvertently or improperly
> released by the NRC, its contractors, or other government agencies,
> the EDO shall be immediately informed in writing of the release and
> the facts about the release. Corrective action shall be taken by the
> responsible office or region to retrieve the documentation and prevent
> recurrence of such a release.
>
> 5\. Significant safety or security-related information shall be
> promptly and clearly communicated to responsible licensee management
> to obtain prompt evaluation and corrective action. There are few
> circumstances where this information cannot be relayed orally.
> Therefore, no draft inspection documents shall be given to the
> licensee unless the issue is so critical that verbal communication
> will not suffice to expeditiously correct the situation.
>
> 6\. If the release of draft inspection information is necessary, prior
> approval shall be obtained from the inspector\'s management, when
> possible. If time is critical to the release of draft inspection
> documents to prevent or mitigate an emergency or significant safety or
> security event, the inspector shall release the documentation on his
> or her own authority and inform the responsible NRC management of the
> release and the circumstances surrounding the release as soon as
> practical. Such draft inspection documents shall be attached to the
> inspection report.

04.03 [Dispositioning Documents and Records]{.underline}

> a\. FOIA Requirements.
>
> 1\. Documents that are in the possession and control of the NRC may be
> subject to a FOIA request.
>
> 2\. Documents that may be captured by a FOIA request include, but are
> not limited to:
>
> \(a\) Memoranda, facsimile transmissions (faxes), and electronic
> files, such as
>
> e- mail, WordPerfect files, and databases.
>
> \(b\) Licensee documents, including photographs, diagrams, and
> video-tapes, in the possession of and under the control of an NRC
> inspector. These include, but are not limited to, controlled,
> uncontrolled, and draft copies of licensee documents.
>
> \(c\) NRC-originated photographs, video-tapes, or sound recordings
> that are in the possession of NRC staff.
>
> \(d\) Documented conversations that have been shared with others or
> commingled with NRC records.
>
> \(e\) Inspector notes, including annotated licensee documents, that
> have been shared with others or commingled with NRC records.
>
> \(f\) Background material in the possession and control of NRC staff.
>
> \(g\) Preliminary inspection findings that have been shown to licensee
> management.
>
> 3\. Documents may be withheld in part or withheld in their entirety if
> they fall within one or more of the FOIA exemptions defined in 10 CFR
> Part 9 (see MD 3.1 for more detailed explanations of FOIA exemptions).
>
> \(a\) Documents or portions of documents that fall within one or more
> of the nine FOIA exemptions defined in 10 CFR Part 9. (See also MD 3.1
> for more detailed explanations of FOIA exemptions)

Note: A copy of all records that are within the scope of the FOIA
request must be provided. Any record to be withheld in part or in its
entirety must be bracketed with the appropriate FOIA exemption noted.

04.04 [Records Disposition]{.underline}

> a\. Retaining Records
>
> 1\. The inspector shall only retain as an NRC record the information
> necessary to support the inspection finding. Most of the time it is
> acceptable to just identify the source of the information (procedure
> number, revision, title, etc.) in the inspection report, which becomes
> the agency=s official record. See IMC 0612, APower Reactor Inspection
> Reports,@ for further guidance.
>
> Note: It should be a rare occurrence that inspection documents are
> retained.
>
> 2\. The question that should be asked when determining what
> information should be retained is: Can the NRC retrieve the document
> or information from the licensee in the foreseeable future? With this
> in mind, the inspector should evaluate what level of detail related to
> the licensee controlled information should be provided in the
> inspection report
>
> 3\. If a document is the sole basis for an inspection finding and is
> not retrievable from the licensee, it should be listed as an
> attachment to the inspection report and placed in ADAMS.
>
> b\. ADAMS Requirement: ADAMS is a recordkeeping system that maintains
> the official records of the agency and manages their disposition.
> Official agency records include all books, papers, maps, photographs,
> and machine readable documentary materials regardless of form or
> physical characteristics created or received by any agency of the
> United States Government under Federal law or in connection with the
> transaction of public business and that are preserved or appropriate
> for preservation by that agency or its legitimate successor as
> evidence of the organization, functions, policies, decisions,
> procedures, operations, or other activities of the Government or
> because of the informational value of the data contained in these
> materials.
>
> The documents listed below are required to be placed in ADAMS:
>
> 1\. Written correspondence, including e-mails, to the licensee
> requesting documents for inspection preparation.
>
> 2\. Inspection reports.
>
> 3\. Photographs, video-tapes, or recordings that do not contain
> personal privacy, classified, proprietary, or safeguards information,
> that were relied on (solely) to substantiate inspection findings.
>
> 4\. Documents or excerpts of documents [retained]{.underline} by an
> inspector that were used to substantiate an inspection finding.
>
> 5\. Where approved by regional management, written lists of
> significant issues identified during the course of the inspection that
> require prompt corrective actions provided to the licensee at the exit
> meeting. This list must be attached to the inspection report. This
> should be a rare occurrence.
>
> 6\. Any documentary information, relative to inspection activities,
> distributed by an NRC inspector at a management meeting with the
> licensee. Such written material must be attached to the inspection
> report.
>
> 7\. Any information or document sent to the NRC by mail or overnight
> express, with the exception of those sent directly to an NRC inspector
> as personal mail. (See NRC MDs 3.50, ADocument Management@ and 3.23
> AMail Management.@)

