NRC INSPECTION MANUAL IRIB

MANUAL CHAPTER 0040

PREPARING, REVISING, AND ISSUING DOCUMENTS

FOR THE NRC INSPECTION MANUAL

0040-01 PURPOSE [1](#__RefHeading___Toc168998144)

0040-02 OBJECTIVES [1](#__RefHeading___Toc168998145)

0040-03 DEFINITIONS [1](#__RefHeading___Toc168998146)

03.01 General [1](#__RefHeading___Toc168998147)

03.02 Types of Inspection Manual Documents
[2](#__RefHeading___Toc168998148)

03.03 Support Information for Inspection Manual Documents
[2](#__RefHeading___Toc168998149)

0040-04 RESPONSIBILITIES AND AUTHORITIES
[2](#__RefHeading___Toc168998150)

04.01 Originating Organization [2](#__RefHeading___Toc168998151)

04.02 For ROP (Reactor Inspection Programs)
[3](#__RefHeading___Toc168998152)

04.03 For Non-ROP (NRR, NRO, NMSS, FSME, and NSIR)
[4](#__RefHeading___Toc168998153)

04.04 Inspection Manual Coordinators, (NRO, NMSS, FSME, and NSIR)
[4](#__RefHeading___Toc168998154)

04.05 NRR Inspection Manual Coordinator
[5](#__RefHeading___Toc168998155)

0040-05 GENERAL INSTRUCTIONS FOR ALL DOCUMENT TYPES
[5](#__RefHeading___Toc168998156)

05.01 Plain Writing Guidance [6](#__RefHeading___Toc168998157)

05.02 Program Document Requirements [6](#__RefHeading___Toc168998158)

05.03 Revisions to Documents [7](#__RefHeading___Toc168998159)

05.04 References [7](#__RefHeading___Toc168998160)

05.05 Incorporating Other Documents [8](#__RefHeading___Toc168998161)

05.06 Requests for Guidance, Revisions, and New Documents
[8](#__RefHeading___Toc168998162)

0040-06 DOCUMENT PREPARATION AND PROCESSING
[8](#__RefHeading___Toc168998163)

06.01 Training Considerations [8](#__RefHeading___Toc168998164)

06.02 Document Preparation [8](#__RefHeading___Toc168998165)

06.03 Incorporating Generic Requirements
[9](#__RefHeading___Toc168998166)

06.04 Regional and Office Comments [9](#__RefHeading___Toc168998167)

06.05 Comment Resolution [11](#__RefHeading___Toc168998168)

06.06 Update or Create Revision History Page
[11](#__RefHeading___Toc168998169)

06.07 Document Issuing Package [11](#__RefHeading___Toc168998170)

06.08 Manual Coordinator's Review [12](#__RefHeading___Toc168998171)

06.09 Final Approval [12](#__RefHeading___Toc168998172)

06.10 Standard Distribution of Manual Documents
[12](#__RefHeading___Toc168998173)

0040-07 DOCUMENT TYPES AND FORMATS [12](#__RefHeading___Toc168998174)

07.01 Inspection Manual Chapters (IMCs)
[12](#__RefHeading___Toc168998175)

07.02 Inspection Procedures (IPs) [13](#__RefHeading___Toc168998176)

07.03 Temporary Instructions (TIs) [14](#__RefHeading___Toc168998177)

07.04 Technical Guidance and 10 CFR Guidance Documents
[16](#__RefHeading___Toc168998178)

07.05 Appendix [16](#__RefHeading___Toc168998179)

07.06 Table [16](#__RefHeading___Toc168998180)

07.07 Figure [16](#__RefHeading___Toc168998181)

07.08 Exhibit [16](#__RefHeading___Toc168998182)

07.09 Issue Date [16](#__RefHeading___Toc168998183)

[07.10 Document Number [17](#__RefHeading___Toc168998184)]{.smallcaps}

Exhibit 1-A -- NRR Document Issuing Form (DIF)

Exhibit 1-B -- FSME Document Issuing Form (DIF)

Exhibit 1-C -- FSME Document Issuing Form (DIF)

Exhibit 1-D -- NRO Document Issuing Form (DIF)

Exhibit 2 -- Example of Comment Resolution Summary

Exhibit 3 -- Example of Revision History Page

Exhibit 4 -- Example of Document Formatting

Exhibit 5 -- Format Requirements Checklist

Exhibit 6 -- Guidance for Using Word

Attachment 1 -- Revision History for IMC 0040

[]{#__RefHeading___Toc168998144 .anchor}0040-01 PURPOSE

01.01 Inspection Manual Chapter 0040 establishes the basic requirements
and format for preparing and obtaining comments on the NRC Inspection
Manual (Manual) documents, including Manual chapters, inspection
procedures, guidance regarding the NRC regulations in Title 10 of the
Code of Federal Regulations (10 CFR), technical guidance, and temporary
instructions.

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

01.03 Responsibilities and authorities 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: the Office of New Reactors (NRO), the Office of
Nuclear Reactor Regulation (NRR), the Office of Nuclear Material Safety
and Safeguards (NMSS), the Office of Federal and State Materials and
Environmental Management Programs (FSME), and the Office of Nuclear
Security and Incident Response (NSIR).

[]{#__RefHeading___Toc168998145 .anchor}0040-02 OBJECTIVES

02.01 To help managers and writers plan and develop clear, accurate, and
effective Manual documents.

02.02 To ensure consistency in the format and content of Manual
documents.

[]{#__RefHeading___Toc168998146 .anchor}0040-03 DEFINITIONS

03.01 [General]{.underline}[]{#__RefHeading___Toc168998147 .anchor}.

a\. Program Document. A Manual chapter, inspection procedure, 10 CFR
guidance, technical guidance, or temporary instruction.

b\. Manual Part. A major subject area into which the Manual is divided.
Each part of the Manual is subdivided into areas (e.g., Manual chapters,
inspection procedures, guidance).

c\. Document Issuing Form. A form required to initiate creation,
revision, or deletion of a program document.

d\. Originating Organization. The NRC program office, division, or
branch responsible for the creation and modification of a program
document.

03.02 [Types of Inspection Manual
Documents]{.underline}[]{#__RefHeading___Toc168998148 .anchor}.

a\. Inspection Manual Chapter (IMC). A document containing written
administrative or inspection program statements of policy. An IMC for an
inspection program defines the program through a listing of inspection
procedures, which is normally appended to the IMC.

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

c\. Temporary Instruction (TI). A temporary inspection procedure,
focused on current safety issues or concerns. TIs are issued to
supplement an inspection program and generally are placed in effect for
12 months, but not longer than 24 months.

d\. 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 TI is
also stated.

e\. Technical Guidance. A program document issued to provide specific
guidance to address a particular technical question that is associated
with an inspection procedure.

f\. 10 CFR Guidance. A guidance document on acceptable approaches to
particular issues involving rules and regulations in 10 CFR. These
guidance documents are also found in Part 9900 of the Manual.

03.03 [Support Information for Inspection Manual
Documents]{.underline}[]{#__RefHeading___Toc168998149 .anchor}.

a\. Table of Contents. The introductory outline of the Manual\'s
structure and listing of the Manual's active program documents.

b\. 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 generally are in the form of a numbered table,
exhibit, figure, appendix, etc.

