TN: DT-05-19

To: NRC Management Directives Custodians

Subject: Transmittal of Management Directive 3.57,

"Correspondence Management"

Purpose: Directive and Handbook 3.57 are totally revised to establish

policy and procedures for—

• preparing and handling correspondence in paper and

electronic environments, including the use of electronic

mail and the Agencywide Documents Access and

Management System (ADAMS);

• identifying the responsibilities of those involved in the

correspondence process; and

• ensuring that correspondence is

-- accurate;

-- written in plain English; and

-- handled in an appropriate time frame for its source,

subject matter, and sensitivity.

No change bars appear in MD 3.57 because of the extent

of the revision.

Office of Origin: Office of the Executive Director for Operations

Contact: Patricia N. Tressler, 301-415-1718

U.S. NUCLEAR REGULATORY COMMISSION

DIRECTIVE TRANSMITTAL

OFFICE OF ADMINISTRATION
- 2 -

Date Approved: August 4, 1994 (Revised: October 18, 2005)

Volume: 3 Information Management

Part: 2 Records Management

Directive: 3.57 Correspondence Management

Availability: Rules and Directives Branch

Office of Administration

Michael T. Lesar, 301-415-7163

Christy Moore, 301-415-7086
Correspondence

Management

Directive

3.57
Volume 3, Part 2 - Records Management

Correspondence Management

Directive 3.57

Approved: August 4, 1994 iii

(Revised: October 18, 2005)

Contents

Policy ....................................................... 1

Objectives ................................................... 1

Organizational Responsibilities and

Delegations of Authority ................................. 2

Executive Director for Operations (EDO) . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

Director, Office of Information Services (OIS) ......................... 2

Office of the General Counsel (OGC) ............................... 2

Director, Office of Congressional Affairs (OCA) ....................... 2

Office of the Secretary of the Commission (SECY) ..................... 3

Office Directors and Regional Administrators ......................... 4

Director, Infrastructure and Computer Operations Division (ICOD), OIS ..... 5

Director, Division of Nuclear Security (DNS), Office of Nuclear

Security and Incident Response (NSIR) .......................... 6

Director, Administrative Services Division (DAS), Office of

Administration (ADM) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

Director, Division of Facilities and Security (DFS), ADM ................. 6

Administrative and Correspondence Staff (ACS), Office of the Executive 

Director for Operations (OEDO) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

Applicability ................................................. 7

Handbook .................................................... 7

References .................................................. 8
Approved: August 4, 1994 1

(Revised: October 18, 2005)

U. S. Nuclear Regulatory Commission

Volume: 3 Information Management

Part: 2 Records Management EDO

Correspondence Management

Directive 3.57

Policy

(3.57-01)

The policy of the U.S. Nuclear Regulatory Commission requires

that all official correspondence conform to the policies, standards,

and procedures of this directive and handbook.

Objectives

(3.57-02)

• To ensure that correspondence is consistent with agency and

programmatic policy. (021) 

• To produce accurate correspondence. (022)

• To ensure that correspondence is written in plain language,

consistent with the NRC Plain Language Action Plan, so that

it is accurate, clear, and concise. (023)

• To establish procedures for preparing and handling NRC

correspondence in both paper and electronic environments.

(024)

• To establish procedures for identifying by the source, subject

matter, or sensitivity of incoming correspondence whether it

requires expeditious handling as principal correspondence.

(025)

• To produce correspondence that is uniform in style and

format. (026)
Volume 3, Part 2 - Records Management

Correspondence Management

Directive 3.57

2 Approved: August 4, 1994

(Revised: October 18, 2005)

Objectives

(3.57-02) (continued)

• To implement Federal and NRC policies and procedures for

managing correspondence. (027)

Organizational Responsibilities and

Delegations of Authority

(3.57-03)

Executive Director for Operations (EDO)

(031)

Oversees the Correspondence Management Program.

Director, Office of Information Services (OIS)

(032)

Oversees any infrastructure involved in producing, storing, and

transmitting correspondence.

Office of the General Counsel (OGC)

(033)

Reviews for legal considerations principal correspondence and

other communications referred to OGC by offices reporting to the

Commission and to the EDO.

Director, Office of Congressional

Affairs (OCA)

(034)

• Reviews communications from congressional sources,

acknowledges their receipt, and provides guidance to offices
Volume 3, Part 2 - Records Management

Correspondence Management

Directive 3.57

Approved: August 4, 1994 3

(Revised: October 18, 2005)

Organizational Responsibilities and

Delegations of Authority

(3.57-03) (continued)

Director, Office of Congressional

Affairs (OCA)

(034) (continued)

assigned action, as necessary, on the nature of required

responses. (a)

• Reviews and concurs in replies to congressional

correspondence prepared by NRC offices. (b)

• Dispatches all mail addressed to Congress. (c)

• Monitors, as necessary, and concurs in all congressionalrelated Commission papers before they are distributed to the

Commission. (d)

• Monitors material sent for information purposes to House and

Senate committees that have jurisdiction over NRC

activities. (e)

Office of the Secretary of

the Commission (SECY)

(035)

• Receives and reviews all communications addressed to the

Chairman or the Commission and, upon request,

communications addressed to individual Commissioners or

offices that report directly to the Commission, assigning these

communications action and suspense dates and tracking their

status until complete. (a)

• Receives and reviews all communications addressed to SECY,

assigning these communications action and suspense dates

and tracking their status until complete. (b)
Volume 3, Part 2 - Records Management

Correspondence Management

Directive 3.57

4 Approved: August 4, 1994

(Revised: October 18, 2005)

Organizational Responsibilities and

Delegations of Authority

(3.57-03) (continued)

Office of the Secretary of 

the Commission (SECY)

(035) (continued)

• Reviews and controls, as appropriate, staff correspondence

prepared at the direction of the Commission. (c)

• Determines those categories of incoming communications that

warrant identification and control as principal correspondence

and functions as the central point of control for action

assignments. (d)

• Coordinates principal correspondence referrals to and from

Commission-level offices and the Office of the EDO (OEDO)

and acts in direct liaison with those offices on related inquiries

and status reporting. (e)

Office Directors and

Regional Administrators

(036)

• Designate Correspondence Officers for their organizations to

coordinate and control principal correspondence actions and

apprise the EDO of any redesignation of an officer. (a)

• Ensure that the following principal correspondence originated

in their organization is edited by a technical editor (see the

Section 8 definition for technical editing): (b)

– principal correspondence going to or responses being sent

by the Commission; (i)

– principal correspondence being signed by the EDO; (ii)
Volume 3, Part 2 - Records Management

Correspondence Management

Directive 3.57

Approved: August 4, 1994 5

(Revised: October 18, 2005)

Organizational Responsibilities and

Delegations of Authority

(3.57-03) (continued)

Office Directors and

Regional Administrators

(036) (continued)

– other complex or sensitive principal correspondence at the

discretion of the office director or the regional

administrator. (iii)

• Ensure that the official record copy of letters, memoranda, and

other correspondence qualifying as official agency records is

saved in the appropriate recordkeeping system, such as the

Agencywide Documents Access and Management System

(ADAMS). (c)

• Ensure that their staffs implement this directive and handbook

within their areas of responsibility. (d)

• Ensure that the originator has appropriately indicated the

sensitivity of the correspondence and whether it is to be made

available to the public, and that it is appropriately marked. (e)

• Ensure that the correspondence produced under their purview

is technically accurate and well written in plain English so that

it is readable. (f)

• Are responsible for oversight of the technical accuracy and

overall quality of correspondence under their purview. (g)

Director, Infrastructure and Computer

Operations Division (ICOD), OIS

(037)

Provides and maintains hardware and software necessary to

produce and handle correspondence and official agency records.
Volume 3, Part 2 - Records Management

Correspondence Management

Directive 3.57

6 Approved: August 4, 1994

(Revised: October 18, 2005)

Organizational Responsibilities and

Delegations of Authority

(3.57-03) (continued)

Director, Division of Nuclear Security

(DNS), Office of Nuclear Security

and Incident Response (NSIR)

(038)

Establishes security classification requirements and requirements

for the receipt, handling, control, and transmission of classified

correspondence.

Director, Division of Administrative

Services (DAS), Office of

Administration (ADM)

(039)

Provides technical editing services for the agency’s principal

correspondence as specified in Section (3.57-036).

Director, Division of Facilities

and Security (DFS), ADM

(0310)

Establishes and monitors security requirements for the receipt,

handling, control, and transmission of classified correspondence.

Monitors compliance with security requirements for sensitive

unclassified correspondence.

Administrative and Correspondence Staff

(ACS), Office of the Executive Director

for Operations (OEDO)

(0311)

• Determines and stipulates, in coordination with SECY,

requirements and procedures for processing principal

correspondence. (a)
Volume 3, Part 2 - Records Management

Correspondence Management

Directive 3.57

Approved: August 4, 1994 7

(Revised: October 18, 2005)

Organizational Responsibilities and

Delegations of Authority

(3.57-03) (continued)

Administrative and Correspondence Staff

(ACS), Office of the Executive Director

for Operations (OEDO)

(0311) (continued)

• Reviews and processes all communications addressed or

referred to OEDO. (b)

• Determines those categories of incoming communications that

warrant identification and control as principal correspondence

and functions as the central point of control for action

assignments within OEDO and for all offices and divisions that

report to the EDO. (c)

• Coordinates principal correspondence referrals to and from

SECY and acts as direct liaison with SECY on related inquiries

and status reporting. (d)

Applicability

(3.57-04)

This directive and handbook apply to all NRC headquarters and

regional office employees except the NRC boards and advisory

committees that report directly to the Commission.

Handbook

(3.57-05)

Handbook 3.57 contains procedures and guidance for preparing

NRC correspondence.
Volume 3, Part 2 - Records Management

Correspondence Management

Directive 3.57

1

Available from the NRC Supply Store

2

Available in the Agencywide Documents Access and Management System (ADAMS) or by

request to e-mail address <Distribution>. Ask for the latest revision.

8 Approved: August 4, 1994

(Revised: October 18, 2005)

References

(3.57-06)

U.S. Government Printing Office, Mail Stop SSOP, Washington,

D.C., U.S. Government Printing Office Style Manual, 2000.

1

U.S. Nuclear Regulatory Commission

Internal Commission Procedures at http://www.nrc.gov.

Sensitive Unclassified Non-Safeguards Information (SUNSI)

Web site at http://www.internal.nrc.gov/sunsi.

Management Directives2—

2.3, "Telecommunications."

3.1, "Freedom of Information Act."

3.4, "Release of Information to the Public."

3.13, "Printing."

3.23, "Mail Management."

3.50, "Document Management."

3.53, "NRC Records Management Program."

10.159, "The NRC Differing Professional Opinions

Program."

12.2, "NRC Classified Information Security Program."
Volume 3, Part 2 - Records Management

Correspondence Management

Directive 3.57

3

Available in ADAMS or by request to e-mail address <Distribution>. Ask for the latest version.

Approved: August 4, 1994 9

(Revised: October 18, 2005)

References

(3.57-06) (continued)

NUREG-Series Publications3

—

NUREG-0544, "NRC Collection of Abbreviations."

NUREG-0910, "NRC Comprehensive Records Disposition

Schedule."

NUREG-1379, "NRC Editorial Style Guide."

NUREG/BR-0210, "The ABCs of Better Correspondence."

NUREG/BR-0248, "The Mail Services Center Reference

Guide."

NUREG/BR-0273, "ADAMS Desk Reference Guide."

U.S. Postal Service, U.S. Postal Service Publications—

"A Customer’s Guide to Mailing," available online at http://www.

usps.com/customersguide/dmm100.htm.

Publication 5, "Let's Do Business," at http://www.usps.com/

cpim/ftp/pubs/pub5/welcome.htm.

Publication 28, "Postal Addressing Standards," at http://pe.

usps.gov/cpim/ftp/pubs/Pub28/pub28.pdf.
Correspondence

Management

Handbook

3.57
Volume 3, Part 2 - Records Management

Correspondence Management

Handbook 3.57 Sections 1 - 8

Approved: August 4, 1994 iii

(Revised: October 18, 2005)

Contents

1 Handbook Overview ......................................... 1

1.1 Correspondence Types ...................................... 1

1.1.1 Principal Correspondence .............................. 1

1.1.2 General Correspondence ............................... 2

1.1.3 Supplementary Correspondence ......................... 2

1.2 Official Agency Records ..................................... 3

1.3 Security . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

1.4 The Agencywide Documents Access and Management

System (ADAMS) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

Figures

1.1 Preprinted Postcard. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

1.2 Note Letterhead . ........................................... 7

1.3 Routing Slip . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

1.4 Note to File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

2 Responsibilities for Writing and Handling Correspondence . . . . 10

2.1 The Office of the Secretary of the Commission (SECY) . . . . . . . . . . . . . 10

2.2 The Office of the Executive Director for Operations (OEDO) . . . . . . . . . 10

2.3 Office Directors and Regional Administrators . . . . . . . . . . . . . . . . . . . . . 11

2.4 Office or Regional Correspondence Officers . . . . . . . . . . . . . . . . . . . . . . 11

2.5 The Correspondence Originator . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

2.6 Those Who Concur . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

2.7 Signatories. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

2.8 Secretaries and Office Automation Assistants . . . . . . . . . . . . . . . . . . . . 16

Tables

2.1 Signatures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18

2.2 Originator’s Checklist for Ensuring Accuracy of Correspondence . . . . . . 20

Figures

2.1 Office of the Secretary Correspondence Control Ticket (Yellow Ticket) . . 21
Volume 3, Part 2 - Records Management

Correspondence Management

Handbook 3.57 Sections 1 - 8

iv Approved: August 4, 1994

(Revised: October 18, 2005)

Contents (continued)