Note: Documents or portions of documents that meet the requirements
above and fall within the exempt categories of 10 CFR 2.390 and 10 CFR
9.13, are not to be made publicly available.

0620.05 REFERENCES

42 U.S.C. 2011 et. Seq., AAtomic Energy Act of 1954.@

5 U.S.C. 552, AFreedom of Information Act.@

10 CFR 2.390 APublic Inspection Exemptions, Requests for Withholding@.

10 CFR Part 9 APublic Records@ (FOIA=s, Privacy Act Information).

10 CFR 50.70 AInspections@ (Power Reactors).

10 CFR 70.55 AInspections (Special Nuclear Material)

NRC Management Directive 3.1, AFreedom of Information Act.@

NRC Management Directive 3.50, A Document Management.@

NRC Management Directive 3.53, ANRC Records Management Program.@

NRC Management Directive 12.1, ANRC Facility Security Program.@

NRC Management Directive 12.2, ANRC Classified Information Security
Plan.@

NRC Management Directive 12.4, ANRC Telecommunication Systems Security
Program.@

NRC Management Directive 12.6, ANRC Security Manual Sensitive
Unclassified Information Security Plan.@

NRC Management Directive 3.2, APrivacy Act.@

NRC Inspection Manual Chapter 0330, AGuidance for NRC Review of Licensee
Draft Documents.@

NRC Inspection Manual Chapter 0612, APower Reactor Inspection Reports.@

NRR Office Instruction COM-203, Rev 1 dated 04/04/05, AInformal
Interfaces and Exchange of Information with Licensees and Applicant.@
(ML050800544)