[]{#__RefHeading___Toc168998150 .anchor}0040-04 RESPONSIBILITIES AND
AUTHORITIES

04.01 [Originating
Organization]{.underline}[]{#__RefHeading___Toc168998151 .anchor}.
Following are responsibilities of the originating organization.

a\. Develops and revises program documents necessary to carry out
assigned organizational programmatic responsibilities. NRR will ensure
that all Reactor Oversight Process (ROP) program documents conform to
IMC 0308, "Reactor Oversight Process Basis Document," as applicable.
NMSS and FSME will ensure that the Policy and Procedure (P&P) Letter
1-76 is implemented.

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.

1\. ROP program documents require the approval of the Branch Chief of
the Reactor Inspection Branch (IRIB) or the Performance Assessment
Branch (IPAB), as applicable.

2\. Non-ROP program documents from NRR, NRO, NMSS, FSME, or NSIR require
the approval of the deputy director of the division responsible for the
inspection program.

c\. Performs comment resolution and creates a comment resolution summary
page for each program document.

d\. Identifies training needs associated with performing new or revised
procedures required in an IP or a TI, 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.

f\. Informs inspectors of pending procedure change and ensures training
is provided before the procedure is issued.

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 TI is managed by: providing guidance for follow-up
and closure of the TI, including specific regional responsibilities;
clearly distinguishing mandatory requirements; reviewing and analyzing
TI results; giving feedback to the appropriate managers, as necessary;
determining whether additional inspection is needed as follow-up to the
TI; and submitting the document issuing form (Exhibit 1A, 1B, 1C, or ID)
to the IM Coordinator of the originating office when initiating or
deleting the TI.

i\. Conducts a review of each of its program documents to determine
whether it should be revised or deleted.

04.02 [For ROP (Reactor Inspection
Programs)]{.underline}[]{#__RefHeading___Toc168998152 .anchor}.

a\. Director, Division of Inspection and Regional Support (DIRS).
Coordinates inspection policies, programs, and guidance for nuclear
reactors.

b\. Deputy Director, DIRS:

1\. Reviews regional best practices and initiatives for possible
incorporation into the reactor inspection program.

2\. Ensures that all ROP program documents conform to IMC 0308, "Reactor
Oversight Process Basis Document."

3\. Approves content of ROP documents necessary to carry out assigned
program functions.

4 Confirms ROP document meets requirements of this IMC prior to signing
the document issuing form (Exhibit 1A).

04.03 [For Non-ROP (NRR, NRO, NMSS, FSME, and
NSIR)]{.underline}[]{#__RefHeading___Toc168998153 .anchor}.

a\. NMSS appoints NMSS Inspection Manual Coordinator.

b\. FSME appoints FSME Inspection Manual Coordinator.

c\. NSIR appoints NSIR Inspection Manual Coordinator.

d\. NRO appoints NRO Inspection Manual Coordinator.

e\. Non-ROP Inspection Programs Deputy Director:

1\. Deputy director or director approves content of documents necessary
to carry out assigned program functions.

2\. Confirms document meets requirements of this IMC prior to signing
the document issuing form (Exhibit 1A, 1B, 1C, or 1D).

3\. Approves and signs requests for comments on program documents in
accordance with applicable office guidance.

04.04 [Inspection Manual Coordinators, (NRO, NMSS, FSME, and
NSIR)]{.underline}[]{#__RefHeading___Toc168998154 .anchor}.

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 FSME) 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 Manual Coordinator
for final processing and issuance.

04.05 [NRR Inspection Manual
Coordinator]{.underline}[]{#__RefHeading___Toc168998155 .anchor}.

a\. Performs the same tasks as the other IM Coordinators, as described
above, and in addition:

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 documents 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 Agency wide Documents Access and Management System (ADAMS) and the
NRC Web site.

f\. Updates the Inspection Procedure Authority File of 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.

[]{#__RefHeading___Toc168998156 .anchor}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, or TI) 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]{.underline}[]{#__RefHeading___Toc168998157 .anchor}.

State clearly what the inspector 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 inspector to understand
your writing; it is mandatory.

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").

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, title, 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 inspectors 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.

05.02 [Program Document
Requirements]{.underline}[]{#__RefHeading___Toc168998158 .anchor}. All
drafts and final documents shall be prepared in the current version of
NRC's prescribed word processor (WordPerfect or Microsoft Office Word),
be consistent with this IMC Format, and be stored in ADAMS. Through
December 31, 2007, Manual documents may be submitted to the NRR Manual
Coordinator in either WordPerfect or Word. Beginning January 1, 2008,
all documents must be submitted in Word. (Exhibit 6 provides guidance in
using Word to prepare Manual documents.)

a\. Format requirements listed in Exhibit 5 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 12-point font, fully
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).

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 should list the revision
history (see subsection 06.06 of this IMC) to include: 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 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]{.underline}[]{#__RefHeading___Toc168998159 .anchor}. When
Manual documents are revised, the entire document is reissued. Changes
must be identified by placing a vertical line in the margins (using the
redline method of the word processing program) of the document next to
the revision. In the case of a total rewrite of a document, it is not
necessary to use the redline feature. Revisions are issued by a change
notice. Major changes to the document must be noted in the revision
history page (see subsection 06.06 of this IMC).

05.04 [References]{.underline}[]{#__RefHeading___Toc168998160 .anchor}.
References must be directly relevant to the document and essential to
its completion. 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 and
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.

05.05 [Incorporating Other
Documents]{.underline}[]{#__RefHeading___Toc168998161 .anchor}.
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]{.underline}[]{#__RefHeading___Toc168998162 .anchor}.

a\. Requests for guidance, new documents, and revisions to documents
applicable to the ROP should be initiated using the Feedback Process, as
described 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 Deputy
Director, DIRS/ NRR for reactor inspection programs or to the applicable
manager in NRO, NMSS, FSME, or NSIR.

[]{#__RefHeading___Toc168998163 .anchor}0040-06 DOCUMENT PREPARATION AND
PROCESSING

06.01 [Training
Considerations]{.underline}[]{#__RefHeading___Toc168998164 .anchor}.
When planning to revise an existing document or create a new document,
assess the need for inspectors 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, training 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. The selection of the training method should consider the
time needed for all affected staff to complete the training, since the
new or revised document should not be issued until training is complete.

06.02 [Document Preparation]{.underline}[]{#__RefHeading___Toc168998165
.anchor}. Develop a new document in the current version of NRC's
designated word processing software, using the structure and format
requirements, as applicable, contained in this. IMC.

Use the current official Manual document as the starting point for a
revised Manual document. Retrieve the word processing version of the
document from the NRC Web site and save it as a separate working file.
To retrieve the most recent version, follow these steps: go to the NRC
internal home page, click on: (1) Organization, (2) then click on NRR,
(3) then click on DIRS (in the Division pull-down menu), (4) then click
on type of Manual document, and (5) click on the ZIP link next to the
applicable document. When the ZIP file is opened, the required document
will be available in word processing format.

06.03 [Incorporating Generic
Requirements]{.underline}[]{#__RefHeading___Toc168998166 .anchor}.