3 Writing Guidelines and E-Mail Etiquette . . . . . . . . . . . . . . . . . . . . . . 22

3.1 Writing Guidelines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22

3.2 E-Mail Etiquette . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24

3.2.1 Guidance on E-Mails . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24

3.2.2 Tools and Tips for E-Mails . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25

3.2.2.1 Tracking the Status of E-Mails . . . . . . . . . . . . . . . . . . . 25

3.2.2.2 Requesting a Reply . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

3.2.2.3 Attaching E-Mails . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

3.2.2.4 Giving Priority to an E-Mail . . . . . . . . . . . . . . . . . . . . . . 26

3.2.2.5 Sending a Delayed E-Mail . . . . . . . . . . . . . . . . . . . . . . 26

3.2.2.6 Creating an Away Message . . . . . . . . . . . . . . . . . . . . . 27

3.2.2.7 Delegating E-Mails With "Out of Office" . . . . . . . . . . . . 28

3.2.3 Professional Development Center (PDC) GroupWise Training . . 29

4 General Procedures for All Types of Correspondence . . . . . . . . . 30

4.1 Response Dates . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30

4.1.1 Controlled Correspondence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31

4.1.1.1 Principal Correspondence . . . . . . . . . . . . . . . . . . . . . . . . 31

4.1.1.2 General Correspondence . . . . . . . . . . . . . . . . . . . . . . . . 32

4.1.2 Electronic Mail Messages . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32

4.2 Writing and Preparing Correspondence . . . . . . . . . . . . . . . . . . . . . . . . . 32

4.2.1 Designated Originator . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32

4.2.2 Secretary or Office Automation Assistant . . . . . . . . . . . . . . . . . . . 32

4.2.3 Stationery . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34

4.3 General Formatting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35

4.3.1 Fonts. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35

4.3.2 Margins. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35

4.3.3 Word Processor Tools . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35

4.3.4 Quotations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35

4.3.5 Continuation Page . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36

4.4 Notations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36

4.4.1 First Page . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36

4.4.1.1 Contact . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37

4.4.1.2 Courtesy Copies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37

4.4.1.3 Enclosure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
Volume 3, Part 2 - Records Management

Correspondence Management

Handbook 3.57 Sections 1 - 8

Approved: August 4, 1994 v

(Revised: October 18, 2005)

Contents (continued)

4 General Procedures for All Types of Correspondence (continued)

4.4.1.4 Attachment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38

4.4.1.5 Separate Cover . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38

4.4.2 Concurrence Page . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38

4.4.2.1 Concurrence Grids . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38

4.4.2.2 Agencywide Documents Access and Management

 System (ADAMS) Identification . . . . . . . . . . . . . . . . . 38

4.4.2.3 Docket Numbers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38

4.4.2.4 Distribution Copies . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39

4.5 Assembly. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39

4.6 Reproduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40

4.7 Dispatch. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40

Tables

4.1 Response Time Frames . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30

4.2 Continuation Page Headers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36

Figures

4.1 Electronic Mail (E-Mail) Message . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41

4.2 Page-Size Letterhead . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42

4.3 Assembly Tabs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43

5 Commission Papers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44

5.1 Types. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44

5.2 Writing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44

5.3 Concurrence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45

5.4 Signing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45

5.5 Assembling for Signature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46

5.6 Distribution. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46

Figures

5.1 Commission Paper . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47

5.2 Commission Paper Letterheads and Spacing . . . . . . . . . . . . . . . . . . . . . 51
Volume 3, Part 2 - Records Management

Correspondence Management

Handbook 3.57 Sections 1 - 8

vi Approved: August 4, 1994

(Revised: October 18, 2005)

Contents (continued)

6 Letters. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52

6.1 Components and Formatting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52

6.1.1 Date . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52

6.1.2 Address Block . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53

6.1.3 Subject Line . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54

6.1.4 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54

6.1.5 Salutation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55

6.1.6 Body . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56

6.1.7 Complimentary Close . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56

6.1.8 Signature Block . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56

6.1.9 Envelope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58

6.2 Procedures for Handling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58

6.3 Exceptions for Letters To Be Signed by the Chairman . . . . . . . . . . . . . . 58

6.3.1 Preparation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58

6.3.2 Copy Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60

6.3.3 Reproduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60

6.4 Forms of Address . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61

6.5 General Rules for Forms of Address . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83

6.5.1 Titles of Addressees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84

6.5.1.1 Use of "The Honorable" . . . . . . . . . . . . . . . . . . . . . . . . 84

6.5.1.2 Use of "His (Her) Excellency" . . . . . . . . . . . . . . . . . . . . 85

6.5.1.3 Abbreviations of Titles and Degrees . . . . . . . . . . . . . . . 85

6.5.1.4 Spouse of Distinguished Individual . . . . . . . . . . . . . . . . 87

6.5.1.5 U.S. Citizens . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87

6.5.1.6 Gender Unknown . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88

6.5.2 Salutations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88

6.5.2.1 Formal Salutation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88

6.5.2.2 Informal Salutation . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88

6.5.2.3 Modified or No Salutation . . . . . . . . . . . . . . . . . . . . . . . 89

6.5.3 Complimentary Close . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89

Tables

6.1 Address Blocks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61

6.2 Salutations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62

6.3 Forms of Address . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64
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Contents (continued)

Figures

6.1 Letter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90

6.2 Letter With Two Signature Blocks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95

6.3 Letter for the Chairman's Signature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98

7 Memoranda. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103

7.1 Components and Formatting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103

7.1.1 Date . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103

7.1.2 MEMORANDUM TO Line and THRU Line . . . . . . . . . . . . . . . . . . 104

7.1.3 FROM Line . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 104

7.1.4 SUBJECT Line . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105

7.1.5 Body . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105

7.2 Procedures for Handling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 106

7.3 Staff Memoranda Sent to the Commission . . . . . . . . . . . . . . . . . . . . . . . 106

7.3.1 Information Memoranda Sent to the Commission . . . . . . . . . . . . . 106

7.3.2 Memoranda Sent To or Exchanged Among the Commission . . . . 106

7.3.3 Format and Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 107

7.3.4 Copy Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 108

Table

7.1 Addressees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 104

Figures

7.1 Memorandum . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110

7.2 Multiple Addressees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 114

7.3 Memorandum to the Commission . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115

7.4 Memorandum - Use of THRU or ATTN Line . . . . . . . . . . . . . . . . . . . . . . 119

8 Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 120
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Section 1

1 Handbook Overview

Section 1 of this handbook presents information to help the staff determine whether a

communication qualifies as correspondence, and if it does qualify as correspondence,

the type of correspondence and how to handle it. This section also describes the role

of the Agencywide Documents Access and Management System (ADAMS) in the

correspondence process. Section 2 describes the responsibilities for writing and

handling correspondence, including the responsibility for signing various types of

correspondence.

Section 3 covers writing guidelines and e-mail etiquette, and Section 4 covers general

procedures for all types of correspondence, including response time frames, use of

shell formats, and general formatting for all correspondence. Sections 5 through 7 cover

procedures for handling specific types of correspondence—Commission papers, letters,

and memoranda. Section 8 gives definitions for terms used in both Directive and

Handbook 3.57. 

Review this handbook, become familiar with the definitions, then follow the procedures

for the type of correspondence you are handling.

1.1 Correspondence Types

For purposes of this handbook, correspondence includes any communication related

to agency business. NRC controls some correspondence by assigning a date when the

response is due to the controlling office and tracking the incoming correspondence until

a response is sent—see Table 4.1 in Section 4.

1.1.1 Principal Correspondence

Principal correspondence is correspondence that because of its source, subject matter,

sensitivity, urgency, or possible impact on the NRC’s regulatory responsibilities is

controlled by the Office of the Secretary of the Commission (SECY) or the Office of the

Executive Director for Operations (OEDO). This correspondence can be originated by

high-level NRC officials in response to substantive matters from the Commission offices

reporting directly to the Commission, the EDO, or the Chief Financial Officer (CFO). It

can also be in response to incoming communications regarding substantive matters or

substantive complaints from any source, including external entities.
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In other instances, incoming communications are designated as principal

correspondence because they are received from high-level Government entities, the

Congress or their staff, heads of Government agencies or their principal assistants;

communications regarding NRC policies and procedures from State, local, and Tribal

government officials; or from foreign governments and international organizations other

than routine information requests.

1.1.2 General Correspondence

General correspondence includes all other correspondence. General correspondence

may or may not be controlled, depending on the policy of the organization originating

or receiving it. If it is controlled, an office director or a manager below the level of office

director controls it. General correspondence includes those e-mail messages related

to agency business that do not qualify as principal correspondence.

1.1.3 Supplementary Correspondence

In addition, NRC uses five types of supplementary communications that may or may not

be general correspondence:

• preprinted postcards,

• notes, 

• routing slips,

• telephone messages, and

• notes to file.

1. Preprinted Postcards. Informal acknowledgment and transmittal cards. Some

offices that handle a high volume of correspondence and requests use preprinted

postcards to acknowledge receipt of correspondence or requests for documents

and to transmit requested documents (Figure 1.1, "Preprinted Postcard").

2. Notes. Handwritten or typed information on small letterhead stationery (51⁄2 by 81⁄2

inches). The use of e-mail may have made the use of informal notes nearly

obsolete. However, if consistent with your office’s or region’s procedures, the NRC

staff may send a note to recipients within or outside NRC that does not require an

official record copy (Figure 1.2, "Note Letterhead").

3. Routing Slips. Sheets indicating who is to receive attached documents. Such a

sheet may indicate who is to concur with or sign one or more of the attached
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documents and briefly describe or comment on the documents. Since word

processing software is used exclusively within NRC, many offices prefer to create

and use their own office-specific routing slips (e.g., see Figure 1.3, "Routing Slip,"

or ADAMS Accession Number ML031671483) rather than use Optional Form 41,

which is still available from the NRC Supply Store.

4. Telephone Messages. NRC staff generally use the GroupWise or voice mail

features to record and forward a telephone message for another member of the

NRC staff rather than "Memorandum of Call" (Optional Form 363) pads that are still

available from the NRC Supply Store.

5. Notes to File. Handwritten or typed records of discussions with others either in

person or by telephone. Recording your recollections of a discussion for future use

is sometimes appropriate. Record these recollections by hand or type them (Figure

1.4, "Note to File").

1.2 Official Agency Records

The content and the correspondents involved dictate whether correspondence is an

official agency record (OAR). In general terms, an OAR is any documentary material

(in any form) made or received by the Government that provides evidence of the

organization, functions, policies, decisions, procedures, operations, or other activities

of the Government or because the material has informational value. As related to

correspondence, an OAR refers to incoming and outgoing correspondence in any form,

including e-mail messages, faxes, CD-ROMs, and Electronic Information Exchange

(EIE) submissions.

For help determining if a specific document is an OAR, access the interactive tool

provided on the agency’s records management Web site. This tool is designed to step

individuals through the process of determining whether a document is a record by

answering yes or no to a series of questions. 

For additional information, see the definitions for "Federal record" and "official agency

record" in Section 8; "How To Determine if a Document is an OAR," Chapter 2,

NUREG/BR-0273, "ADAMS Desk Reference Guide"; and the following resources that

define records, their retention periods, and release of information to the public:

• Management Directive (MD) 3.1, "Freedom of Information Act"
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• MD 3.4, "Release of Information to the Public"

• MD 3.53, "NRC Records Management Program"

• NUREG-0910, "NRC Comprehensive Records Disposition Schedule"

• NUREG/BR-0273, "ADAMS Desk Reference Guide"

Direct any questions concerning what constitutes an OAR and retention periods to

OIS’s Records and FOIA/Privacy Services Branch.

1.3 Security

Correspondence of any type that contains sensitive unclassified information or classified

information is prepared as any other correspondence of the same type except for the

handling requirements specified in MD 12.2, "NRC Classified Information Security

Program," and on the Sensitive Unclassified Non-Safeguards Information (SUNSI) Web

site at http://www.internal.nrc.gov/sunsi.

No allegations, classified information, or Safeguards Information (SGI) is entered into

ADAMS. Although sensitive unclassified information is entered into ADAMS, this

information is not available to the public. The SUNSI Web site describes the

requirements for handling this information.

1.4 The Agencywide Documents Access and Management System (ADAMS)

ADAMS is an electronic document management and recordkeeping system that

maintains official records of the agency. This system is used by staff to organize,

process, and manage their documents as well as a reference tool to search and retrieve

agency records. It also serves as the vehicle to disseminate publicly available records

to the agency’s Public Web Server. 

The ADAMS internal Web pages and the "ADAMS Desk Reference Guide"

(NUREG/BR–0273) provide information for using ADAMS. See especially Chapter 8,

"Preparing Final Documents for ADAMS."

To enter correspondence in ADAMS, follow the instructions in the"ADAMS Desk

Reference Guide," adhering to your own office’s procedures and appropriate templates

for use of ADAMS.
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• If adding electronic files for your correspondence, using your personal computer,

follow Chapter 5 of the guide, "Adding NRC-Generated Documents to ADAMS."

• Otherwise, follow the procedures contained in the "ADAMS Document Submission

Guidelines for HQ Offices Step-by-Step Instructions" (ADAMS Accession Number

ML010390040) for processing by the Document Processing Center. Regional

employees should contact their Director of Resource Management and

Administration (DRMA) for procedures established for their specific region.

Also check the useful Index to this guide if you need more information, or contact the

ADAMS Support Center.

NRC employees are provided an agencywide basic information technology (IT)

infrastructure that includes the Corel WordPerfect word processing software. Some

offices provide additional word processing software (such as Microsoft Word) to those

staff members who have a specific need for it. Those other word processing software

packages are not currently considered part of the agencywide basic IT infrastructure

and should not be used for the preparation of documents to be reviewed or approved

by OEDO. Documents should be prepared using Corel WordPerfect in order to facilitate

their review by OEDO and other offices.

All correspondence sent to or through OEDO must first be entered in ADAMS. Contact

the Administrative and Correspondence Staff (ACS) in OEDO to obtain "Procedures for

Processing EDO and Office of the Secretary’s Controlled Correspondence in ADAMS."

These procedures cover letters addressed to the Chairman, the Commission, the EDO,

the Deputy Executive Directors for Operations (DEDOs), or the Assistant for

Operations, except for letters containing information designated as SGI. See also MD

3.4, "Release of Information to the Public," if entering incoming correspondence into

ADAMS.
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Figure 1.1

Preprinted Postcard
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Figure 1.2

Note Letterhead
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Figure 1.3

Routing Slip
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Figure 1.4

Note to File
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Section 2

2 Responsibilities for Writing and Handling Correspondence

The responsibilities listed in this section apply to all types of correspondence unless

otherwise indicated. Signature responsibility for the various types of correspondence

is given in Table 2.1, "Signatures," at the end of this section. 