EXHIBIT 1

+-----------------+-----------------------------------+---------------+
| USE OF PHOTOS   |                                   |               |
| DURING THE      |                                   |               |
| INSPECTION      |                                   |               |
| PROCESS         |                                   |               |
+-----------------+-----------------------------------+---------------+
| QUESTION        | ANSWER                            | SOURCE        |
+-----------------+-----------------------------------+---------------+
| 1\. Do I need   | Yes, if a photograph is made by   | IMC-620 [NRC  |
| the licensee=s  | the NRC during an inspection, it  | Documents     |
| permission to   | should be preannounced and all    | Records, or   |
| take            | participants informed. If someone | Information   |
| photographs?    | objects, the objection should     | ]{.underline} |
|                 | always be honored.                |               |
|                 |                                   |               |
|                 | On occasions where it is not      |               |
|                 | possible to get the licensee=s    |               |
|                 | permission in advance, be sure to |               |
|                 | notify the licensee as soon as    |               |
|                 | possible.                         |               |
|                 |                                   |               |
|                 | Use common sense in taking        |               |
|                 | photographs as part of your       |               |
|                 | routine inspection activities.    |               |
|                 | Avoid taking photographs of       |               |
|                 | personnel or plant features       |               |
|                 | related to security. Follow the   |               |
|                 | licensee=s policy on the use of   |               |
|                 | photographic equipment, including |               |
|                 | the prohibition of flash          |               |
|                 | photography in areas of sensitive |               |
|                 | plant equipment.                  |               |
+-----------------+-----------------------------------+---------------+
| 2\. What if the | Discuss the licensee=s concerns   |               |
| licensee does   | with your supervisor.             |               |
| not grant       |                                   |               |
| permission?     |                                   |               |
+-----------------+-----------------------------------+---------------+
| 3\. Can I       | No. If a photograph is made       | IMC-620 [NRC  |
| forward         | during an inspection, it should   | Documents     |
| photographs to  | be reviewed by the licensee to    | Records, or   |
| my management   | determine if it contains any      | Information   |
| electronically  | personal privacy, classified,     | ]{.underline} |
| without the     | proprietary, or safeguards        |               |
| licensee=s      | information.                      |               |
| review?         |                                   |               |
+-----------------+-----------------------------------+---------------+
| 4\. Do I need   | No.                               |               |
| something in    |                                   |               |
| writing from    |                                   |               |
| the licensee    |                                   |               |
| that says they  |                                   |               |
| have reviewed   |                                   |               |
| the pictures    |                                   |               |
| for safeguards, |                                   |               |
| personal        |                                   |               |
| privacy and     |                                   |               |
| propriety       |                                   |               |
| information?    |                                   |               |
+-----------------+-----------------------------------+---------------+
| 5\. Is there    | Yes. Photographs that contain     | MD 12.2 ANRC  |
| agency guidance | proprietary information or are    | Classified    |
| on how to       | for Official Use Only             | Information   |
| forward         | [can]{.underline} be forwarded    | Security      |
| photographs     | electronically (via email or fax) | Program@      |
| that contain    | . Photographs that contain        |               |
| classified or   | classified or safeguards          | MD 12.4 ANRC  |
| sensitive       | information [cannot]{.underline}  | Tele          |
| unclassified    | be forwarded via email. However,  | communication |
| information?    | if it is necessary to provide     | Systems       |
|                 | these photographs to management   | Security      |
|                 | or to NRC experts to assist in    | Program@      |
|                 | making an inspection              |               |
|                 | determination, you must print the | MD 12.6 ANRC  |
|                 | photographs and forward them via  | Sensitive     |
|                 | a secure fax machine utilizing    | Unclassified  |
|                 | appropriate controls established  | Information   |
|                 | in agency guidance. If secure fax | Security      |
|                 | capability is not available, the  | Program@      |
|                 | photographs must be mailed in     |               |
|                 | accordance with NRC requirements  |               |
|                 | and the approved NRC classified   |               |
|                 | mailing address must be used if   |               |
|                 | classified information is         |               |
|                 |                                   |               |
|                 | involved. Also, all photographs   |               |
|                 | believed to contain classified or |               |
|                 | sensitive unclassified            |               |
|                 | information must be marked in     |               |
|                 | accordance with NRC requirements. |               |
|                 | The camera used to take the       |               |
|                 | classified photographs must be    |               |
|                 | protected as classified and       |               |
|                 | secured when unattended.          |               |
+-----------------+-----------------------------------+---------------+