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 letter or 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 no 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]{.underline}[]{#__RefHeading___Toc168998167 .anchor}. 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 that will have an effect on more than one office, i.e., NRO,
NMSS, FSME 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 NRO, NMSS,
FSME, and NSIR should follow the appropriate internal office guidance
(e.g.,P&P Letter 1-76). 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. For NRR documents, the NRR Manual Coordinator
prepares the memorandum requesting comments for signature by the Branch
Chief of IRIB or IPAB, as applicable. The memorandum requests that
comments be sent directly to the technical person, with a copy to the
NRR Manual Coordinator.

The purpose of the commenting 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 Feedback Process (see subsection 05.06 of this IMC).

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 cases, 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:

a\. Will the proposed document affect regional resources?

b\. Will the document significantly affect regional programs?

c\. Is a regional perspective really needed?

d\. Are the regions interested in the subject?

e\. Does the document represent a major policy change?

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.

The rules for sending draft documents to the regions for comments are:

a\. Send only final drafts.

b\. Identify a technical person in the originating office who the
regions can contact to discuss the document.

c\. Prepare the request far enough in advance of the document's deadline
to allow for review of not less than 30 calendar days.

d\. For NRR program documents, address the memorandum requesting
comments on the document(s) to the DRP Division Director and Deputy and
the DRS Division Director and Deputy. The memorandum should also
indicate that a copy will be sent to the Deputy Regional Administrator
and a cognizant regional branch chief.

e\. 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.

06.05 [Comment Resolution]{.underline}[]{#__RefHeading___Toc168998168
.anchor}. 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 then enter the final
version of the comment resolution summary into ADAMS and list the
accession number on the revision history page. The comment resolution
summary should not normally be publicly available. (See Exhibit 2 for an
example of a comment resolution summary.)

06.06 [Update or Create Revision History
Page]{.underline}[]{#__RefHeading___Toc168998169 .anchor}. 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 3
as an example. The document issue date will be filled in by the NRR
Manual Coordinator prior to issuing the final document. The training
completion date (if training is required) in all cases shall be prior to
the document issue date.

[Note]{.underline}: 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]{.underline}[]{#__RefHeading___Toc168998170 .anchor}. It is the
responsibility of the IM Coordinator of the originating office to ensure
that all documents are correctly formatted prior to routing to the NRR
Manual Coordinator. Exhibits 4 and 5 shall be used to meet this
requirement. Documents failing to adhere to the guidelines provided in
these exhibits will be returned 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 into ADAMS and prepare a
document issuing package. The document and the comment resolution
summary shall be entered into an ADAMS package and profiled as
non-publicly available. Owner rights to the final document shall be
granted to the originating office IM Coordinator and the NRR Manual
Coordinator. A complete document issuing package consists of the
following:

a\. An electronic copy of the final version of the document to be
issued, accompanied by a signed paper copy of the document issuing form
(Exhibit 1A, 1B, or 1C or 1D.) If more than one office provides input to
creating or revising a document, additional signature lines may be added
to the document issuing form.

b\. A paper copy of the comment resolution summary (see Exhibit 2) and 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.

c\. A completed ADAMS Document Submission Form (Form 665P) for the
package that will include the final document to be issued and the
comment resolution summary. It is required that a Sensitive Unclassified
Non-Safeguards Information (SUNSI) review be completed before a Manual
document is issued; and the words, 'SUNSI Review Complete' are required
in the keyword field of the ADAMS profile.

06.08 [Manual Coordinator's
Review]{.underline}[]{#__RefHeading___Toc168998171 .anchor}. The
originating organization of any NRO, NMSS, FSME, 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 Manual
Coordinator. NRR documents are routed directly to the NRR Manual
Coordinator. Documents submitted to the NRR 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 Manual
Coordinator reviews the document for publication.

06.09 [Final Approval]{.underline}[]{#__RefHeading___Toc168998172
.anchor}. Final approval of program documents for inclusion in the
Manual is given by the deputy director of the originating office. The
NRR Manual Coordinator will publish the change notice on the NRC Web
site.

06.10 [Standard Distribution of Manual
Documents]{.underline}[]{#__RefHeading___Toc168998173 .anchor}. New and
revised Manual documents are distributed by publication of a change
notice. IM Coordinators outside of NRR shall ensure that the document
gets the widest dissemination necessary in accordance with internal
office policy.

[]{#__RefHeading___Toc168998174 .anchor}0040-07 DOCUMENT TYPES AND
FORMATS

07.01 [Inspection Manual Chapters
(IMCs)]{.underline}[]{#__RefHeading___Toc168998175 .anchor}. IMCs are
used to describe inspection programs and 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, "Applicability." Identifies the type of facilities,
operations, actions, or population for which the IMC is applicable. The
applicability section is optional.

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 the IMC. Additional sections can be used beyond
06, as required, to provide better structure to the document.

07.02 [Inspection Procedures
(IPs)]{.underline}[]{#__RefHeading___Toc168998176 .anchor}. IPs describe
the activities to be performed by an inspector to implement a part of an
inspection program. IPs include the following sections:

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

b\. Section 02, "Inspection Requirement(s)." Describes the requirements
for completing the procedure and achieving its objectives. This section
may specify systems, components, and records to be inspected. This
section may also specify 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. Ensure each inspection requirement has a
specific number or letter assigned to it for identification purposes in
the Inspection Guidance section of the IP if the two sections are
separate.

[Note]{.underline}: Requirements and Guidance are both required in an
IP; however, they can be written as one section or as two separate
sections, according to specific organizational needs.

c\. Section 03, "Inspection Guidance." This section may offer general as
well as specific guidance on inspection requirements. Specific guidance
is intended to directly help the inspector in performing the
requirements stated in Section 02 of the procedure. It explains how
individual requirements can be accomplished and alerts the inspector to
potential problems. For new procedures, the guidance section can be used
to tell the inspector how the originating office intended the
requirements to be accomplished. For existing procedures, the guidance
should reflect experience gained or problems encountered in performing
the inspection. If no guidance is given for a requirement, use the
phrase, "No inspection guidance."

d\. Section 04, "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
performance. Actual inspections may require substantially more or less
time, depending on the individual circumstances.

e\. Section 05, "References." Lists documents that will be immediately
helpful to the inspector in performing the inspection procedure. If
documents have been fully referenced in the text, this section may be
omitted. The last item in references to NRC documents is the ADAMS
accession number (e.g., ML003717333). Regulatory guides and industry
standards and codes do not need an ADAMS accession number.

The reference section is not intended to be a historical listing of
documents about the inspection area. It should be limited to those
references directly relevant to performing the procedure. Manual
documents should not reference documents, policies, or practices of the
Institute of Nuclear Power Operations (INPO).

Procedures for the risk-informed 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 form the foundation of
the ROP (see IMC 2515).

f\. Section 06, "Procedure Completion." Defines the minimum sample size
to be inspected and reported in the Reactor Program Systems (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)]{.underline}[]{#__RefHeading___Toc168998177 .anchor}. TI
requirements are mandatory. A TI has the same force as an IP but is used
for a once-only or initial inspection of a significant issue or for a
one-time collection of information. It is usually in effect for 12
months, but never longer than 24 months. If a TI will be in effect for
more than 24 months, the originator must provide a special
justification. TIs may require follow-up inspections. TIs are issued by
a change notice and are printed on blue paper for easy identification in
the Manual.