2.1 The Office of the Secretary of the Commission (SECY), which serves the

Commission and those offices reporting directly to the Commission, performs the

following tasks:

• assigns suspense dates to principal correspondence addressed to the Chairman,

the Commission, the Secretary, and, upon request, individual Commissioners and,

occasionally, to the EDO and the Office of Congressional Affairs;

• advises the OEDO’s Administrative and Correspondence Staff (ACS) of procedural

or format changes requested by the Commission or otherwise warranted;

• uses a yellow computerized correspondence control ticket, referred to as a "yellow

ticket" by SECY (Figure 2.1), to manage its principal correspondence;

• assigns a SECY number to SECY papers (see Section 5, "Commission Papers," of

this handbook);

• assigns SECY paper suspense dates (due dates);

• finalizes in ADAMS SECY papers and correspondence signed by the Chairman;

• oversees the reproduction and distribution of all SECY papers;

• reproduces and distributes all principal correspondence for the Commission.

2.2 The Office of the Executive Director for Operations (OEDO) manages the ACS,

which includes Correspondence Officers and serves the EDO and those offices

reporting to the EDO. The ACS is responsible for the following tasks:
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• requiring that each office director or regional administrator designate an office or

regional Correspondence Officer to control and report on principal correspondence

OEDO refers to that office;

• developing procedures for handling principal correspondence to supplement and

expand on this MD;

• ensuring that respective offices and divisions under the EDO’s purview comply with

OEDO’s procedures;

• using OEDO's Electronic Document and Action Tracking System (EDATS) to control

principal correspondence under the EDO’s purview;

• assigning OEDO suspense dates; and 

• for SECY papers prepared by an office reporting to OEDO, dating the SECY paper

being sent to the Commission after the EDO signs it and sending it to the SECY

staff.

2.3 Office Directors and Regional Administrators, as stated in Section 2.2 of this

handbook, perform the following tasks:

• designate an office or regional Correspondence Officer to handle correspondence

under the office’s or region’s purview;

• report to the EDO the name, location, telephone number, and e-mail address of the

designated officer and promptly reports any change to this information;

• ensure that principal correspondence is edited by a technical editor before officelevel concurrence; and

• are responsible for oversight of the technical accuracy and overall quality of

correspondence under their purview.

2.4 Office or Regional Correspondence Officers handling EDO-referred principal

correspondence perform the following functions:
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• establish a system to ensure that this correspondence is answered by the due date

(that is, the suspense date established by either the Correspondence Officer’s office

or region, SECY, or OEDO);

• ensure that the due date allows adequate time to prepare the reply and obtain

necessary concurrences, and at the earliest indication that the due date cannot be

met, the staff should follow procedures to request an extension. Offices reporting to

the EDO should coordinate any change with the OEDO’s ACS staff, who will inform

the SECY staff for Commission-controlled correspondence. E-mail extension

requests to mailbox "EDO Extension Request." For specific instructions, see the

OEDO's Extension Request Process (ML031750295);

• in accordance with the office’s or region’s procedures, remind staff responsible for

responses of the due date for each response, usually about 5 workdays before the

due date or more frequently as necessary.

2.5 The Correspondence Originator is responsible for ensuring that correspondence

(1) is appropriate for its purpose; (2) is accurate; (3) is clear to the intended audience;

(4) complies with agency policy for correspondence, including preparation of an ADAMS

Document Submission NRC Form 665S or 665P, or both; and (5) is appropriately

handled during the concurrence process.

(1) To ensure appropriateness, the originator—

• determines, in conjunction with management supervisor, the type of

correspondence to use;

• identifies any questions in incoming correspondence to answer;

• determines the topics to discuss in a reply;

• identifies the office staff with the expertise to answer the questions or address

the concerns in the incoming; and 

• adequately answers the questions and addresses the concerns in the incoming

correspondence.

(2) To ensure accuracy, the correspondence originator, using the "Originator’s

Checklist for Ensuring Accuracy of Correspondence" (Table 2.2)—
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• keeps a file of all reference material used in developing a document;

• requests simultaneous review from all appropriate program or staff offices on

a draft document to expedite completion of the final correspondence;

• obtains from each contributor a file with changes to the original or any

subsequent draft, using approved agency software or pen-and-ink markup,

showing comparison markings or changes marked on the original draft;

• reviews changes received on the draft to resolve and eliminate any conflicting

changes and to ensure logical cohesiveness of the correspondence;

• ensures that the correspondence correctly identifies any references; and

• concurs and obtains concurrence from each contributing office on the final

version of the correspondence (see also Section 2.6).

(3) To ensure clarity, the correspondence originator ensures that the

correspondence—

• is written in plain language consistent with Federal and NRC’s Plain Language

guidance on NRC’s internal and external Web sites;

• complies with "Writing Guidelines and E-Mail Etiquette" (Section 3);

• is edited by a technical editor if it is principal correspondence;

• is complete, clear, concise, and easy to read;

• minimizes the use of jargon unless all recipients would understand the jargon;

and

• spells out titles, organizations, and other abbreviations at first use.

(4) To ensure compliance with correspondence policy, the originator—

• completes ADAMS Document Submission NRC Form 665S or 665P, or both;
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• ensures that correspondence involving classified and sensitive unclassified

information, such as Official Use Only material, is prepared, marked, cleared,

and protected as prescribed in Management Directive (MD) 12.2, "NRC

Classified Information Security Program," and on the SUNSI Web site at

http://www.internal.nrc.gov/sunsi; and

• ensures that the correspondence complies with the policies, standards, and

procedures in this directive and handbook, including any special instructions

for correspondence for the Chairman’s signature in Sections 6 and 7 of this

handbook. 

(5) To ensure appropriate handling during the concurrence and review process,

the originator—

• informs involved managers who promptly inform staff in OEDO if any office

staff state that their concurrence will be delayed;

• concurs and obtains concurrence from each contributing office and the

following offices on the final version of the correspondence as required:

– the Office of the General Counsel for correspondence that involves legal

issues or regulatory interpretation or that is prepared for the Chairman’s

signature;

– the originator’s office director or regional administrator for correspondence

prepared for the Executive Director for Operations’ signature;

– OEDO for those documents being signed or concurred in by the EDO;

– the Office of Information Services for correspondence that has information

technology or information management implications, including Freedom of

Information Act and Privacy Act matters; and

– the Office of the Chief Financial Officer for correspondence involving the

budget, financial management, or resource impacts.

Any correspondence that needs to be concurred in at a higher level than the individual

signing the document must have two concurrence blocks for that individual. The first

concurrence block for that individual is for initial concurrence and the second
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concurrence block for that individual will be for final concurrence and signature after the

higher level review.

Insert the name and date of concurrence on the final version of the document for

concurrences obtained on prior versions of the document.

If the EDO assigns correspondence that requires Office of Congressional Affairs (OCA)

review, it is the responsibility of OEDO to obtain OCA's concurrence. Note: offices

should not send documents directly to OCA for concurrence. OCA reviews the

document before the EDO signs the correspondence and OCA should come before the

EDO in the concurrence chain.

2.6 Those who concur, that is, managers and staff who contribute content to

correspondence and concur with it, are responsible for the following (see also the

definitions in Section 8 for "concurrence" and "non-concurrence"):

• making necessary substantive changes to information in their area of technical

expertise;

• refraining from making editorial changes unrelated to technical accuracy but perhaps

informally relaying editorial suggestions to the originator;

• indicating any changes to the original draft electronic file or any subsequent revised

version of the correspondence circulated for concurrence, using approved agency

software, by comparison markings or marking changes on the hard copy and

returning the revised file or hard copy to the originator;

• notifying their managers and the originator if their review and concurrence may

cause a controlled correspondence due date to be missed; and

• concurring with the final version of the correspondence when they agree—

– that the technical content in their area of responsibility is accurate;

– with the overall approach of the document; and

– that the document is consistent with NRC’s programs and policies in their area

of responsibility.
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2.7 Signatories, those who sign the correspondence, are legally responsible for its

content. The signatory, or the senior manager in the office or region originating the

correspondence, for correspondence to be signed by the EDO, the Chairman, or a

Commissioner, should—

• agree with the content and be satisfied that the content is both accurate and

consistent with program and agency policy before signing and

• review the proposed decisions of the document originator on NRC Form 665S or

665P, or both, accompanying the correspondence for appropriateness of its public

availability, sensitivity, and security access rights unless the EDO or a member of

the Commission is the signatory, in which case, the senior manager in the office or

region preparing the correspondence for signature performs this review.

2.8 Secretaries and Office Automation Assistants are responsible for assisting

originators by preparing correspondence and any other preparatory steps identified by

the originator by following the guidance in this handbook. They are responsible for the

following:

• using available electronic tools, features such as Spell Check or Grammatik in

WordPerfect, or other approved agency software tools;

• consulting as needed pages 4–5 of the Government Printing Office Style Manual to

interpret proofreaders’ marks. See also proofreaders’ marks on the external Web as

part of the Merriam-Webster online dictionary site located at

http://www.m-w.com/mw/table/proofrea.htm;

• consulting also as needed a current standard dictionary, the "NRC Editorial Style

Guide" (NUREG-1379), a current English grammar textbook (such as Hodges’

Harbrace College Handbook), or an NRC technical editor;

• reminding the originator to have principal correspondence edited by a technical

editor as specified in Section (3.57-036) of Directive 3.57;

• proofreading all correspondence, attending to spelling, punctuation, grammar, and

hyphenation, and clearly marking material to be revised;

• revising and reproofing the correspondence as necessary until the originator deems

it satisfactorily completed;
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• saving the final record copy in the appropriate recordkeeping system (e.g., ADAMS);

and

• overseeing appropriate dispatch and distribution of the correspondence.

For records that are kept in ADAMS, follow the office procedures and the guidance in

the latest version of the "ADAMS Desk Reference Guide" (NUREG/BR–0273). See

especially Chapter 8, "Preparing Final Documents for ADAMS." Note that SECY saves

the official record copy of any SECY-controlled correspondence for the Chairman’s

signature in ADAMS and declares it as an OAR.
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Table 2.1

Signatures

Signature on Response

Unless Otherwise

Directed Type of Incoming Correspondence

Chairman • Letter addressed to the Chairman or the

Commission from a member of Congress

• Letter from a cabinet officer or the head of a

Government agency or Commission

• Letter from a high-ranking official of a foreign

government agency or commission

• Letter from a major official of a State

government or domestic organization

• Letter soliciting NRC’s position on a substantive

matter or requesting establishment of a policy,

a legislative position, or budgetary requirements

Commissioner • Letter addressed to a specific Commissioner is

prepared for that Commissioner’s signature

unless otherwise directed

Office of the Secretary of

the Commission

• SECY acknowledges all principal

correspondence with the exception of

correspondence from Congress, State, Tribal,

and local governments 

Executive Director for

Operations

• Letter addressed to the EDO unless the

response establishes a policy, a legislative

position, or budgetary requirements that require

the Chairman’s signature

• Letter from a member of Congress assigned to

the EDO or a member of the EDO’s staff

• SECY papers prepared by offices reporting to

the EDO

• Memoranda to the Commission prepared by

offices reporting to the EDO

Directors of offices

reporting directly to the

Commission

• Letter addressed to an office director unless the

response establishes a policy, a legislative

position, or budgetary requirements that require

the Chairman’s signature

• SECY papers prepared by offices reporting to

the Commission
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Table 2.1

Signatures (continued)

Signature on Response

Unless Otherwise

Directed Type of Incoming Correspondence

• Memoranda to the Commission prepared by

offices reporting to the Commission

Director, Office of

Congressional Affairs

• Letter from a member of Congress

(acknowledge within 3 days of receipt)

• Letter addressed to OCA, except when the

response establishes a policy, a legislative

position, or budgetary requirements that require

the Chairman’s signature

Director, Office of State

and Tribal Programs

• Letter from State and local government officials

and Indian Tribe representatives unless the

response establishes a policy, a legislative

position, or budgetary requirements that require

the Chairman’s signature (acknowledge within 3

days of receipt )

Directors of all other

offices not otherwise

specified in this table

• Correspondence from external sources, such

as official State, local, or other related

organizations

Regional administrators • Correspondence to the administrators from

external sources, such as official State, Tribal,

local, or other related organizations

Division directors • Correspondence of a routine nature received

from external sources as assigned by an office

director or a regional administrator

Branch chiefs • Correspondence of a routine nature received

from external sources as assigned by an office

director or a regional administrator

Section chiefs Correspondence of a routine nature

Staff Correspondence of a routine nature
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Table 2.2

Originator’s Checklist for Ensuring Accuracy

of Correspondence

Task

Date 

Completed

Maintained complete file of reference material used to develop

correspondence

Maintained complete file of revised versions, which is easily done

through ADAMS

Satisfied that all revisions are accurate 

Satisfied that correspondence contains no conflicting information

Satisfied that information does not conflict with agency policy

Satisfied that correspondence is logically coherent

Satisfied that correspondence contains no classified or sensitive

unclassified information or, if it contains such information, that the

correspondence is marked appropriately in accordance with MD

12.2 and the SUNSI Web site (http://www.internal.nrc.gov/sunsi/) 

Completed appropriate ADAMS Document Submission Forms

found at ADAMS ML020170281 or ML020170279

Verified accuracy and availability of references listed on the

correspondence

Obtained all concurrences on final version, including concurrence

by a technical editor if it is principal correspondence as specified

in Section (3.57-036) of Directive 3.57

Oversaw dispatch
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Figure 2.1

Office of the Secretary

Correspondence Control Ticket

(Yellow Ticket)
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Section 3

3 Writing Guidelines and E-Mail Etiquette

3.1 Writing Guidelines

In addition to adhering to these guidelines, see also the NRC’s Plain Language Action

Plan on the internal Web site and the "ABCs of Correspondence" (NUREG/BR-0210).