+-----------------+-----------------------------------+----------------+
| 6\. How do I    | If the photographs **[are         | MD 12.1 ANRC   |
| know when       | used]{.underline}** to            | Facility       |
| photographs     | substantiate an inspection        | Security       |
| must be         | finding and they do not contain   | Program@       |
| retained ?      | classified or safeguards          |                |
|                 | information, they are considered  | IMC-620 NRC    |
| When are        | official agency records and must  | Documents      |
| photographs     | be retained and placed into       | Records, or    |
| required to be  | ADAMS.                            | Information    |
| destroyed?      |                                   |                |
|                 | > **Examples** of photographs     | NRC=s          |
| If photographs  | > [used]{.underline} to           | authority      |
| are not used to | > substantiate an inspection      | under the      |
| support         | >                                 | Atomic Energy  |
| inspection      | > finding include photographs     | Act, \' 1618)  |
| findings can    | > that are relied on to support   |                |
| they be         | >                                 |                |
| retained for    | > regulatory decision-making. In  |                |
| training        | > some cases, the photograph      |                |
| purposes?       | >                                 |                |
|                 | > may be the sole basis for the   |                |
|                 | > inspection finding.             |                |
|                 |                                   |                |
|                 | If the photographs **[are         |                |
|                 | not]{.underline}** used to        |                |
|                 | substantiate an inspection        |                |
|                 | finding and they contain personal |                |
|                 | privacy, classified, proprietary  |                |
|                 | or safeguards information they    |                |
|                 | [must]{.underline} be destroyed   |                |
|                 | in accordance with NRC            |                |
|                 | requirements.                     |                |
|                 |                                   |                |
|                 | > **Examples** of photographs     |                |
|                 | > [not used]{.underline} to       |                |
|                 | > support an inspection finding   |                |
|                 | > include: (1) those photographs  |                |
|                 | > that are used as memory joggers |                |
|                 | > to assist the inspector in      |                |
|                 | > finalizing the inspection       |                |
|                 | > report and (2) photos forwarded |                |
|                 | > electronically to regional      |                |
|                 | > management to clarify or to     |                |
|                 | > discuss findings. Photographs   |                |
|                 | > of this nature are not relied   |                |
|                 | > on for regulatory               |                |
|                 | > decision-making.                |                |
|                 |                                   |                |
|                 | If the photographs [do            |                |
|                 | not]{.underline} contain personal |                |
|                 | privacy, classified, proprietary, |                |
|                 | or safeguards information, they   |                |
|                 | may be retained for informal      |                |
|                 | training purposes.                |                |
|                 |                                   |                |
|                 | If the photographs contain        |                |
|                 | personal privacy, classified,     |                |
|                 | proprietary, or safeguards        |                |
|                 | information, then they must be    |                |
|                 | destroyed in accordance with IMC  |                |
|                 | 0620.                             |                |
+-----------------+-----------------------------------+----------------+
| 7\. What if the | If it is necessary to keep a      | 10 CFR 2.390   |
| licensee        | photograph containing personal    | (b) (1)        |
| requests that a | privacy or proprietary            |                |
| photograph be   | information, the licensee must    | MD 12.1 ANRC   |
| withheld from   | request that it be withheld from  | Facility       |
| public          | public disclosure in accordance   | Security       |
| disclosure      | with 10 CFR 2.390 (b) (1). If the | Program@       |
| because it      | information is proprietary the    |                |
| contains        | request must be accompanied by an |                |
| personal        | affidavit.                        |                |
| privacy or      |                                   |                |
| proprietary     | If the photograph is the basis    |                |
| information.    | for a finding, it should be       |                |
|                 | edited by the licensee to delete  |                |
|                 | the sensitive information unless  |                |
|                 | that information is necessary to  |                |
|                 | support the finding.              |                |
|                 |                                   |                |
|                 | REMINDERBUnder IMC-620 if the     |                |
|                 | photograph contains personal      |                |
|                 | privacy, classified, proprietary, |                |
|                 | or safeguards information it must |                |
|                 | be destroyed if it is             |                |
|                 | [not]{.underline} the basis for   |                |
|                 | an inspection finding.            |                |
+-----------------+-----------------------------------+----------------+

+----------------+----------------------------------+------------------+
| **USING PHOTOS |                                  |                  |
| FOR INFORMAL   |                                  |                  |
| TRAINING**     |                                  |                  |
+----------------+----------------------------------+------------------+
| **QUESTION**   | **ANSWER**                       | **SOURCE**       |
+----------------+----------------------------------+------------------+
| 8\. If         | If the photographs [do           | NRC=s authority  |
| photographs    | not]{.underline} contain         | under the Atomic |
| are not used   | personal privacy, classified,    | Energy Act, \'   |
| to support     | proprietary, or safeguards       | 1618)            |
| inspection     | information, they may be         |                  |
| findings can   | retained for informal training   | IMC-0620 ANRC    |
| they be        | purposes.                        | Documents,       |
| retained for   |                                  | Records, or      |
| training       | If the photographs contain       | Information@     |
| purposes?      | personal privacy, classified,    |                  |
|                | proprietary, or safeguards       |                  |
|                | information, then they must be   |                  |
|                | destroyed in accordance with IMC |                  |
|                | 0620.                            |                  |
+----------------+----------------------------------+------------------+
| 9\. Do I need  | You [do not]{.underline} need    | NRC=s authority  |
| the licensee=s | the licensee=s permission to     | under the Atomic |
| permission to  | retain these photographs for     | Energy Act       |
| keep these     | training purposes if you believe |                  |
| photographs?   | these photographs would be       |                  |
|                | helpful in carrying out NRC=s    |                  |
|                | regulatory responsibilities.     |                  |
|                |                                  |                  |
|                | However, follow the guidance     |                  |
|                | that relates to requesting the   |                  |
|                | licensee=s permission and review |                  |
|                | to determine if the photographs  |                  |
|                | contain proprietary, personal    |                  |
|                | privacy, classified, or          |                  |
|                | safeguards information.          |                  |
+----------------+----------------------------------+------------------+
| 10\. Are       | Yes.                             | NRC MD 3.1       |
| training       |                                  | AFreedom of      |
| photographs    |                                  | Information Act@ |
| subject to     |                                  |                  |
| FOIA?          |                                  |                  |
+----------------+----------------------------------+------------------+