Each TI has an expected completion date and an expiration date. If the
stated purpose of the TI has not been accomplished by the expiration
date, the originating organization may revise the TI and reissue it. The
revised TI must be accompanied by a document issuing form (Exhibit 1A,
1B, 1C, or 1D) 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.

a\. Section 01, "Objectives." This section states whether the TI is
being issued only for information-gathering purposes. An
information-gathering TI must be accompanied by a memorandum of
justification to IRIB stating why the information is needed, what will
be done with it, and why it cannot be obtained by other means.

The Objectives section also states if the TI is being issued to verify
licensee responses to a generic letter or bulletin. If this is the case,
then the TI verifies that the requirements will specifically obtain the
information requested by the generic letter or bulletin.

b\. Section 02, "Applicability." This section states which or how many
facilities (e.g., two in each region) will be inspected using the TI.

c\. Section 03, "Background." This section explains the reasons for
issuing the TI. Include in this section any references that may be
useful to the inspector.

d\. Section 04, "Inspection Requirements." TIs emphasize observing
activities, not reviewing documents. TI requirements should be
performance-based, clearly stated, and focused on the implementation of
programs and procedures.

A TI based on safety evaluation reports (SERs) should state whether the
SERs are available. If the SERs have not all been issued, the TI should
state when the remaining SERs will be issued.

e\. Section 05, "Reporting Requirements." TI results typically are
documented in inspection reports, and the TI must specify the
information to be documented. This section tells where the inspection
results will be documented if not in a routine inspection report. It
also specifies any non-standard distribution of reports documenting the
TI inspections.

f\. Section 06, "Completion Schedule." A TI should include an expected
date for completion of the inspection. This date should be reasonable
and should precede the expiration date of the TI.

g\. Section 07, "Expiration." This section states the effective duration
of the TI. It is typically between 12 and 24 months from the issue date.

h\. Section 08, "Contact." This section gives the name and phone number
of a technical contact (and the lead project manager, if one is
assigned) to answer questions about the TI.

i\. Section 09, "Statistical Data Reporting." This section identifies
the charge codes (e.g., Inspection Procedure Authority System (IPE)
code) for the TI and, if necessary, the inspection procedure and code to
which an inspector should charge time for any follow-up inspections
after the TI has been completed.

j\. Section 10, "Originating Organization Information." This section
identifies the organization responsible for the technical content of the
TI, lists any special training needed to complete the inspection
requirements in the TI, and estimates the average time needed to
complete the inspection.

When the originating organization determines that the stated purpose of
the TI has been accomplished, it prepares a final report. The report
documents the information obtained and the conclusions reached from
reviewing the inspection results. The report may also recommend
additional inspections or changes to the inspection program. The
originating organization sends the final report to the regions, IRIB,
and the Director, NRR or NSIR, as required for ROP programs or to the
Director, NRO, NMSS, FSME or NSIR, as required for non-ROP programs
within 90 days of the expiration date of the TI.

When the stated purpose of the TI has been accomplished, the originating
organization will delete the TI by submitting a document issuing form
(Exhibit 1A, 1B, 1C, or 1D) to the IM coordinator.

k\. Section 11, "References." Lists documents that will be immediately
helpful to the inspector in performing the TI. If documents have been
fully referenced in the text, this section may be omitted.

07.04 [Technical Guidance and 10 CFR Guidance
Documents]{.underline}[]{#__RefHeading___Toc168998178 .anchor}. Part
9900 of the Manual is used to communicate technical guidance to the
regions. A technical guidance document is distributed by a change
notice. The regions should review the document and ensure that
inspectors are aware of it. Technical guidance documents that apply to
licensee activities covered by program inspection procedures are
incorporated into the procedures during their next revision or periodic
review. The organizational unit responsible for the Manual document is
responsible for updating the inspection procedures. Guidance specific to
one procedure or to a few procedures should be included in Section 03 of
those procedures, rather than in Part 9900.

a\. Purpose. Briefly explain why guidance is being provided.

b\. Background. Provides necessary information to understand the
guidance and its context.

c\. Discussion. This section explains the required technical guidance.

07.05 [Appendix]{.underline}[]{#__RefHeading___Toc168998179 .anchor}. An
appendix may contain additional instructional material. Appendixes must
pertain to the IMC, IP, or TI to which they are appended. They should
not contain policies, responsibilities, or requirements, which are to be
covered in the basic document.

a\. Purpose. Briefly explain why an appendix is being provided.

b\. Background. Provide necessary information to understand the guidance
of the appendix, as well as its context.

c\. Discussion. Provide necessary detailed information for the appendix.

07.06 [Table]{.underline}[]{#__RefHeading___Toc168998180 .anchor}. 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.

07.07 [Figure]{.underline}[]{#__RefHeading___Toc168998181 .anchor}.
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.

07.08 [Exhibit]{.underline}[]{#__RefHeading___Toc168998182 .anchor}.
Every exhibit should be numbered (Exhibit 1, 2, etc.) and should be
cited in the text by that number.

07.09 [Issue Date]{.underline}[]{#__RefHeading___Toc168998183 .anchor}.
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 Manual
Coordinator before the document is issued.

07.10 [Document Number]{.underline}[]{#__RefHeading___Toc168998184
.anchor}. 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 Manual Coordinator is
responsible for assigning numbers for new Manual documents. Office
Inspection Manual Coordinators and NRR document originators should
request the NRR Manual Coordinator to reserve numbers for new Manual
documents before the document issuing package is prepared.

END

Exhibits:

1\. Document Issuing Forms, 1A, 1B, 1C, 1D

2\. Example of Comment Resolution Summary

3\. Example of Revision History Page

4\. Example of Document Formatting

5\. Format Requirements Checklist

6\. Guidance for Using Word

Attachment:

Revision History for IMC 0040

Exhibit 1- -- NRR Document Issuing Form (DIF)

To: NRR Manual Coordinator

1\. Number and Title of Document:

2\. ADAMS accession number:

3\. Type of Document

Inspection Manual Chapter (IMC) Inspection Procedure (IP)

Appendix Temporary Instruction (TI)

Technical Guidance 10 CFR Guidance

4\. Type of Action

New document Revision Deletion

5\. ROP Basis

All program documents must conform to Inspection Manual Chapter 0308,
AReactor Oversight Process Basis Document.@

Does the Program Document require a change

to the ROP Basis Document? Yes No

If Yes, then proposed changes must be attached and submitted to the
owner of IMC 0308, who will, within approximately one year from the date
of submission, incorporate the revisions into IMC 0308.

6\. Baseline Inspection Procedures

If a new IP is being prepared for the baseline inspection program, give
the cornerstone to which it applies, the estimated direct inspection
effort (DIE) needed to perform the procedure (with any variations for
number of reactor units), and the inspection frequency.

Baseline Program: Yes No Cornerstone:

Frequency of Inspection: (Quarterly, annually, biennially, etc.)