1. Personalize correspondence by using I, we, and you throughout.

Use: On behalf of the Nuclear Regulatory Commission, I am responding to your

letter of... to Chairman (name).

Not: This is in response to...

2. In your opening sentence, briefly describe the subject of the incoming letter; do not

repeat it verbatim.

Use: I am responding to your letter of January 2, 2003, in which you inquire about

several topics discussed at the workshop you attended on December 3,

2002.

Not: In your letter of January 2, 2003, you asked whether the NRC has decided...

and what action NRC will take to resolve this issue.

3. Respond to questions in the incoming correspondence.

4. Focus on the questions asked, avoiding amplification or unnecessary detail, thereby

creating a concise response.

5. Be forthright and honest in your answers.

6. Keep the point of view accurate by doing the following:

• Distinguish between when the Chairman speaks for himself (I) and when he

speaks for the Commission (we).
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• Distinguish between the agency (the NRC), the five Commissioners (the

Commission), the Executive Director for Operations (the EDO), and staff in the

EDO’s offices (the staff).

7. Be direct rather than indirect, using active verbs.

Direct: The team inspected...

Indirect: The team conducted an inspection...

8. Use the active voice instead of the passive voice, if possible.

Active: The task force investigated...

Passive: The issue was investigated by the task force...

9. Avoid jargon when writing to nontechnical readers who may not understand the

terminology. Adequate synonyms exist for many concepts.

Use: automatic reactor shutdown

Not: reactor scram or trip

10. Try to limit your letter or memorandum to no more than two pages. Include

clarifying or supporting information as enclosures.

11. To keep your letter concise, limit the size of a paragraph to about one-third of a

page at the most, and limit the length of your complex sentences to about three

clauses at the most.

12. Close your letter in the same positive, personalized tone used in the opening.

Use: I trust this reply responds to your request...

I trust this response clarifies our position...

13. Finally, ensure that your response will stand the test of time. That is, never say

anything that you or NRC will regret 5 years from now.
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3.2 E-Mail Etiquette

While e-mail greatly facilitates communication throughout the agency, overreliance on,

or misuse of, e-mail can actually hinder effective communications. Please use the

following general guidance.

3.2.1 Guidance on E-Mails

1. Use oral communication instead of e-mail for—

• complex issues

• time-sensitive issues 

(If e-mail is used because of an inability to reach an individual, explain the

urgency of the transmittal in the e-mail. Call the individual to inform him or her

that an urgent transmittal is on its way and follow up with another call to ensure

that the individual received the information.)

2. Avoid expressions of extreme emotion or opinion.

3. Reread your message before sending it to ensure that the tone is professional and

the content is clear. 

4. Spell check and proofread your message.

5. Use prompts in the beginning of the "subject" line. For instance—

• FYI (For your information - No action or response is required)

• QUERY (General Question - A response is optional)

• ACTION (Action or response is required)

• REPLY (Responding to a message sent to you with no action required)

6. If possible, send a message that fits within a subject line. Add "EOM" (end of

message) at the end of the subject line.
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7. Use "high priority" for your message only if the recipient must act on it immediately

that day.

8. Use graphics and enclosures sparingly.

9. Be concise and to the point.

10. Be specific regarding key issues and information. If you send a 20-page

attachment, tell the recipient where the critical information is and what needs to be

done (e.g., page 2 S review changes noted in italics). 

11. Ensure that your message does not include safeguards or classified information.

12. Ensure that procedures on the SUNSI Web site (http://www.internal.nrc.gov/sunsi)

are followed if transmitting sensitive unclassified information (e.g., marking, need

to know).

13. Do not use "Reply to all (senders and recipients)" unless the information is

needed by all recipients of the incoming e-mail.

14. Use an "Away message" when out of the office for two or more consecutive

workdays. 

15. Provide feedback to the e-mail sender when e-mail guidelines are not followed.

3.2.2 Tools and Tips for E-Mails 

3.2.2.1 Tracking the Status of E-Mails

If desired, the originator can be notified when the e-mail is opened and deleted by the

recipient.

Select "Create New Mail."

Select "File." In the drop-down menu, select "Properties."

The "Mail and Phone Properties" window will open.

Select the "Status Tracking" Tab.
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In the Return Notification Section:

- Select the method you would like to be notified when the e-mail has been

opened.

- Select the method you would like to be notified when the e-mail has been

deleted.

3.2.2.2 Requesting a Reply

If a reply is requested (very useful for Actions), use the GroupWise function "Mail and

Phone Properties" (select "Create New Mail," "File," "Properties").

In the Send Options Tab, select "Reply requested" and choose "When convenient" or

"Within # of days."

3.2.2.3 Attaching E-Mails

You may wish to attach an e-mail or multiple e-mails rather than forward each e-mail

or copy/paste the content into the new e-mail. To perform this function, minimize the

GroupWise window, minimize the new e-mail, then drag the desired e-mails and drop

them into the attachment pane of the new e-mail.

3.2.2.4 Giving Priority to an E-Mail

Select "Create New Mail."

Select "File." In the drop-down menu, select "Properties."

The "Mail and Phone Properties" window will open.

In the Send Options Tab, select the priority you want to attach to the e-mail (High,

Standard, Low).

3.2.2.5 Sending a Delayed E-Mail

You may wish to send an e-mail during a time you may be out of the office or a time

later than when you created the e-mail.
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Select "Create New Mail."

Select "File." In the drop-down window, select "Properties."

The "Mail and Phone Properties" window will open.

In the Send Options Tab, check "Delay Delivery" and enter the date you want the

delayed e-mail to be sent.

3.2.2.6 Creating an Away Message

In the GroupWise main window, select the "Tools" menu.

Select "Rules" and "New."

Enter a Rule Name (Out of Office, vacation, etc.).

In the "When event is" section, select a "New Item" and "Received."

To Create an Automatic Response:

In the "Then actions are" section:

Select "Add Actions"; select "Reply"

Choose "Reply to Sender" only! DO NOT choose "Reply to all (senders and

recipients)."

Enter a subject line. Example, "Out of Office Reply."

Enter a message. Example: "I will be out of the office from __/__/__ to __/__/__.

Please contact ______________ at (e-mail address or work phone) if you need

immediate assistance."

Select "OK."

Select "Save."
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This rule will be in effect in accordance with the conditions; however, you should

"Disable" the rule when you return to the office (multiple rules may contradict each

other).

To Define the Start and End Dates, and Other Conditions:

Select "Define Conditions."

In the first row of conditions:

Select "Delivered"; "> = on or after Date"; define the Start Date; select "And."

This will open the second row of conditions. In the second row:

Select "Delivered"; "< = on or after Date"; define the End Date; select "And."

This will open the third row of conditions. In the third row:

Select "To"; "Contains"; type your GroupWise User ID as it appears in the

GroupWise Address book; select "And."

This will open the fourth row of conditions. In the fourth row:

Select "From"; "Does Not Contain"; type your GroupWise User ID as it appears in

the GroupWise Address book; select "End."

Select "OK."

3.2.2.7 Delegating E-Mails With "Out of Office"

If you wish, e-mails can be forwarded to a person to whom you choose to delegate this

responsibility.

In the "Then actions are" section:

Select "Add Actions"; select "Delegate."

In the "To" field, enter the GroupWise User ID for the individual to whom you choose

to delegate this responsibility.
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Optional: Write a comment to the sender.

Optional: Write a comment to the recipient.

3.2.3 Professional Development Center (PDC) GroupWise Training

1. GroupWise: E-Mail and Calendaring

2. GroupWise: Communication Techniques (advanced functions in e-mail)
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Section 4

4 General Procedures for All Types of Correspondence

This section covers procedures generally applicable to all types of correspondence.

Read this section and review the figures at the end of this section and Sections 5, 6,

and 7, reading carefully the information they contain, before preparing correspondence.

For correspondence to be signed by the Chairman, follow the current Chairman’s

editorial preferences as shown in correspondence shell formats in the agencywide,

SECY, or EDO Correspondence Format Files folder in the Agencywide Documents

Access and Management System (ADAMS). For preparing congressional

correspondence, see ADAMS Accession Number ML031820146 and also Section 4.2.3.

4.1 Response Dates

Prepare a response to correspondence within the time recommended in the guidelines

in Table 4.1, "Response Time Frames."

Table 4.1 Response Time Frames

Type of Correspondence Number of Workdays

Principal By whichever date is

earliest on the—

• Yellow Ticket 

• OEDO Tasking Item

• Office Ticket

General

If controlled:

Complete response

If not controlled:

• Complete final response

• Complete interim acknowledgment or

reply to memoranda or letters

By due date

• Within 15 workdays

• Within 6 workdays

Electronic Mail (E-Mail) Messages

Complete interim acknowledgment or reply

with date that final reply will be sent

Within 3 workdays

The originator decides whether a postcard is appropriate for acknowledging

correspondence from outside NRC (see Figure 1.1 in Section 1 of this handbook).
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4.1.1 Controlled Correspondence

As described in Section 1.1 of this handbook, principal correspondence is controlled by

an office director or a manager above that managerial level while general

correspondence, if it is controlled, is controlled by an office director or a manager below

that managerial level.

4.1.1.1 Principal Correspondence

Due dates for replies to incoming correspondence are established by the Office of the

Secretary of the Commission (SECY) on a yellow ticket (see Figure 2.1 in Section 2 of

this handbook) or by the Office of the Executive Director for Operations (OEDO)

through its electronic task tracking system. In addition, the office responsible for

responding may attach its own controlled correspondence ticket with a date earlier than

that on the SECY or the OEDO ticket. This earlier date allows responding office

managers time to review and revise the response, if need be, before submitting it to

SECY or OEDO.

Respond to controlled correspondence by the date stated on the SECY’s yellow

ticket, the EDO’s tasking document, or your own office’s control ticket, whichever

is earlier.

Staff should follow procedures to request an extension at the earliest indication

that a yellow ticket or OEDO tasking item due date cannot be met. Offices reporting

to the EDO should coordinate any change with the EDO’s Administrative and

Correspondence Staff. Commission-level offices are to contact SECY directly (see

also ML031750295 extension request instructions).

Options offered the assigned office may include—

• Adjusting the suspense date on the ticket.

• Establishing a reply schedule for an acknowledgment or interim reply or both.
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4.1.1.2 General Correspondence

If the correspondence qualifies as general correspondence and is controlled at the level

of an office director or a manager below that managerial level, complete the response

by the due date assigned by the controlling manager. At the first indication that this date

cannot be met, contact the controlling manager to negotiate a new due date. If the

general correspondence is not controlled, follow the guidelines in Table 4.1.

4.1.2 Electronic Mail Messages. Acknowledge an electronic mail (e-mail) message

(see Figure 4.1) within 3 workdays. Send a complete response within 3 days, if

possible, or include in the acknowledgment a date when the recipient may expect a

complete response (see also "E-Mail Etiquette" in Section 3).

4.2 Writing and Preparing Correspondence

After reviewing Handbook 3.57 and becoming familiar with the definitions, you will be

ready to write and prepare correspondence.

4.2.1 Designated Originator. The designated originator writes the correspondence,

following "Writing Guidelines" in Section 3 of this handbook and does the following:

• Makes letters and memoranda clear and concise, using agency-supported software

tools, and no longer than two pages if at all possible (see also Section 5 for

"Commission Papers").

• Creates documents using agency-supported software tools.

• Omits any numbering of paragraphs, a format appropriate for lengthy enclosures,

if needed.

• Presents detailed discussion and analysis in enclosures and appropriately

references the enclosures in the body of the correspondence.

4.2.2 Secretary or Office Automation Assistant

The originator’s secretary or office automation assistant prepares and/or formats the

electronic version of the correspondence, does not date the correspondence until after

it is signed, and does the following:
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• Prepares an electronic version of all internally generated documents and, to the

extent possible, all externally generated documents, according to the preparing

office’s policy.

• Attaches ADAMS Document Submission NRC Form 665S or 665P, or both, that the

originator completes for the correspondence. Both forms are available in the

ADAMS Main Library.

• Enters the electronic version in ADAMS, unless the documents are exempt from

placement in ADAMS, in accordance with the preparing office’s or region’s

correspondence procedures.

• Saves all correspondence and the enclosures sent to or through OEDO in ADAMS,

except allegations, classified information, or Safeguards Information (see Section

1.4 of this handbook).

• Prepares a paper version of all correspondence and the enclosures.

• Prepares each enclosure to the correspondence as follows:

(1) If at all possible, identifies each enclosure in the bottom right corner as

Enclosure 1, Enclosure 2, and so forth. If an enclosure cannot be labeled

in the bottom right corner, appropriately labels a cover sheet. The

secretary or office automation assistant may also add a cover sheet for

an enclosure already labeled in the bottom right corner for ease of

handling.

(2) Documents should be assembled into packages in ADAMS making sure

that all stand-alone documents are captured as separate documents.

(3) Labels any information supplementary to an enclosure as an attachment.

Identifies each attachment in the bottom right corner as Attachment 1,

Attachment 2, and so forth. If an attachment cannot be labeled in the

bottom right corner, appropriately labels a cover sheet. The secretary or

office automation assistant may also add a cover sheet for an attachment

to the already labeled document for ease of handling.

• Places the ADAMS accession number and any other identifying information as

described in Section 4.3.5 on the concurrence copy above the concurrence grid.
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• Prepares a routing slip briefly describing the correspondence and listing those who

concur or who both concur and sign in accordance with his or her office’s or region’s

procedures.

• Assembles a concurrence package that includes—

– The routing slip;

– ADAMS Document Submission NRC Form 665S or 665P, or both, that the

originator completes for the correspondence. Both forms are available in the

ADAMS Main Library;

– A paper original to be signed;

– A paper official record copy on which to concur;

– All previous concurrence pages that have initials;

– A separate list of addressees when the names and addresses of all recipients

cannot be placed on the correspondence or official record copy and attaches this

list to either the correspondence or the official record copy; and

– Enough color copies for final distribution of hard copies.

• When complete, submits the correspondence package to the originator.