+----------------+----------------------------------+------------------+
| 11\. How       | Photographs that contain         | 10 CFR 2.390     |
| should the     | proprietary information          |                  |
| photographs be | [must]{.underline} be labeled as |                  |
| identified?    | such in accordance with 2.390(b) |                  |
|                | and should include the date and  |                  |
|                | name of the facility or facility |                  |
|                | owner.                           |                  |
|                |                                  |                  |
|                | There are no agency requirements |                  |
|                | that non-sensitive photographs   |                  |
|                | be labeled and dated. Recommends |                  |
|                | that for ease of FOIA searches,  |                  |
|                | photographs be dated and         |                  |
|                | labeled.                         |                  |
+----------------+----------------------------------+------------------+
| 12\. If the    | Yes, but only if absolutely      | IMC-620 [NRC     |
| photographs    | necessary and only if the        | Documents        |
| contain        | photographs support an           | Records, or      |
| classified and | inspection finding               | Informat         |
| safeguards     | (REMINDER-staff reviewing such   | ion]{.underline} |
| information    | photographs must possess the     |                  |
| can they still | appropriate clearance levels and | MD 12.1 ANRC     |
| be used for    | have a Aneed to know@). If this  | Facility         |
| training       | is the case, such photographs    | Security Plan@   |
| purposes?      | and or digital cameras that      |                  |
|                | contain classified and           | MD 12.2 ANRC     |
|                | safeguards information must be   | Classified       |
|                | secured and agency guidance      | Information      |
|                | followed. Follow guidance in     | Security Plan@   |
|                | IMC-0620 regarding licensee      |                  |
|                | review of such photographs.      |                  |
+----------------+----------------------------------+------------------+
| 13\. Are       | **NO,** if the photographs are   | MD 3.53 ANRC     |
| photographs    | used for informal training (OJT  | Records          |
| used for       | and learning opportunities).     | Management       |
| training       | **Yes,** if the photographs are  | Program@         |
| purposes       | used for formal training (e.g.   |                  |
| required to go | Technical Training Center).      |                  |
| in ADAMS?      |                                  |                  |
+----------------+----------------------------------+------------------+
| 14\. How long  | Recommend that the photographs   |                  |
| should         | be destroyed when they are no    |                  |
| photographs    | longer needed.                   |                  |
| used for       |                                  |                  |
| informal       | Currently, only formal training  |                  |
| training (OJT  | is thru HR/TTD, and retention    |                  |
| and learning   | schedules exist for them.        |                  |
| opportunities) | Regional offices typically       |                  |
| be retained?   | provide only informal training.  |                  |
|                |                                  |                  |
| How long       |                                  |                  |
| should         |                                  |                  |
| photographs    |                                  |                  |
| used for       |                                  |                  |
| formal         |                                  |                  |
| training be    |                                  |                  |
| retained.      |                                  |                  |
+----------------+----------------------------------+------------------+

ATTACHMENT 1

+-------+-----+--------------------+-----+---------+------------------+
| Commi | Is  | Description of     | Tr  | T       | Comment          |
| tment | sue | Change             | ain | raining | Resolution       |
| Tra   | D   |                    | ing | Com     | Accession Number |
| cking | ate |                    | Nee | pletion |                  |
| N     |     |                    | ded | Date    |                  |
| umber |     |                    |     |         |                  |
+-------+-----+--------------------+-----+---------+------------------+
| N/A   | 01  | Four year review   |     |         |                  |
|       | /27 | for commitments    |     |         |                  |
|       | /06 | has been completed |     |         |                  |
+-------+-----+--------------------+-----+---------+------------------+
| N/A   | 01  | Eliminated the     | N   | N/A     | N/A              |
|       | /27 | requirement to     | one |         |                  |
|       | /06 | list all documents |     |         | No significant   |
|       |     | reviewed as an     |     |         | comments         |
|       |     | attachment to the  |     |         | received.        |
|       |     | inspection report  |     |         |                  |
|       |     | and the            |     |         |                  |
|       |     | requirement to     |     |         |                  |
|       |     | place all          |     |         |                  |
|       |     | documents reviewed |     |         |                  |
|       |     | in ADAMS. Updated  |     |         |                  |
|       |     | and added security |     |         |                  |
|       |     | documents that     |     |         |                  |
|       |     | contain classified |     |         |                  |
|       |     | information. Added |     |         |                  |
|       |     | guidance on the    |     |         |                  |
|       |     | use of E-mail      |     |         |                  |
|       |     | during the         |     |         |                  |
|       |     | inspection         |     |         |                  |
|       |     | process.           |     |         |                  |
+-------+-----+--------------------+-----+---------+------------------+