Annual average DIE: 1 unit 2-unit 3-unit sites

7\. New TIs

If a TI is being issued, state the applicability of the TI (i.e., number
of plants, types of plants, or specific
plants)\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

8\. Document Sensitivity

\_\_\_ Safeguards Information

\_\_\_ Security-Related SUNSI

\_\_\_ Other SUNSI

\_\_\_ Not Sensitive

9\. Route the following to the NRR Manual Coordinator:

a\. An electronic copy of the final version of the document to be
issued, accompanied by a signed paper copy of the document issuing form.

b\. A paper copy of the comment resolution summary (see Exhibit 2), and
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.

c\. A completed ADAMS Document Submission Form (Form 665P) for the
package that will include the final document to be issued and the
comment resolution summary.

10\. List any feedback forms associated with this document revision:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

11\. Is training needed? YES NO

If AYES.@ Provide the type of training and date of completion:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

12\. Approval Signatures (Print AND Signature/ Organization)

  -----------------------------------------------------------------------
  a\.                                 c\.
  ----------------------------------- -----------------------------------
  Originator Date                     NRR Manual Coordinator Date

  b\.                                 d\.

  Originator's Supervisor Date        Deputy Director, DIRS Date
  -----------------------------------------------------------------------

[Note]{.underline}: When placing the document into ADAMS, ensure that
the NRR Inspection Manual Coordinator has AOwner@ rights to the
document.

END

Number range CHAPTERExhibit 1A (Continued)

[Guidelines for the Use of Exhibit 1A]{.underline}\*

+------------------+---------------------------------------------------+
| Responsible      | [Action]{.underline}                              |
| Party            |                                                   |
+------------------+---------------------------------------------------+
| ORIGINATOR       | Completes the document issuing form. Forwards it  |
|                  | with final document and comment resolution        |
|                  | summary to the originator's supervisor.           |
+------------------+---------------------------------------------------+
| ORIGINATOR\'S    | Reviews for approval, signs form, and forwards to |
|                  | next level of review.                             |
| SUPERVISOR       |                                                   |
+------------------+---------------------------------------------------+
| NRR MANUAL       | Reviews document for agreement with IMC 0040      |
|                  | requirements, administrative requirements, and    |
| COORDINATOR      | technical content. Resolves problems with the     |
|                  | originator or originator's supervisor and, if     |
|                  | necessary, returns document for further           |
|                  | processing. Prepares change notice and assigns    |
|                  | numbers to new Manual documents, when             |
|                  | appropriate. Signs form and forward to DIRS/NRR   |
|                  | Deputy Director.                                  |
+------------------+---------------------------------------------------+
| DIRS/NRR DEPUTY  | Approves for issue, all NRR documents.            |
| DIRECTOR         |                                                   |
+------------------+---------------------------------------------------+

\*[Note]{.underline}: A document issuing form is required for every
document issued.

Exhibit 1- -- FSME Document Issuing Form (DIF)

FSME Document Issuing Form (DIF)

To: NRR Manual Coordinator

1\. Number and Title of Document:

2\. Type of Document

Inspection Manual Chapter (IMC) Inspection Procedure (IP)

Appendix Temporary Instruction (TI)

Technical Guidance 10 CFR Guidance

3\. Type of Action

New document Revision Deletion

4\. New TIs

If a TI is being issued, state the applicability of the TI (i.e., number
of facilities, types of facilities, or specific facilities)
[\_\_]{.underline}

[\_\_]{.underline}

5\. Document Sensitivity

\_\_\_ Safeguards Information

\_\_\_ Security-Related SUNSI

\_\_\_ Other SUNSI

\_\_\_ Not Sensitive

6\. Route the following to the FSME Manual Coordinator:

a\. An electronic copy of the final version of the document to be
issued, accompanied by a signed paper copy of the document issuing form.

b\. A paper copy of the comment resolution summary (see Exhibit 2), and
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.

c\. A completed ADAMS Document Submission Form (Form 665P) for the
package that will include the final document to be issued and the
comment resolution summary.

7\. Is training needed? \_\_\_\_\_YES \_\_\_\_\_NO

If "YES." Provide the type of training and date of completion:

8 Approval Signatures (Print AND Signature/ Organization)

[a. d.]{.underline}

Originator Date FSME Manual Coordinator Date

[b. e.]{.underline}

Originator's Supervisor Date NRR Manual Coordinator Date

[c. \_\_\_]{.underline}

Deputy Director, FSME Date

9\. ADAMS Accession Number:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

[Note]{.underline}: When placing the document into ADAMS, ensure that
the FSME and NRR Inspection Manual Coordinators are given "Owner" rights
to the document.

END

Number range CHAPTERExhibit 1B (Continued)

[Guidelines for the use of Exhibit 1B]{.underline}\*

+------------------+---------------------------------------------------+
| [Responsible     | [Action]{.underline}                              |
| Pa               |                                                   |
| rty]{.underline} |                                                   |
+------------------+---------------------------------------------------+
| ORIGINATOR       | Completes the document issuing form. Forwards it  |
|                  | with final document and comment resolution        |
|                  | summary to the originator\'s supervisor.          |
+------------------+---------------------------------------------------+
| ORIGINATOR\'S    | Reviews for approval, signs form, and forwards to |
|                  | next level of review.                             |
| SUPERVISOR       |                                                   |
+------------------+---------------------------------------------------+
| FSME DEPUTY      | Approves for issue, documents associated with     |
| DIRECTOR         | programs under their cognizance. Signs form and   |
|                  | forwards to the FSME Manual Coordinator.          |
+------------------+---------------------------------------------------+
| FSME INSPECTION  | Reviews document for agreement with IMC 0040      |
| MANUAL           | requirements, administrative requirements, signs  |
|                  | form, and forwards to the NRR Manual Coordinator. |
| COORDINATOR      |                                                   |
+------------------+---------------------------------------------------+
| NRR INSPECTION   | Reviews document for agreement with IMC 0040      |
| MANUAL           | requirements, administrative requirements, and    |
|                  | technical content. Resolves problems through      |
| COORDINATOR      | communication with the FSME IM Coordinator and,   |
|                  | if necessary, returns document for further        |
|                  | processing. Prepares change notice and assigns    |
|                  | numbers to new Manual documents, when             |
|                  | appropriate.                                      |
+------------------+---------------------------------------------------+

\*[Note]{.underline}: A document issuing form is required for every
document issued.

Exhibit 1- -- FSME Document Issuing Form (DIF)

To: NRR Manual Coordinator

1\. Number and Title of Document:

2\. Type of Document

Inspection Manual Chapter (IMC) Inspection Procedure (IP)

Appendix Temporary Instruction (TI)

Technical Guidance 10 CFR Guidance

3\. Type of Action

New document Revision Deletion

4\. New TIs

If a TI is being issued, state the applicability of the TI (i.e., number
of facilities, types of facilities, or specific facilities)
[\_\_]{.underline}

[\_\_]{.underline}

5\. Document Sensitivity

\_\_\_ Safeguards Information

\_\_\_ Security-Related SUNSI

\_\_\_ Other SUNSI

\_\_\_ Not Sensitive

6\. Route the following to the NMSS Manual Coordinator:

a\. An electronic copy of the final version of the document to be
issued, accompanied by a signed paper copy of the document issuing form.

b\. A paper copy of the comment resolution summary (see Exhibit 2), and
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.

c\. A completed ADAMS Document Submission Form (Form 665P) for the
package that will include the final document to be issued and the
comment resolution summary.