4.2.3 Stationery

Commission Papers, Letters, and Memoranda. NRC prints letters and memoranda

on 81⁄2- by 11-inch paper letterhead. Commission SECY papers are printed on plain

white bond. Some organizations use their own letterhead (see Figure 4.2, "Page-Size

Letterhead"). Print continuation pages for either of these types of correspondence on

plain bond. See also Section 1.1.2, "General Correspondence," in this handbook for

information about postcards, notes, and routing slips.

Envelopes and Labels. Management Directive (MD) 3.23, "Mail Management,"

describes envelopes and labels NRC authorizes for use. See also NUREG/BR-0248,

"The Mail Services Center Reference Guide."
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(Revised: October 18, 2005)

Fold letters so that the smallest suitable envelope can be used. Postage costs are

based on the size of an envelope or a package as well as its weight. NRC sends mail

weighing 1 pound or more fourth-class.

4.3 General Formatting

Although illustrated in shell formats and figures throughout this handbook, NRC uses

the following styles for its correspondence.

4.3.1 Fonts

• Use WordPerfect 11-point Arial for correspondence or, if the agency approves other

word processing software for use, select an equivalent font.

• Use italics for titles of books, periodicals, newspapers, and newspaper sections

published separately, rather than quotation marks. See the "NRC Editorial Style

Guide" (NUREG-1379) for more information.

4.3.2 Margins. For the overall page, use 1-inch left and right margins and left

justification. Use 1-inch top and bottom margins when appropriate.

4.3.3 Word Processor Tools. Use the spell check and grammar checking tools on

your correspondence after you complete it. If NRC adds other tools, apply them to your

correspondence as appropriate.

4.3.4 Quotations

• If the correspondence contains a quotation of five or more lines, indent the quotation

on the left and right margins and omit the quotation marks. Use double spacing

before and after the quotation to separate it from the body of the correspondence

(see Figures 6.1 and 6.2 of Section 6).

• If the correspondence contains a shorter quotation, such as the title of a report or

a regulatory guide, enclose the title in quotation marks, placing appropriate

punctuation marks inside the ending quotation mark.

Examples: The nuclear fuel cycle is discussed in NUREG/BR-0280, "Producing

Nuclear Fuel."
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NUREG/BR-0280, "Regulating Nuclear Fuel," describes the five

processes involved.

4.3.5 Continuation Page. Any page of the correspondence subsequent to the original

page.

• Limit a letter or a memorandum to two pages if at all possible.

• Place at the left margin the appropriate header from Table 4.2 on a continuation

page for a letter or a memorandum and center the page number unless the

correspondence is for the Chairman’s signature, in which case use only the centered

page number (see Figure 6.2 of Section 6).

Table 4.2 Continuation Page Headers

Type of Addressee Header for Subsequent Page

Single First initial and last name

Two First initial and last name of each addressee,

except congressional correspondence

Three or more First initial and last name of first individual

followed by et al., except congressional

correspondence

Generic, such as Office

Directors, Regional

Administrators, Power Reactor

Licensees, and so forth

Abbreviation for generic addressee, such as

ODs, RAs, or PRLs

List of addressees having no

generic name

Those on the Attached List

Business or organization Abbreviated name

4.4 Notations. A notation gives a recipient additional information as described in this

section. The contact appears on the first page of the correspondence while the

distribution lists, list of courtesy copies, any docket numbers, and the concurrence grid

appear on the last page and the official record copy or concurrence page.

4.4.1 First Page. The first page is the letterhead page on which the address block

appears.
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4.4.1.1 Contact. Place a contact on all correspondence except letters and e-mails.

• Place the contact information on the bottom of the first page of the correspondence,

regardless of its length. 

• The contact is a person other than the signatory who is knowledgeable about the

information in the correspondence and who can respond to questions about

its content. Identify this person by name, organizational symbol, and telephone

number (see Figure 5.1 of Section 5 and Figure 7.1 of Section 7). Leave a 1-inch

bottom margin below the contact information.

4.4.1.2 Courtesy Copies. List courtesy copies at the end of the correspondence if the

originator wants the addressee to know that others are receiving identical letters (see

example). If a number of recipients are receiving a courtesy copy, place a list of the

recipients on a separate sheet, if necessary.

Example: cc: F. Last, office

4.4.1.3 Enclosure. List each enclosure by number, type of document, name or an

abbreviated name, or all of these, on correspondence. Only if the body of the

correspondence identifies each enclosure in such a way that a recipient could easily

recognize an enclosure is the use of "As stated" permissible. Use any of the following

format examples:

Examples: Enclosures:

1. Regulatory Guide 1.177

2. "Regulating Nuclear Fuel" (NUREG/BR–0280)

Enclosure:

"Reactor Oversight Process" (NUREG–1649)

Enclosure:

As stated

Enclosures:

As stated (4)

If at all possible, identify each enclosure in the bottom right corner as Enclosure 1,

Enclosure 2, and so forth. If an enclosure cannot be labeled in the bottom right corner,
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appropriately label a cover sheet. You may also add a cover sheet for an enclosure

already labeled in the bottom right corner for ease of handling.

4.4.1.4 Attachment. Label any information supplementary to an enclosure as an

attachment. If at all possible, identify each attachment in the bottom right corner as

Attachment 1, Attachment 2, and so forth. If an attachment cannot be labeled in the

bottom right corner, appropriately label a cover sheet. You may also add a cover sheet

for an attachment already labeled in the bottom right corner for ease of handling. (See

also Section 8, "Definitions," of this handbook.)

4.4.1.5 Separate Cover. If you are sending material too large to be included as an

enclosure or not immediately available, list the material as follows even if it is identified

in the body of the correspondence. Place this notation flush with the left margin two

lines below the enclosure notation.

Example: Separate Cover: Regulatory Guide 1.74

4.4.2 Concurrence Page. Place on a separate page identical to the last page of the

correspondence the ADAMS accession number, the concurrence grid, and distribution

recipients.

4.4.2.1 Concurrence Grids. A concurrence grid or grids appear on all

correspondence. Place the concurrence grid(s) on a separate page identical to the last

page of the correspondence (see Figure 5.1 of Section 5, Figure 6.1 of Section 6, and

Figure 7.1 of Section 7).

4.4.2.2 Agencywide Documents Access and Management System (ADAMS)

Identification. Place the ADAMS accession number on each piece of correspondence

under the distribution list. See the "ADAMS Document Submission Guidelines for HQ

Offices Step-by-Step Instructions" (ADAMS Accession Number ML010390040),

regarding the submittal of documents for processing to the Office of Information

Services Document Processing Center. See also NUREG/BR-0268, "Sensitive

Unclassified Information," and the SUNSI Web site (http://www.internal.nrc.gov/sunsi/)

for more information. 

4.4.2.3 Docket Numbers. When correspondence refers to a docket case, type the

docket number on the official record copy (concurrence copy) two lines below the

signature block flush with the left margin (see Figure 6.1 of Section 6). Docket numbers
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should also be placed in the same location on the original signature page unless the

correspondence is being signed by the EDO or the Chairman.

4.4.2.4 Distribution Copies

Include in a distribution list all offices on the routing list of a SECY or an OEDO tasking

item; the office of anyone mentioned in the correspondence; the offices on concurrence;

and other individuals requested by the originator. Do not include a distribution list on

Commission papers.

• If the distribution list will fit on the concurrence page, list on the concurrence page

each appropriate file location (reading file, subject file, docket file number, etc.) and

name and office affiliation of the individuals to receive a copy. 

• If the list will not fit on the concurrence page, place "See next page" under the

distribution notation and type the distribution list on a separate page.

• If the response is controlled by a yellow ticket or an OEDO tasking item, or a

responding office ticket, cite the ticket number in the distribution list.

Examples:

Gyyyyxxxx

LTR–yr-xxxx

• Place the distribution notation and list on the concurrence page flush with the left

margin, three lines below the body of the memorandum or two lines below the last

line of the list of enclosures, whichever applies.

4.5 Assembly

• Follow the instructions on Figure 4.3, "Assembly Tabs," for assembling letters and

memoranda, using NRC divider tabs (NRC Forms 8A and 8B) available from the

NRC Supply Store. Remove all enclosure and attachment tabs before submitting a

correspondence package to OEDO for signature.

• Fasten assembled correspondence packages with binder clips rather than staples

to allow for copying after the correspondence is signed.
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4.6 Reproduction. Reproduce copies as follows:

• For recipients outside the agency, reproduce copies from the signed original.

• For recipients within the agency—

– If the correspondence is a single page, reproduce copies from the official record

copy (the concurrence copy) or

– If the correspondence is more than one page, reproduce copies from the

original, except reproduce the official record copy as the last page.

4.7 Dispatch. The signing office ensures that—

• The original hard copy is dated.

• In ADAMS, the document is dated and marked with /RA/ (record approved) and the

concurrence dates are typed in the concurrence grid before the original is declared

an official agency record and dispatched.

• Copies are appropriately distributed.
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Figure 4.1

Electronic Mail (E-Mail) Message
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Figure 4.2

Page-Size Letterhead
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Figure 4.3

Assembly Tabs
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Section 5

5 Commission Papers

The Office of the Secretary of the Commission (SECY) is responsible for all

correspondence (principal correspondence), including Commission papers for the

Commission. See Section 2, "Responsibilities for Writing and Handling

Correspondence," of this handbook. See also the Commission’s Internal Procedures

on NRC’s Public (external) Web site for more information about Commission

documents.

5.1 Types

Commission papers, known as SECY papers (see Figures 5.1 and 5.2), constitute the

principal instrument by which the Commission receives information needed for making

decisions. See also on NRC’s external Web site What We Do: Commission DirectionSetting and Policymaking and Commission Resources in the Electronic Reading

Room. The three types of Commission papers, Affirmation, Notation, and Information,

are described below:

• An Affirmation paper requires a Commission decision and a Commission meeting.

Affirmation papers present relatively major policy issues, such as final rules and

regulations or proposed Commission orders in adjudicatory matters. Commissioners

vote through a written notation process and affirm their votes at a public affirmation

session, a type of Commission meeting.

• A Notation paper also requires a Commission decision but does not require

affirming of Commission votes in a public meeting. As Commissioners do for an

affirmation paper, they vote through a written notation process on a notation paper.

• An Information paper sends to the Commission information on significant

matters and requires no Commission action.

5.2 Writing

Before beginning a SECY paper, read Sections 1 and 2 of this handbook. Then, follow

the guidelines in Section 3, "Writing Guidelines and E-Mail Etiquette," of this handbook

and do the following:
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• Make your SECY paper five or fewer pages to facilitate creating a clear and concise

paper.

• Present detailed discussion and analysis in enclosures that are appropriately

referenced.

• Summarize in the paper itself the major issues, conclusion, recommendations,

commitments, resources, and any dissenting views, as appropriate.

• Prepare the SECY paper on plain white paper because the SECY staff reproduces

the paper on the appropriate letterhead (see Figure 5.2, "Commission Paper

Letterheads and Spacing").

5.3 Concurrence

Include coordination and concurrence information for the Office of the General Counsel

(OGC), the Office of the Chief Financial Officer (OCFO), and the Office of Information

Services (OIS), as follows:

• Coordinate every SECY paper with OGC and obtain its concurrence. Include

a statement in the paper indicating that OGC concurs and has no legal objection.

• If a paper contains matters involving the budget or financial management,

coordinate it with OCFO, obtain their concurrence, and include an appropriate

concurrence statement for OCFO.

• If a paper impacts information technology or information management, coordinate

it with OIS before submitting it to the Office of the Executive Director for Operations

(OEDO) and place the Director of OIS in the concurrence chain.

5.4 Signing (See also Table 2.1, "Signatures," in this handbook.)

• The EDO signs a SECY paper prepared by offices reporting to the EDO.

• Do not date a Commission paper to be signed by the EDO because the OEDO’s

Administrative and Correspondence Staff (ACS) dates it after it is signed by the

EDO. The ACS then forwards the Commission paper to SECY. 

• For an office reporting to the Commission, the office director signs the SECY paper.
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5.5 Assembling for Signature

• Assemble the following:

(1) a completed ADAMS Document Submission NRC Form 665S or 665P, or both;

(2) a paper original for the EDO or the Commission-level office director to sign; and

(3) a paper official record copy on which to concur.

• Place the correspondence in the Agencywide Documents Access and Management

System (ADAMS) and place the ADAMS accession number on the concurrence

page. The ADAMS profile should be filled out completely by the originating office.

• When complete, submit the following to OEDO or to SECY:

(1) a SECY paper distribution sheet (Form 6), available at ADAMS Accession

 Number ML032160382 or from the OEDO’s ACS, and 

(2) the paper original.

5.6 Distribution

SECY finalizes each Commission paper in ADAMS, determines its public or non-public

availability, and declares the paper an official agency record.

SECY distributes copies of Commission papers signed by the EDO or an office

reporting to the Commission. SECY retains the official record copy or concurrence

page. The original of the Commission paper is returned to the office contact on the

SECY distribution sheet.
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Figure 5.1

Commission Paper
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Figure 5.1 (continued)
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Figure 5.1 (continued)
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Figure 5.1 (continued)
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Figure 5.2

Commission Paper Letterheads and Spacing
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Section 6

6 Letters

A letter is any correspondence addressed to other Government agencies, businesses,

or individuals outside NRC (see Section 8, "Definitions," of this handbook).

The type of correspondence that NRC officials sign, unless otherwise directed, is given

in Table 2.1, "Signatures," in Section 2 of this handbook. 

Before you begin your letter, read this section and review the figures at the end of this

section and the information they contain.

To prepare a draft letter that is intended for review and revision, follow instructions in

Sections 6.1.1 through 6.1.9, setting 1-inch left and right margins, the standard for all

letters. Double-space drafts. For editing, give a technical editor a double-spaced draft

if the letter will not be edited electronically.

Before preparing a final letter, see Figure 6.1, "Letter." See also Section 6.4, "Forms of

Address." In Section 6.4, Table 6.1 gives examples of commonly used address blocks,

Table 6.2 gives examples of commonly used address blocks and salutations, and Table

6.3 gives forms of address for U.S. Government officials, military personnel, some

foreign officials, and religious officials. 

6.1 Components and Formatting

6.1.1 Date. The date on which the letter is signed.

• Do not date a letter until it is signed. See also Section 2, "Responsibilities for Writing

and Handling Correspondence," in this handbook for correspondence that the

Offices of the Secretary of the Commission (SECY) or the Executive Director for

Operations (OEDO) date.

• Use only the date on which the letter is signed. Do not use the date of dispatch.

• Type the date, centered, two lines below the letterhead. Date stamps are not visible

in ADAMS and should not be used.
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• Use the format of month, day, year, spelling out the month.

Example: April 4, 2005

6.1.2 Address Block. The name and title of the principal recipients and the postal

 address to which the letter will be delivered.

• Begin the address at the left margin at least six lines below the top margin.

• Type the address single spaced, block style.

• Left-justify all lines of the address, following the instruction and examples in Table

6.1, "Address Blocks."

• Use the United States Postal Service (USPS) two-letter abbreviations for States and

territories, plus a 9-digit ZIP Code, if available. Refer to the USPS Web site at

http://www.usps.com to find—

– State Abbreviations at http://www.usps.com/ncsc/lookups/ abbreviations.html

– ZIP Code Lookup at http://www.usps.com/zip4/

– "Postal Addressing Standards" (Publication 28) at http://pe.usps.gov/

text/pub28/welcome.htm

• When responding to correspondence that has been signed by two or more

individuals from different addresses, a separate letter to each individual must be

prepared for signature. There is only one concurrence page that makes reference

to the other individuals who are receiving identical letters. The following statement

should be placed on the concurrence page before the concurrence grid as follows:

Identical Letters Sent To: See next page

A separate page should be created listing the name and addresses of individuals

who will be receiving identical letters. 

An exception would be preparing letters for the Chairman’s signature. Only one

letter is prepared for the Chairman’s signature. The list of the other individuals to

receive a signed letter is provided as a separate page listing the individuals’ names
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and addresses. SECY will prepare all the letters for the Chairman’s signature once

Commission review is completed. If you have any questions, please contact the

ACS for clarification.

6.1.3 Subject Line (optional for a letter). Information to aid the recipient in

identifying the principal purpose of the letter and, if applicable, that the

letter responds to incoming correspondence about a particular topic.

• Do not use a subject line on a letter to be signed by the Chairman, a Commissioner,

the Executive Director for Operations (EDO), or the Deputy Executive Directors for

Operations (DEDOs), except for letters addressed to the Advisory Committee on

Reactor Safeguards and the Advisory Committee on Nuclear Waste, which the EDO

signs.

• You may use a subject line on a letter from any other NRC official, up to and

including an office director or a regional administrator.

• Type the subject line at the left margin, two lines below the last line of the address.

• Type SUBJECT in capital letters at the left margin, followed by a colon.

• Type the subject information itself after the colon in capital letters.

• Use a one-line subject if possible (read Figure 6.1).

• If the subject requires more than one line, begin any subsequent line on the next line

flush with the first word of the subject.

6.1.4 References (optional). Information about a single document or a list of

documents sufficient to help a reader find the document or its association

with the content of the letter.

• If only a single reference is required, identify the reference in the first paragraph of

the letter.

Example:

Section 2 of NRC’s Standard Review Plan (see ADAMS ML003674233) for mixed

oxide fuel (MOX) facility applications describes NRC’s review of the financial
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qualifications for obtaining construction approval and an operations license for a

MOX facility.

• If a number of references are needed, create a list on a separate page, identifying

each reference by title and date, as appropriate.

Examples:

References

NRC: Regulator of Nuclear Safety (NUREG/BR–0164)

Regulating Nuclear Fuel (NUREG/BR–0280)

Nuclear Research Programs To Ensure Public Health and Safety

(NUREG/BR–0282)

Safety of Spent Fuel Transportation (NUREG/BR–0292)

References

Letter to Dr. Ivan Itkin, Department of Energy (DOE), transmitting NRC comments

on DOE’s Draft Environmental Impact Statement for a High-Level Waste (HLW)

Repository, 02/22/2002 (ML003689802)

Letter to Mr. James Riccio, Critical Mass Project, concerning the need for formal

licensing hearings for an HLW Repository, 04/14/2000 (ML003711653)

Paper by Sitakanta Mohanty, Center for Nuclear Waste Regulatory Analyses, titled

"Risk Assessment in the Disposal of High Level Radioactive Waste," 10/08/2002

(ML022810676)

6.1.5 Salutation. Opening address to the principal recipient or recipients of the

letter.

• Begin the salutation at the left margin, two lines below the last line of the address

or subject, if used.
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• Type the salutation single spaced, block style, followed by a colon, following the

instructions and samples shown in Table 6.2.

6.1.6 Body. The content of the letter divided into paragraphs, as needed.

• Begin the body of the letter at the left margin on the first page, two lines below the

salutation (see Figure 6.1, "Letter").

• If necessary to continue the body of the letter on another page, include the page

number centered on the top of the page and print the second and any subsequent

pages on plain bond.

• If possible, limit letters to two pages.

• Single-space a letter of two or more paragraphs.

• Double-space a short one-paragraph letter of 10 or fewer lines, indenting the first

line one tab.

• Leave at least two lines of text at the bottom of a page or at the top of a continuation

page to aid the reader’s comprehension when reading a paragraph that spans two

pages.

• Do not divide words between pages.

6.1.7 Complimentary Close. Indicates that the letter is closing and precedes the

signature.

• Use "Sincerely," unless otherwise directed by the originator or specified in an

overriding procedure (see Figure 6.1, "Letter").

• Start the complimentary close at the center of the page, two lines below the last line

of the letter.

6.1.8 Signature Block. The name and title of the NRC official who signs the

letter, usually called the signatory.

• Type the name and title five lines below and flush with the first word of the

complimentary close (see Figure 6.1).
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• On the first line of the signature block, type the name, followed by a comma and the

title.

• If any line of the signature block extends beyond a single line, indent the remaining

information two spaces on the next line.

Example: Sincerely,

First M. Last, Title

Title of Branch (if applicable)

 (Start second line here if applicable)

Title of Division (if applicable)

 (Start second line here if applicable)

Title of Office

 (Start second line here if applicable)

• If a letter requires two signature blocks, type the name and title five lines below and

flush with the last line of the first signature block (see Figure 6.2).

Example: Sincerely,

First M. Last, Title

Title of Branch (if applicable)

 (Start second line here if applicable)

Title of Division (if applicable)

 (Start second line here if applicable)

Title of Office

 (Start second line here if applicable)
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First M. Last, Title

Title of Branch (if applicable)

 (Start second line here if applicable)

Title of Division (if applicable)

 (Start second line here if applicable)

Title of Office

 (Start second line here if applicable)

6.1.9 Envelope. The container in which the letter and any enclosures will be

sealed and mailed to the address on the envelope.

• Type the address single space, block style.

• When using a window envelope, omit all punctuation except the hyphen in the ZIP

Code and be certain that the entire address is visible through the window.

• See MD 3.23, "Mail Management," and NUREG/BR-0248, "The Mail Services

Center Reference Guide," for more information.

6.2 Procedures for Handling

Follow the guidance in Sections 4.4, 4.5, 4.6, and 4.7 for creating notations,

assembling, reproducing, and dispatching your letter, noting the exceptions in

Section 6.3 for letters signed by the Chairman.

6.3 Exceptions for Letters To Be Signed by the Chairman

The following procedures are for letters intended for the Chairman’s signature.

Commissioners handle their own correspondence unless they request that the SECY

staff control their correspondence in the SECY system (see also Section 7,

"Memoranda").

6.3.1 Preparation

• Use NRC stationery with the NRC seal in the upper left corner with the legend

"Chairman" under the seal (see Figure 4.2 in Section 4).

• Indent the first line of every paragraph one tab.
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• Begin letters with "On behalf of the Nuclear Regulatory Commission, I am

responding to your letter of May 14, 2005."

• Limit the letter to no more than two pages, making the text brief, honest, easily

understood by the intended recipients, and responsive to the concerns of the

incoming correspondence. See also Section 3, "Writing Guidelines and E-Mail

Etiquette." On a continuation page, type only the centered page number in the

header, omitting the recipient’s name.

• In the signature block, use only the Chairman’s name without a title.

• If a letter refers to a docket case, type the docket number only on the official record

copy, two lines below the signature line.

• Place on the concurrence page one of the following two statements to help SECY

determine if the correspondence should be Commission-approved (all

Commissioners approving) or just Chairman-approved (only Chairman approving):

1. This correspondence addresses policy issues previously resolved by the

Commission, transmits factual information, or restates Commission policy.

-or2. This correspondence formulates policy or expands, revises, or interprets policy,

involves matters pending Commission decision, contains items relating to the

performance of Commission duties and responsibilities, or involves items of high

Commission interest.

For more information, see also the Internal Commission Procedures, Chapter V,

"Outgoing Correspondence," on the external Web site.

• Send a letter for the Chairman’s signature, undated, to OEDO’s Administrative and

Correspondence Staff (ACS).

• ACS sends a letter for the Chairman’s signature to the SECY staff for signature,

copying, and processing.

• Commission-level offices send letters for the Chairman’s signature, undated, directly

to SECY.
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• If the letter is for the Chairman’s signature, the ADAMS profile should be filled out

completely by the originating office.

The SECY staff completes the profile for these letters and declares the letters official

agency records in ADAMS. The SECY staff also ensures that no correspondence

addressed to the White House is made available to the public. White House officials

reserve the right to make this correspondence public.

6.3.2 Copy Requirements

Place the following copy requirements, if applicable, on the official record copy (the

concurrence page):

• The yellow ticket control number and/or the OEDO tasking item number, if

applicable

• RidsEdoMailCenter

• SECY, when the correspondence is referred by SECY, referencing SECY’s

correspondence record alphanumeric control number (e.g., LTR-YY-XXXX)

• Office of Congressional Affairs (OCA), when the letter responds to a congressional

letter or inquiry or is related to congressional issues

• Offices receiving a copy of the incoming letter, which the EDO’s ACS places in the

routing column of the OEDO’s tasking item, also receive a copy of the response

• Other information copies designated by the originator

SECY reviews the originating office’s recommendations on the ADAMS Document

Submission NRC Form 665S or 665P, or both; finalizes each letter in ADAMS;

determines the public or non-public availability; and declares the letter an official agency

record.

6.3.3 Reproduction

Reproduce copies, as necessary, of these letters for those on the distribution list after

it is returned to the originating office signed and dated.
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6.4 Forms of Address

Table 6.1 gives examples of commonly used address blocks while Table 6.2 gives

examples of less commonly used address blocks and their salutations. Table 6.3 gives

the conventional forms of address as determined by social and official custom, including

the address element, salutation, and complimentary close. See also the Congressional

Directory available at http://www.gpoaccess.gov/cdirectory/index.html.

Information is also available on line on the external Web Brain Bank site at http://

www.cftech.com/BrainBank/. Select Other Reference, Forms of Address, and then

Spoken and Written Forms of Address.

Table 6.1 Address Blocks

Instruction Example

Type the usual three-line address to an

individual as described in the

preceding instructions.

Mr. Claude J. Jones

1500 E. Main Avenue

Glory, VA 22151-1010

When a line in an address extends

beyond the center of the page, go to

the next line and indent the remainder

of that line of the address two spaces.

Mr. James Reed

American Academy of Architects 

 and Construction Engineers

1400 Pennsylvania Avenue NW.

Washington, DC 20005-1357

When using a foreign address, place

the country’s name by itself on the last

line.

Mr. Thomas Clark

117 Russell Drive

London W1P6HQ

England

When using both a Post Office (PO)

box number and a PO station name or

number, type the PO box number first.

Use either a street address or a PO

box number, but not both.

Mr. John R. Brown

ABC Company

PO Box 2, Potomac Station 1

Potomac, MD 20858-5432

When using a rural route number,

abbreviate rural route (RR) and follow

it by Arabic numerals; omit the symbol

(#) or the word "number."

Ms. Jane A. Jackson

RR2, Box 152

Wading River, NY 10972-1234
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Table 6.1 Address Blocks (continued)

Instruction Example

When using an apartment, suite, or

other unit number, type it after the

street address on the same line, or if it

extends beyond the center of the page,

type it on the line below the street

address. 

Mrs. Sue Brown

7000 Vernon Street, Apt. 2

Camp Springs, MD 20022-1443

Mrs. Sally James

1629 Inverness Racing Circle Parkway

Apt. 10

Winona, MD 26213-1330

Use an attention line in the address,

only on an envelope, not in the

addressee block of the letter. Type it

after the primary recipient’s name or

organization.

Mr. John Jackson, President

ATTN: Mr. Robert Roe

XYZ Nuclear Power Plant

123 Highland Road

Detroit, MI 48217-1234

The Xerox Corporation

ATTN: Mr. Richard Rex

169 Corporate Road

Detroit, MI 48217-1234

Table 6.2 Salutations

Ex.

No.

Instruction

and Letter Address Salutation

1. To a single individual known to be male or

female, use the name known. 

Mrs. Sue Brown

7000 Vernon Street, Apt. 2

Camp Springs, MD 20022-1443

Mr. Claude J. Jones

1500 E. Main Avenue

Glory, VA 22151-1010

Dear Mrs. Brown:

Dear Mr. Jones:
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Table 6.2 Salutations (continued)

Ex.

No.

Instruction

and Letter Address Salutation

2. When it is not known whether the addressee

is male or female, use the name as given

S. J. Jones

RR2, Box 152

Wading River, NY 10972-1234

Dear S. J. Jones:

3. When the principal addressee is an

organization, use "Gentlemen" as the

salutation. 

National Atomic Corporation

123 Maritime Street

New York, NY 20050-2000

Gentlemen:

4. If the organization is known to be primarily

female, use "Ladies" as the salutation.

Federally Employed Women

4552 N. Capitol Street

Washington, DC 20040-1000

Ladies:

5. When writing a generic letter, use a generic

address line but omit the salutation.