7\. Is training needed? \_\_\_\_\_YES \_\_\_\_\_NO

If "YES." Provide the type of training and date of completion:

8 Approval Signatures (Print AND Signature/ Organization)

[a. d.]{.underline}

Originator Date NMSS Manual Coordinator Date

[b. e.]{.underline}

Originator's Supervisor Date NRR Manual Coordinator Date

[c. \_\_\_]{.underline}

Deputy Director, NMSS Date

9\. ADAMS Accession Number:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

[Note]{.underline}: When placing the document into ADAMS, ensure that
the NMSS and NRR Inspection Manual Coordinators are given "Owner" rights
to the document.

END

Number range CHAPTERExhibit 1C (Continued)

[Guidelines for the Use of Exhibit 1C]{.underline}\*

+------------------+---------------------------------------------------+
| Responsible      | [Action]{.underline}                              |
| Party            |                                                   |
+------------------+---------------------------------------------------+
| ORIGINATOR       | Completes the document issuing form. Forwards it  |
|                  | with final document and comment resolution        |
|                  | summary to the originator\'s supervisor.          |
+------------------+---------------------------------------------------+
| ORIGINATOR\'S    | Reviews for approval, signs form, and forwards to |
|                  | next level of review.                             |
| SUPERVISOR       |                                                   |
+------------------+---------------------------------------------------+
| NMSS DEPUTY      | Approves for issue, documents associated with     |
| DIRECTOR         | programs under their cognizance. Signs form and   |
|                  | forwards to the NMSS Manual Coordinator.          |
+------------------+---------------------------------------------------+
| NMSS INSPECTION  | Reviews document for agreement with IMC 0040      |
| MANUAL           | requirements, administrative requirements, signs  |
|                  | form, and forwards to the NRR Manual Coordinator. |
| COORDINATOR      |                                                   |
+------------------+---------------------------------------------------+
| NRR INSPECTION   | Reviews document for agreement with IMC 0040      |
| MANUAL           | requirements, administrative requirements, and    |
|                  | technical content. Resolves problems through      |
| COORDINATOR      | communication with the NMSS IM Coordinator and,   |
|                  | if necessary, returns document for further        |
|                  | processing. Prepares change notice and assigns    |
|                  | numbers to new Manual documents, when             |
|                  | appropriate.                                      |
+------------------+---------------------------------------------------+

\*[Note]{.underline}: A document issuing form is required for every
document issued.

Exhibit 1-D -- NRO Document Issuing Form (DIF)

To: NRR Manual Coordinator

1\. Number and Title of Document:

2\. Type of Document

Inspection Manual Chapter (IMC) Inspection Procedure (IP)

Appendix Temporary Instruction (TI)

Technical Guidance 10 CFR Guidance

3\. Type of Action

New document Revision Deletion

4\. New TIs

If a TI is being issued, state the applicability of the TI (i.e., number
of facilities, types of facilities, or specific facilities)
[\_\_]{.underline}

[\_\_]{.underline}

5\. Document Sensitivity

\_\_\_ Safeguards Information

\_\_\_ Security-Related SUNSI

\_\_\_ Other SUNSI

\_\_\_ Not Sensitive

6\. Route the following to the NRO Manual Coordinator:

a\. An electronic copy of the final version of the document to be
issued, accompanied by a signed paper copy of the document issuing form.

b\. A paper copy of the comment resolution summary (see Exhibit 2), and
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.

c\. A completed ADAMS Document Submission Form (Form 665P) for the
package that will include the final document to be issued and the
comment resolution summary.

7\. Is training needed? \_\_\_\_\_YES \_\_\_\_\_NO

If "YES." Provide the type of training and date of completion:

8 Approval Signatures (Print AND Signature/ Organization)

[a. e.]{.underline}

NRO Technical Lead Date CCIB Branch Chief Date

[b. f.]{.underline}

CCIB Program Lead Date Director, DCIP Date

[c. g.]{.underline}

NRO Technical Lead\'s Supervisor Date NRR Manual Coordinator Date

[d.]{.underline}

NRO Manual Coordinator Date

(CCIB Inspection Procedures Team Leader)

9\. ADAMS Accession Number:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

[Note]{.underline}: When placing the document into ADAMS, ensure that
the NRO and NRR Inspection Manual Coordinators are given "Owner" rights
to the document.

END

Exhibit 1D (Continued)

[Guidelines for the Use of Exhibit 1D]{.underline}\*

+------------------+---------------------------------------------------+
| [Responsible     | [Action]{.underline}                              |
| Pa               |                                                   |
| rty]{.underline} |                                                   |
+------------------+---------------------------------------------------+
| NRO TECHNICAL    | Completes the document issuing form. Forwards it  |
| LEAD             | with final document and comment resolution        |
|                  | summary to the CCIB Program Lead.                 |
+------------------+---------------------------------------------------+
| CCIB PROGRAM     | Reviews for approval, signs form, and forwards to |
| LEAD             | Technical Lead's Supervisor.                      |
+------------------+---------------------------------------------------+
| NRO TECHNICAL    | Reviews for approval, signs form, and forwards to |
| LEAD\'S          | the NRO Inspection Manual Coordinator (CCIB       |
| SUPERVISOR       | Inspection Procedures Team Leader).               |
+------------------+---------------------------------------------------+
| NRO INSPECTION   | Reviews document for agreement with IMC 0040      |
| MANUAL           | requirements, administrative requirements, signs  |
|                  | form, and forwards to the CCIB Branch Chief.      |
| COORDINATOR      |                                                   |
| (CCIB INSPECTION |                                                   |
| PROCEDURES TEAM  |                                                   |
| LEADER)          |                                                   |
+------------------+---------------------------------------------------+
| CCIB BRANCH      | Reviews for approval, signs form, and forwards to |
| CHIEF            | the                                               |
|                  |                                                   |
|                  | Director, DCIP.                                   |
+------------------+---------------------------------------------------+
| DIRECTOR, DCIP   | Approves for issue, NRO documents. Signs form and |
|                  | forwards to the NRR Inspection Manual             |
|                  | Coordinator.                                      |
+------------------+---------------------------------------------------+
| NRR INSPECTION   | Reviews document for agreement with IMC 0040      |
| MANUAL           | requirements, administrative requirements, and    |
|                  | technical content. Resolves problems through      |
| COORDINATOR      | communication with the NRO IM Coordinator and, if |
|                  | necessary, returns document for further           |
|                  | processing. Prepares change notice and assigns    |
|                  | numbers to new Manual documents, when             |
|                  | appropriate.                                      |
+------------------+---------------------------------------------------+

\*[Note]{.underline}: A document issuing form is required for every
document issued.

Number range CHAPTERExhibit 2 -- Example of Comment Resolution Summary

Resolution of Comments for

IMC XXXX (Date)

  -------------------------------------------------------------------------------
  Number range    Comment                         Added   Remarks
  CHAPTERSource                                           
  --------------- ------------------------------- ------- -----------------------
  R-I             The first comment is stated or  Yes     No remarks necessary if
                  paraphrased.                            comment incorporated in
                                                          full.

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

  R-II            No comments                             

  R-III           Xxxx xxxxx xxxx xxx xx.         Yes     Explain why, if comment
                                                          only partially
                                                          incorporated.

  R-IV            Xxx xxxxx xxx xxxx.             Yes     \...

  NMSS            Xxxx xxxx xxxxx xx.             Yes     \...

  FSME            Xxxx xxxx xxxxx xx.             Yes     \...
  -------------------------------------------------------------------------------

Exhibit 3 -- Example of Revision History Page

+--------+------+--------------+-------------+----------+--------------+
| Comm   | I    | Description  | Training    | Training | Comment      |
| itment | ssue | of Change    | Needed      | Co       | Resolution   |
| Tr     | Date |              |             | mpletion | Accession    |
| acking |      |              |             | Date     | Number       |
| Number |      |              |             |          |              |
+--------+------+--------------+-------------+----------+--------------+
| N/A    | 3/1  | Editorial    | None        | N/A      | N/A          |
|        | 7/06 | changes.     |             |          |              |
|        |      | Completed 4  |             |          |              |
|        |      | year         |             |          |              |
|        |      | historical   |             |          |              |
|        |      | CN search    |             |          |              |
+--------+------+--------------+-------------+----------+--------------+
| N/A    | 11/1 | This         | None        | N/A      | N/A          |
|        | 8/04 | document has |             |          |              |
|        |      | been revised |             |          |              |
|        |      | to include   |             |          |              |
|        |      | feedback     |             |          |              |
|        |      | from         |             |          |              |
|        |      | inspectors   |             |          |              |
|        |      | and also for |             |          |              |
|        |      | Editorial    |             |          |              |
|        |      | changes      |             |          |              |
+--------+------+--------------+-------------+----------+--------------+
| C-1    | 6/1  | Incorporate  | Web-based   | 4/20/04  | ML 060905000 |
|        | 6/04 | comments of  | training    |          |              |
| Refe   |      | GL 04-01     | for all     |          |              |
| rence: |      |              | power       |          |              |
| G      |      |              | reactor     |          |              |
| eneric |      |              | inspectors  |          |              |
| Letter |      |              |             |          |              |
| (GL)   |      |              |             |          |              |
| 04-01  |      |              |             |          |              |
+--------+------+--------------+-------------+----------+--------------+
|        |      |              |             |          |              |
+--------+------+--------------+-------------+----------+--------------+
|        |      |              |             |          |              |
+--------+------+--------------+-------------+----------+--------------+
|        |      |              |             |          |              |
+--------+------+--------------+-------------+----------+--------------+

Exhibit 4 -- Example of Document Formatting

**NRC INSPECTION MANUAL** ABCD

MANUAL CHAPTER XXXX

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(S) (OR POLICY)

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

02.01 [Subsections]{.underline}. 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 x xxx xxx.

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.

2.  [Xxxxxxx xxxxxxxxxxx]{.underline}. Xxx xxxx x xxxxxxx xxxxx xxxxxxxx
    xxxxxxxxx x xxxx xxxxxx xx xxxx.

Exhibit 5 -- Format Requirements Checklist

[Note]{.underline}: Refer to Exhibit 6 for instructions on how to format
using Word.

Page one margins:

G Top and bottom margins at 0.50"

G Left and right margins at 1.0"

Margins for following pages:

G Top margin at 0.75"

G Bottom margin at 0.50"

G Left and right margins at 1.0"

Tab settings:

G Relative to left margin: 0.19", 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"

G Default tab stops: 0.42"

Page one requirements:

G 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.

Example:

NRC INSPECTION MANUAL IRIB

G Line 2: Document title in all CAPS in Arial 12-point font, centered
with horizontal line (6.50 inch width) above and below document title.

Example:

MANUAL CHAPTER 0040

G Lines 3 and 4: Blank

G Line 5: Document Name in all CAPS in Arial 12-point font, centered.

> Example:

PREPARING, REVISING, AND ISSUING DOCUMENTS

FOR THE NRC INSPECTION MANUAL

Exhibit 5 (Continued)

Body of document:

G 12-point Arial font (including footers)

G Justification set to full

Page numbers:

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

G Number the table of contents with lower-case Roman numerals (i, ii,
iii).

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

G 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).

Footers:

G 'Issue Date: XX/XX/XX' against left margin

G Page number in center

G '(Document Number)' against right margin

Official Use Only Document Headers/ Footers:

G Follow the SUNSI guidance and place the required wording (e.g.,
"Official Use Only") centered at the uppermost and lowermost margin of
all applicable pages.

Table of Contents:

G List titles and page numbers for main body of document

G List section titles without page numbers for remainder of document

Exhibit 6 -- Guidance for Using Word

Word does not duplicate all of the functions of WordPerfect. The
following new format requirements reflect the capabilities of Word:

> G Text that was previously flush at the right (e.g., organizational
> code on the title page and the document number in the footer) should
> be displayed as close to the right margin as possible by setting the
> right-most margin appropriately.
>
> G Entries in the table of contents for the main body of the document
> shall list titles and page numbers. For attachments that follow the
> main body, only the titles shall be listed. (See Table of Contents
> section below for instructions on creating a table of contents.)
>
> G 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 (using the commands:
> **Insert/Break/Next Page or Continuous**).

[Note]{.underline}: Word commands are in bold font.

First page:

> G For 1^st^ line only ('NRC Inspection Manual' and organization code),
> set left tabs at 1.5" and 6.13." If organizational code is longer than
> 4 letters, set the second tab closer to the left margin.
>
> G To create the horizontal lines above and below the document title:
> **View/Toolbars/Drawing/AutoShapes/Lines**. Draw the line with the
> mouse. Verify that the length is 6.50" by right clicking, then
> **Format AutoShape/Size** and adjusting the width, if necessary.

Body of document:

G Use styles (**Format/Styles and Formatting**) to create new styles for
sections, subsections, etc. Highlight with the mouse similar sections
and click on the corresponding style name to apply the selected style to
the highlighted text.

[Note]{.underline}: In IMC 0040, new styles are created for Lettered,
Numbered, Header 01, Header 02, and Appendix Title.

Footers:

G **View/Header and Footer.**

G Set tabs from Center alignment at 3.0", 4.0", and 5.96." Longer
document numbers will require a smaller right-most tab position.

G Select Arial 12-point font.

Exhibit 6 (Continued)

Margins:

G **File/Page Setup**. Enter margins (see Exhibit 5).

Page numbering in Table of Contents and Main Body:

G **Insert/Page Numbers/Bottom of Page (Footer), Alignment Center.**

G Click Format to select number format.

Sections after the Main Body (e.g., Attachment, Appendix, Figure,
Table):

> G Create a new section by inserting a page break (**Insert/Break/Next
> Page**).
>
> G If the document contains a table of contents:
>
> G Create and assign a new style (**Format/Styles and Formatting)** for
> the titles of all sections following the main body.