To: ALL BOILING WATER

REACTOR LICENSEES

ALL PRESSURIZED

WATER REACTOR

LICENSEES
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Table 6.3 Forms of Address

Addressee Address on Letter and Envelope

Salutation and

Complimentary Close

THE WHITE HOUSE

The President The President 

The White House

Washington, DC 20500

Dear Mr. or Madam

 President:

Respectfully,

Spouse of the

 President

Mrs. (full name) or

Mr. (full name)

The White House

Washington, DC 20500

Dear Mrs. or Mr.

 (surname):

Sincerely,

Assistant to the

 President

The Honorable (full name)

Assistant to the President

The White House

Washington, DC 20500

Dear Mr., Mrs., Miss, or

Ms. (surname):

Sincerely,

Former President The Honorable (full name)*

(local address) (ZIP Code)

*Use The Honorable unless the

former President prefers another

title earned, such as a military one,

in which case, use—

General (full name); 

Dear General (surname):

Sincerely,

Dear President

 (surname):

Sincerely,

The Vice

 President

The Vice President

United States Senate

Washington, DC 20510

Dear Mr. or Madam Vice

 President:

Sincerely,

Former Vice

 President

The Honorable (full name)

(no title) 

(local address) (ZIP Code)

Dear Mr., Mrs., Miss, or

Ms. (surname):

Sincerely,
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Table 6.3 Forms of Address (continued)

Addressee Address on Letter and Envelope

Salutation and

Complimentary Close

THE WHITE HOUSE (continued)

Director, Office of

 Management

 and Budget

The Honorable (full name)

Director, Office of Management

 and Budget

Washington, DC 20503

Dear Mr., Mrs., Miss, or

Ms. (surname):

Sincerely,

THE FEDERAL JUDICIARY

The Chief Justice 

Associate Justice

The Chief Justice

The Supreme Court

Washington, DC 20543

Justice (surname)

The Supreme Court

Washington, DC 20543

Dear Chief Justice:

Sincerely,

Dear Justice (surname):

Sincerely,

The Clerk of the

 Supreme Court

The Clerk of the Supreme Court

The Supreme Court 

Washington, DC 20543

Dear Mr., Mrs., Miss, or

Ms. (surname):

Sincerely,

THE CONGRESS

President of the

 Senate

The Honorable (full name)

President of the Senate

Washington, DC 20510

Dear Mr., Mrs., Miss, or

Ms. (surname):

Sincerely,

President of the

 Senate Pro

 Tempore

The Honorable (full name)

President Pro Tempore

United States Senate

Washington, DC 20510

Dear Mr. or Madam

 President:

Sincerely,

Speaker of the

 House of

 Representatives

The Honorable (full name)

Speaker of the House of

 Representatives

Washington, DC 20515

Dear Mr. or Madam

 Speaker:

Sincerely,
Volume 3, Part 2 - Records Management

Correspondence Management

Handbook 3.57 Section 6

66 Approved: August 4, 1994

(Revised: October 18, 2005)

Table 6.3 Forms of Address (continued)

Addressee Address on Letter and Envelope

Salutation and

Complimentary Close

THE CONGRESS (continued)

Majority Leader

 United States

 Senate

The Honorable (full name)

Majority Leader

United States Senate

Washington, DC 20510

Dear Mr. or Madam

 Leader:

Sincerely,

Minority Leader

 United States

 Senate

The Honorable (full name)

Minority Leader

United States Senate

Washington, DC 20510

Dear Mr. or Madam

 Leader:

Sincerely,

United States

 Senator

The Honorable (full name)

United States Senate

Washington, DC 20510

or

The Honorable (full name)

United States Senator

(Congressional District office

 address)

(City), (State) (ZIP Code)

Dear Senator

 (surname):

Sincerely,

Majority Leader

 House of

 Representatives

The Honorable (full name) 

Majority Leader

United States House of

 Representatives

Washington, DC 20515

Dear Mr. or Madam

 Leader:

Sincerely,

Minority Leader

 House of

 Representatives

The Honorable (full name)

Minority Leader

United States House of

 Representatives

Washington, DC 20515

Dear Mr. or Madam

 Leader:

Sincerely,
Volume 3, Part 2 - Records Management

Correspondence Management

Handbook 3.57 Section 6

Approved: August 4, 1994 67

(Revised: October 18, 2005)

Table 6.3 Forms of Address (continued)

Addressee Address on Letter and Envelope

Salutation and

Complimentary Close

THE CONGRESS (continued)

United States

 Representative

The Honorable (full name)

United States House of

 Representatives

Washington, DC 20515 

or

The Honorable (full name) 

Member, United States House of

 Representatives

(local address) (ZIP Code)

Dear Congressman or

Congresswoman

 (surname):

Sincerely,

Committee

 Chairman

 Chairwoman

 Chair

The Honorable (full name)

Chairman, Committee on (name)

United States Senate

Washington, DC 20510

or

The Honorable (full name)

Chairman, Committee on (name)

House of Representatives

Washington, DC 20515

Dear Mr. Chairman, or

Madam Chairwoman, or

Chair:

Sincerely,

Subcommittee

 Chairman

The Honorable (full name)

Chairman, Subcommittee on

(name)

(name of parent committee)

United States Senate

Washington, DC 20510

or

The Honorable (full name)

Chairman, Subcommittee on

 (name)

(name of parent committee)

House of Representatives

Washington, DC 20515

Dear Mr. Chairman, or

Madam Chairwoman, or

Chair:

Sincerely,

or

Dear Mr. or Madam

Chairman:

Sincerely,
Volume 3, Part 2 - Records Management

Correspondence Management

Handbook 3.57 Section 6

68 Approved: August 4, 1994

(Revised: October 18, 2005)

Table 6.3 Forms of Address (continued)

Addressee Address on Letter and Envelope

Salutation and

Complimentary Close

THE CONGRESS (continued)

Joint Committee

 Chairman*

*See also the

Congressional

Directory and in

the ADAMS

Correspondence

Format File

folders, see OCA

Formats.

The Honorable (full name)

Chairman, Joint Committee on

 (name)

Congress of the United States

Washington, DC (ZIP Code)

Dear Mr. or Madam

 Chairman:

Sincerely,

Senator-elect or

Representativeelect 

The Honorable (full name)

United States Senator-elect

(address, if given) or

Care of the United States Senate

Washington, DC 20510

or

The Honorable (full name)

United States Representative-elect

(address, if given) or

Care of the United States House

 of Representatives

Washington, DC 20515

Dear Senator-elect

 (surname):

Sincerely,

or

Dear Congressman-

 elect:

Sincerely,

Office of a

 Deceased

 Senator

 or

Office of the late Senator*

 (full name)

United States Senate

Washington, DC 20510

or

Sir or Madam:

Sincerely,
Volume 3, Part 2 - Records Management

Correspondence Management

Handbook 3.57 Section 6

Approved: August 4, 1994 69

(Revised: October 18, 2005)

Table 6.3 Forms of Address (continued)

Addressee Address on Letter and Envelope

Salutation and

Complimentary Close

THE CONGRESS (continued)

Office of a

 Deceased

 Representative

Office of the late Representative

(full name)

House of Representatives

Washington, DC 20515

*If the name of the late Senator’s

secretary or administrative

assistant is known, address the

letter to that person by name.

Chaplain of the

 United States

 Senate

or

House of

 Representatives

The Reverend (full name)

Chaplain of the United States

 Senate

Washington, DC 20510

or

The Reverend (full name)

Chaplain of the House of

 Representatives

Washington, DC 20515

Dear Mr., Mrs., Miss,

Ms. or (surname):*

Sincerely,

*The title is "Mr." or "Dr."

as appropriate. Do not

use "Reverend" with the

surname alone.

Secretary of the

 United States

 Senate

The Honorable (full name)

Secretary of the Senate

United States Senate

Washington, DC 20510

Dear Mr., Mrs., Miss, or

Ms. (surname):

Sincerely,

Clerk of the

 House

The Honorable (full name)

Clerk of the House of

 Representatives

House of Representatives

Washington, DC 20515

Dear Mr., Mrs., Miss, or

Ms. (surname):

Sincerely,
Volume 3, Part 2 - Records Management

Correspondence Management

Handbook 3.57 Section 6

70 Approved: August 4, 1994

(Revised: October 18, 2005)

Table 6.3 Forms of Address (continued)

Addressee Address on Letter and Envelope

Salutation and

Complimentary Close

THE CONGRESS (continued)

Resident

 Commissioner

The Honorable (full name)

Resident Commissioner from

 Puerto Rico

United States House of

 Representatives

Washington, DC 20515

Dear Mr., Mrs., Miss, or

Ms. (surname):

Sincerely,

Delegate The Honorable (full name)

Delegate from (name)

United States House of

 Representatives

Washington, DC 20515

Dear Mr., Mrs., Miss, or

Ms. (surname):

Sincerely,

LEGISLATIVE AGENCIES

Comptroller

 General

The Honorable (full name)

Comptroller General of the United

 States

Washington, DC 20548

Dear Mr., Mrs., Miss, or

Ms. (surname):

Sincerely,

Librarian of

 Congress

The Honorable (full name)

Librarian of Congress

Library of Congress

Washington, DC 20540

Dear Mr., Mrs., Miss, or

Ms. (surname):

Sincerely,

Public Printer The Honorable (full name)

Public Printer

U.S. Government Printing Office

Washington, DC 20401

Dear Mr., Mrs., Miss, or

Ms. (surname):

Sincerely,

EXECUTIVE DEPARTMENTS AND INDEPENDENT AGENCIES

Cabinet Members The Honorable (full name)

Secretary of (Department)

Washington, DC (ZIP Code)

or

Dear Mr. or Madam

 Secretary:

Sincerely,

or
Volume 3, Part 2 - Records Management

Correspondence Management

Handbook 3.57 Section 6

Approved: August 4, 1994 71

(Revised: October 18, 2005)

Table 6.3 Forms of Address (continued)

Addressee Address on Letter and Envelope

Salutation and

Complimentary Close

EXECUTIVE DEPARTMENTS AND INDEPENDENT AGENCIES (continued)

The Honorable (full name)

Attorney General

Washington, DC 20530 

Dear Mr. or Madam

 Attorney General:

Sincerely,

Deputy

 Secretaries

or

Assistant

 Secretaries

or

Undersecretaries

The Honorable (full name)

Deputy Secretary of (Department)

Washington, DC (ZIP Code)

or

The Honorable (full name)

Assistant Secretary of

 (Department)

Washington, DC (ZIP Code)

or

The Honorable (full name)

Undersecretary of (Department)

Washington, DC (ZIP Code)

Dear Mr., Mrs., Miss, or

Ms. (surname):

Sincerely,

Postmaster

 General

The Honorable (full name)

Postmaster General

Washington, DC 20260

Dear Mr. or Madam

 Postmaster General:

Sincerely,

Head of a

 Federal Agency,

 Authority, or

 Board

The Honorable (full name) 

(title)

(agency name)

(address)

(City), (State) (ZIP Code)

Dear Mr., Mrs., Miss, or

Ms. (surname):

Sincerely,

Head of a major

 organization

 within an

 agency, if a

 Presidential

 appointee

The Honorable (full name) 

(title), (organization name)

(agency name)

(address)

(City), (State) (ZIP Code)

Dear Mr., Mrs., Miss, or

Ms. (surname):

Sincerely,
Volume 3, Part 2 - Records Management

Correspondence Management

Handbook 3.57 Section 6

72 Approved: August 4, 1994

(Revised: October 18, 2005)

Table 6.3 Forms of Address (continued)

Addressee Address on Letter and Envelope

Salutation and

Complimentary Close

EXECUTIVE DEPARTMENTS AND INDEPENDENT AGENCIES (continued)

Chairman of a

 Commission or

 Board

The Honorable (full name)

Chairman, (commission name)

(address) 

(City), (State) (ZIP Code)

Dear Mr. or Madam

 Chairman:

Sincerely,

Chairman of a

 Permanently

 Chartered

 Commission or

 Council

Chairman (full name)

(commission name)

(address)

(City), (State) (ZIP Code)

Dear Mr., Mrs., Miss, or

Ms. (surname):

Sincerely,

AMERICAN MISSIONS

Ambassador The Honorable (full name)

American Ambassador

(City)

(Country)

Formal:

Sir or Madam: 

Dear Mr. or Madam:

Very truly yours, 

Informal:

Ambassador: 

Sincerely,

Personal

 (Special)

 Representative

 of the President

The Honorable (full name)

Personal Representative of the

 President of the United States of

 America to (country)

(address)

(City), (State)

(Country)

Dear Mr., Mrs., Miss, or

Ms. (surname):

Sincerely,
Volume 3, Part 2 - Records Management

Correspondence Management

Handbook 3.57 Section 6

Approved: August 4, 1994 73

(Revised: October 18, 2005)

Table 6.3 Forms of Address (continued)

Addressee Address on Letter and Envelope

Salutation and

Complimentary Close

AMERICAN MISSIONS (continued)

American Consul

 General 

or

American Consul

Mr. (full name) 

American Consul General or

American Consul)

(City)

(Country)

Dear Mr., Mrs., Miss, or

Ms. (surname):

Sincerely,

FOREIGN DIPLOMATIC MISSIONS TO THE UNITED STATES

Foreign

 Ambassador in

 the United

 States

His or Her Excellency (full name) 

Ambassador of (Country)

Washington, DC (ZIP Code)

Formal:

Excellency: 

Very truly yours,

Informal:

Dear Mr. or Madam

 Ambassador:

Sincerely, 

Foreign Minister

 in the United

 States (head of

 a Legation)

The Honorable (full name)

Minister of (Country)

Washington, DC (ZIP Code)

Dear Mr. or Madam

 Minister:

Sincerely,

Foreign Minister

or

Counselor in the

 United States

The Honorable (full name)

Minister or Counselor

Embassy of (Country)

Washington, DC (ZIP Code)

Dear Mr. or Madam

 Minister:

Sincerely,

INTERNATIONAL ORGANIZATIONS

United States

 Representative

 to the United

 Nations or

 Organization of

 American States

The Honorable (full name)

United States Representative to

 the United Nations (or

 Organization of American States)

(City), (State) (ZIP Code)

Formal:

Sir or Madam: 

Very truly yours, 

Informal:

Dear Mr. or Madam

 Ambassador: 