[Note]{.underline}: In IMC 0040, the style Appendix Title was created
for titles of all sections following the table of contents.

G Enter the footer as follows:

G **View/Header and Footer** to display Header/Footer toolbar.

> G In the Header and Footer toolbar, select **Page SetUp/Layout** and
> then 'Section start at New Page' and 'Apply to this section.'
>
> G In the footer, type of the prefix associated with the section
> immediately before the page number (e.g., E6-).
>
> G On the main menu: **Insert/Page Numbers/Format**, 'Start at 1.'
>
> G On Header and Footer toolbar, click on 'Link to Previous,' to remove
> the link from the previous footer. (This is a toggle switch.)

Table of Contents:

> G In the Outline View (**View/Outline**):
>
> G Assign Level 1 to the sections:
>
> Example: 0040-01 PURPOSE
>
> G Assign Level 2 to the 1^st^ line of the subsections that are to be
> listed in the Table of Contents.
>
> Example: 03.01 [General]{.underline}

G In the Print Layout View (**View/Print Layout**):

> G Create and assign a style (e.g., Header 01) to the number and name
> of every section heading at the 1^st^ level.
>
> Example: 0040-01 PURPOSE is assigned the style Header 01 by
> **Format/Style/New Style**/Enter Header 01. Click and select with the
> mouse all other 1^st^ level section numbers and names and click on
> Header 01.
>
> G In the Print Outline View, select with the mouse, the numbers and
> titles associated with each of the subsections that are to be listed
> in the table of contents. Depress ALT + SHIFT + O, and then select
> Level 2.
>
> Exhibit 6 (Continued)
>
> G Automatically generate the Table of Contents:
>
> G Click on the page of the document (it should be a separate section)
> where the Table of Contents is to appear.
>
> G **Insert/Reference/Index and Tables/Table of Contents**.
>
> G Check only 'Show page numbers' and 'Right align page numbers' and
> enter show levels: '2,' and 'tab leader:.....'.
>
> G Click on Options and check 'Styles,' and 'Table Entry Fields,' and
> enter for the 'TOC level;': Header 01: 1 and Block Text: 2.
>
> G Click OK to generate Table of Contents.
>
> G To list names of sections following the main body after the Table of
> Contents:
>
> G Position the mouse at the end of the generated Table of Contents
> section.

G **Insert Reference/Index and Tables/Table of Figures.**

G Uncheck all boxes so that no page numbers will display.

> G Click options and then check boxes 'Style' and 'Table Entry Fields'
> with the style name assigned to titles of the attachments (e.g.,
> Appendix Title) displayed.

G Click OK to generate List of Figures without page numbers.

G To change for mat to Arial 12-point font:

G Select text to be formatted with mouse

> G **Format/Font/**Select 'Arial,' 'Regular, and '12.' Uncheck all
> check boxes.

To display redline:

> G Double-click on the TRK button (located left of center on bottom
> toolbar) to turn on and off redline.
>
> G **View Toolbars/Reviewing** to display reviewing toolbar and select
> in the Show pull-down menu 'Final' and 'Insertions and Deletions.'
>
> G Under **Show Options**:
>
> G Select Insertions/Color and Changed Lines/Outside Border.
>
> G To show strikeouts (for documents going out for comment), select
> Deletions/Color.
>
> G To not show strikeouts (for final drafts being issued), select
> Deletions/None.

Attachment 1 -- Revision History for IMC 0040

+--------+--------+-------------------+--------+-------+--------------+
| Comm   | Issue  | Description of    | Tr     | Tra   | Comment      |
| itment | Date   | Change            | aining | ining | Resolution   |
| Tr     |        |                   | Re     | Compl | Accession    |
| acking |        |                   | quired | etion | Number       |
| Number |        |                   |        | Date  |              |
+--------+--------+-------------------+--------+-------+--------------+
| C1     | 02     | Revised to ensure | None   | N/A   | N/A          |
|        | /02/04 | that revisions of |        |       |              |
| Refe   |        | inspection        |        |       |              |
| rence: |        | procedures do not |        |       |              |
| Davis  |        | inadvertently     |        |       |              |
| -Besse |        | delete inspection |        |       |              |
| L      |        | requirements that |        |       |              |
| essons |        | were added as a   |        |       |              |
| L      |        | result of an      |        |       |              |
| earned |        | event or          |        |       |              |
| Task   |        | occurrence that   |        |       |              |
| Force  |        | had generic       |        |       |              |
| Item   |        | applicability.    |        |       |              |
| 3.     |        |                   |        |       |              |
| 1.2(3) |        |                   |        |       |              |
| and    |        |                   |        |       |              |
| P      |        |                   |        |       |              |
| roblem |        |                   |        |       |              |
| Id     |        |                   |        |       |              |
| entifi |        |                   |        |       |              |
| cation |        |                   |        |       |              |
| Form   |        |                   |        |       |              |
| 20     |        |                   |        |       |              |
| 05-008 |        |                   |        |       |              |
+--------+--------+-------------------+--------+-------+--------------+
| N/A    | 11     | Complete rewrite  | None   | N/A   | ML 053210329 |
|        | /28/05 | of document       |        |       |              |
|        |        | structure, add    |        |       |              |
|        |        | requirement for   |        |       |              |
|        |        | revision history  |        |       |              |
|        |        | page, minor       |        |       |              |
|        |        | revision to DIF.  |        |       |              |
|        |        | Completed 4 year  |        |       |              |
|        |        | historical CN     |        |       |              |
|        |        | search            |        |       |              |
+--------+--------+-------------------+--------+-------+--------------+
| N/A    | 03     | This document is  | None   | N/A   | ML 070570542 |
|        | /05/07 | being revised to  |        |       |              |
|        |        | update and        |        |       |              |
|        | CN     | clarify the       |        |       |              |
|        | 07-008 | processes that    |        |       |              |
|        |        | will be used to   |        |       |              |
|        |        | prepare, revise,  |        |       |              |
|        |        | and issue Manual  |        |       |              |
|        |        | documents,        |        |       |              |
|        |        | including         |        |       |              |
|        |        | processes used by |        |       |              |
|        |        | the various NRC   |        |       |              |
|        |        | offices that      |        |       |              |
|        |        | conduct           |        |       |              |
|        |        | inspection.       |        |       |              |
+--------+--------+-------------------+--------+-------+--------------+

+--------+--------+-------------------+--------+-------+--------------+
| N/A    | 06     | This document has | None   | N/A   | ML071580749  |
|        | /20/07 | been revised to   |        |       |              |
|        |        | establish         |        |       |              |
|        | CN     | deadlines for     |        |       |              |
|        | 07-020 | submission of     |        |       |              |
|        |        | Manual documents  |        |       |              |
|        |        | in WordPerfect    |        |       |              |
|        |        | and Word formats; |        |       |              |
|        |        | update the Office |        |       |              |
|        |        | of New Reactors'  |        |       |              |
|        |        | document issuing  |        |       |              |
|        |        | 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 Word.          |        |       |              |
+--------+--------+-------------------+--------+-------+--------------+
|        |        |                   |        |       |              |
+--------+--------+-------------------+--------+-------+--------------+