Sincerely, 
Volume 3, Part 2 - Records Management

Correspondence Management

Handbook 3.57 Section 6

74 Approved: August 4, 1994

(Revised: October 18, 2005)

Table 6.3 Forms of Address (continued)

Addressee Address on Letter and Envelope

Salutation and

Complimentary Close

STATE AND LOCAL GOVERNMENTS

Governor of State The Honorable (full name)

Governor of (State)

(City), (State) (ZIP Code)

Dear Governor

(surname):

Sincerely,

Lieutenant

 Governor

The Honorable (full name)

Lieutenant Governor of (State)

(City), (State) (ZIP Code)

Dear Mr., Mrs., Miss, or

Ms. (surname):

Sincerely,

Attorney General

 of a State

The Honorable (full name)

Attorney General

State of (State)

(City), (State) (ZIP Code)

Dear Mr., Mrs., Miss, or

Ms. Attorney General:

Sincerely,

State Senator The Honorable (full name)

(State) Senate

(City), (State) (ZIP Code) 

Dear Mr., Mrs., Miss, or

Ms. (surname):

Sincerely,

State

 Representative

or

 Assemblyman 

or

Delegate

The Honorable (full name)

(State) House of Representatives

or

(State) Assembly

or

(State) House of Delegates

(City), (State) (ZIP Code)

Dear Mr., Mrs., Miss, or

Ms. (surname):

Sincerely,

Mayor The Honorable (full name)

Mayor of (City)

(City), (State) (ZIP Code)

Dear Mayor (surname):

Sincerely,

President of a

 Board of

 Commissioners

The Honorable (full name)

President, Board of

 Commissioners of (name of city)

(City), (State) (ZIP Code)

Dear Mr., Mrs., Miss or

Ms. (surname):

Sincerely,
Volume 3, Part 2 - Records Management

Correspondence Management

Handbook 3.57 Section 6

Approved: August 4, 1994 75

(Revised: October 18, 2005)

Table 6.3 Forms of Address (continued)

Addressee Address on Letter and Envelope

Salutation and

Complimentary Close

CHURCH OFFICIALS

Minister

or

Pastor

or

Rector (with

 doctoral degree)

The Reverend (full name,

 degrees) 

(name of church)

(address)

(City), (State) (ZIP Code)

Dear Dr. (surname):

Sincerely,

Minister

or

Pastor

or

Rector (with no

 doctoral degree)

The Reverend (full name) 

(name of church)

(address)

(City), (State) (ZIP Code)

Dear Mr., Mrs., Miss, or

Ms. (surname):

Sincerely,

Presiding

 Episcopal

 Bishop

The Most Reverend (full name,

 degrees)

Presiding Bishop of the Episcopal

Church

(address)

(City), (State) (ZIP Code)

Dear Bishop (surname):

Sincerely,

Episcopal Bishop The Right Reverend (full name,

 degrees)

Bishop of (diocese)

(address)

(City), (State) (ZIP Code)

Dear Bishop (surname):

Sincerely,

Episcopal Dean The Very Reverend (full name,

 degrees)

Dean of (church)

(address)

(City), (State) (ZIP Code)

Dear Dean (surname):

Sincerely,
Volume 3, Part 2 - Records Management

Correspondence Management

Handbook 3.57 Section 6

76 Approved: August 4, 1994

(Revised: October 18, 2005)

Table 6.3 Forms of Address (continued)

Addressee Address on Letter and Envelope

Salutation and

Complimentary Close

CHURCH OFFICIALS (continued)

Methodist Bishop The Reverend (full name,

 degrees)

Methodist Bishop

(address)

(City), (State), (ZIP Code)

Dear Bishop:

Sincerely,

Mormon Bishop Mr. (Full name)

The Church of Jesus Christ of

 Latter-Day Saints

(address)

(City), (State) (ZIP Code)

Dear Mr. (surname):

Sincerely,

Rabbi (with

 doctoral degree)

Rabbi (full name, degrees)

(Synagogue)

(address)

(City), (State) (ZIP Code)

Dear Dr. (surname):

Sincerely,

Rabbi (without

 doctoral degree)

Rabbi (full name)

(Synagogue)

(address)

(City), (State) (ZIP Code)

Dear Rabbi (surname):

Sincerely,

Catholic Cardinal His Eminence (first name)

Cardinal (surname)

(address)

(City), (State) (ZIP Code)

Dear Cardinal

 (surname):

Sincerely,

Catholic

 Archbishop

The Most Reverend (full name)

Archbishop of (archdiocese)

(address)

(City), (State) (ZIP Code)

Dear Archbishop

 (surname):

Sincerely,

Catholic Bishop The Most Reverend (full name)

Bishop of (diocese)

(address)

(City), (State) (ZIP Code)

Dear Bishop (surname):

Sincerely,
Volume 3, Part 2 - Records Management

Correspondence Management

Handbook 3.57 Section 6

Approved: August 4, 1994 77

(Revised: October 18, 2005)

Table 6.3 Forms of Address (continued)

Addressee Address on Letter and Envelope

Salutation and

Complimentary Close

CHURCH OFFICIALS (continued)

Catholic

 Monsignor

 (higher rank)

The Right Reverend (full name)

(address)

(City), (State) (ZIP Code)

Dear Monsignor

 (surname):

Sincerely,

Catholic

 Monsignor

 (lower rank)

The Very Reverend (full name)

(address)

(City), (State) (ZIP Code)

Dear Monsignor

 (surname):

Sincerely,

Catholic Priest The Reverend (full name)

(initials of order, if used)

(address)

(City), (State) (ZIP Code)

Dear Father (surname):

Sincerely,

Catholic Mother

 Superior of an

 institution

The Reverend Mother Superior,

(initials of order, if used)

(name of institution)

(address)

(City), (State) (ZIP Code)

Dear Reverend Mother:

Sincerely,

Orthodox

 Archbishop

His Eminence

 Archbishop (full name)

(address)

(City), (State) (ZIP Code)

Your Eminence:

Sincerely,

Orthodox Bishop His Grace (full name)

Bishop of (name of diocese)

(address)

(City), (State) (ZIP Code)

Your Grace:

Sincerely,

Orthodox Priest The Reverend (full name)

(name of church)

(address)

(City), (State) (ZIP Code)

Dear Father:

Sincerely,
Volume 3, Part 2 - Records Management

Correspondence Management

Handbook 3.57 Section 6

78 Approved: August 4, 1994

(Revised: October 18, 2005)

Table 6.3 Forms of Address (continued)

Addressee Address on Letter and Envelope

Salutation and

Complimentary Close

CHURCH OFFICIALS (continued)

Chaplain (military

 services)

Chaplain (full name)

(rank, service designation)

(address)

(City), (State) (ZIP Code)

Dear Chaplain

 (surname):

Sincerely,

MILITARY SERVICES

Army, Air Force, Marine Corps

General

Lieutenant

 General

Major General

Brigadier General 

(full rank, full name,

abbreviation of service)

(address)

(City), (State) (ZIP Code)

Dear General

 (surname):

Sincerely,

Colonel

Lieutenant

 Colonel

(same as above) Dear Colonel (surname):

Sincerely,

Major (same as above) Dear Major (surname):

Sincerely,

Captain (same as above) Dear Captain

 (surname):

Sincerely,

Army, Air Force, Marine Corps

First Lieutenant

Second

 Lieutenant

(same as above) Dear Lieutenant

 (surname):

Sincerely,

Chief Warrant

 Officer

(same as above) Dear Chief Warrant

 Officer (surname):
Volume 3, Part 2 - Records Management

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Approved: August 4, 1994 79

(Revised: October 18, 2005)

Table 6.3 Forms of Address (continued)

Addressee Address on Letter and Envelope

Salutation and

Complimentary Close

Army, Air Force, Marine Corps (continued)

or

Warrant Officer

or

Dear Warrant Officer

 (surname):

Sincerely,

Sergeant Major

Master Sergeant

Sergeant First

 Class

Technical

 Sergeant

Staff Sergeant

Sergeant

(same as above) Dear Sergeant

 (surname):

Sincerely,

Corporal (same as above) Dear Corporal

 (surname):

Sincerely,

Specialist

classes 4 through

9

(same as above) Dear Specialist

 (surname):

Sincerely,

Private First

 Class

or

Private

(same as above) Dear Private (surname):

Sincerely,

Airman First

 Class

Airman Second

 Class

Airman Third

 Class

Basic Airman

(same as above) Dear Airman (surname):

Sincerely,
Volume 3, Part 2 - Records Management

Correspondence Management

Handbook 3.57 Section 6

80 Approved: August 4, 1994

(Revised: October 18, 2005)

Table 6.3 Forms of Address (continued)

Addressee Address on Letter and Envelope

Salutation and

Complimentary Close

Navy, Coast Guard

Admiral

Vice Admiral

Rear Admiral 

Captain

(full rank, full name, abbreviation

of service)

(City), (State) (ZIP Code)

Dear Admiral (surname):

Dear Admiral (surname):

Rear Admiral (surname):

Dear Captain

 (surname):

Sincerely,

Commander

Lieutenant

 Commander

(same as above) Dear Commander

 (surname):

Sincerely,

Lieutenant

Lieutenant (jg)

(same as above) Dear Lieutenant

 (surname):

Sincerely,

Ensign

Chief Warrant

 Officer

Enlistee

(same as above) Dear (rank, surname):

Sincerely,

All Services

Retired Officer (full rank, full name, abbreviation

 of service),

Retired

(address)

(City), (State) (ZIP Code)

Dear (rank, surname):

Sincerely,

SERVICE ACADEMIES (OFFICER CANDIDATES)

U.S. Army or Coast Guard Academy

Army Cadet or

Coast Guard

 Cadet

Cadet (full name)

(address)

(City), (State) (ZIP Code)

Dear Cadet (surname):

Sincerely,
Volume 3, Part 2 - Records Management

Correspondence Management

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Approved: August 4, 1994 81

(Revised: October 18, 2005)

Table 6.3 Forms of Address (continued)

Addressee Address on Letter and Envelope

Salutation and

Complimentary Close

U.S. Naval Academy

Navy Midshipman Midshipman (full name)

(address)

(City), (State) (ZIP Code)

Dear Midshipman

 (surname):

Sincerely, 

U.S. Air Force Academy

Air Force Cadet Cadet (full name)

(address)

(City), (State) (ZIP Code)

Dear Cadet (surname):

Sincerely,

EDUCATION OFFICIALS

President of a

 College or

 University (with

 doctoral degree)

Dr. (full name)

President, (name of institution)

(address)

(City), (State) (ZIP Code)

Dear Dr. (surname):

Sincerely,

President of a

 College or

 University

 (without doctoral

 degree)

Mr., Mrs., Miss, or Ms. (full name)

President, (name of institution)

(address)

(City), (State) (ZIP Code)

Dear Mr., Mrs., Miss, or

Ms. (surname):

Sincerely,

Dean of a School Dean (full name)

School of (name)

(name of institution)

(address)

(City), (State) (ZIP Code)

Dear Dean (surname):

Sincerely,

Professor Professor (full name)

Department of (name)

(name of institution)

(address)

(City), (State) (ZIP Code)

Dear Professor

 (surname):

Sincerely,
Volume 3, Part 2 - Records Management

Correspondence Management

Handbook 3.57 Section 6

82 Approved: August 4, 1994

(Revised: October 18, 2005)

Table 6.3 Forms of Address (continued)

Addressee Address on Letter and Envelope

Salutation and

Complimentary Close

EDUCATION OFFICIALS (continued)

Associate

 Professor

Assistant

 Professor 

Mr. (full name)

Associate Professor or

Assistant Professor

Department of (name)

(name of institution)

(address)

(City), (State) (ZIP Code)

Dear Professor

 (surname):

Sincerely,

PHYSICIANS AND LAWYERS

Physician (full name), M.D.

(address)

(City), (State) (ZIP Code)

Dear Dr. (surname):

Sincerely,

Lawyer Mr., Mrs., Miss, or Ms. (full name)

Attorney at Law

(address)

(City), (State) (ZIP Code)

Dear Mr., Mrs., Miss, or

Ms. (surname):

Sincerely,

MULTIPLE ADDRESSES

One Woman

and

One Man

Mrs., Miss, or Ms. (full name) and

Mr. (full name)*

(address)

(City), (State) (ZIP Code)

*You also may address a letter to

two or more persons to only one of

them when the other is mentioned

by name in the opening paragraph.

Dear Mrs., Miss, or Ms.

 (surname) and Dear

 Mr. (surname):

Sincerely,
Volume 3, Part 2 - Records Management

Correspondence Management

Handbook 3.57 Section 6

Approved: August 4, 1994 83

(Revised: October 18, 2005)

Table 6.3 Forms of Address (continued)

Addressee Address on Letter and Envelope

Salutation and

Complimentary Close

MULTIPLE ADDRESSES (continued)

Two or More Men Mr. (full name) and

Mr. (full name)

(address)

(City), (State) (ZIP Code)

Dear Mr. (surname) and

Mr. (surname)

or

Dear Messrs. (surname)

 and (surname):

Sincerely,

Two or More

Women

Mrs., Miss, or Ms. (full name) and

Mrs., Miss, or Ms. (full name)

(address)

(City), (State) (ZIP Code)

Dear Mrs. (surname):

and

Ms. (surname):

or

Dear Mmes. (surname):

(if married) and

Mlles. (surnames): (if

unmarried)

Sincerely,

OTHER

Unknown Gender Leslie Smith 

(address)

(City), (State) (ZIP Code) 

or

A. J. Jones

(address)

(City), (State) (ZIP Code)

Dear Leslie Smith:

Sincerely,

or

Dear A. J. Jones:

Sincerely,

6.5 General Rules for Forms of Address

Section 6.5 includes general rules to use as patterns for developing other forms of

address for which an example may not be given. See also the Congressional Directory

available at http://www.gpoaccess.gov/cdirectory/index.html.
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6.5.1 Titles of Addressees

You may exercise flexibility in the use of titles. For example, you may replace "The

Honorable" by a title such as "Dr." or "General," but you may not use it in combination

with another title.

You need not give a title a separate line. Depending on the length of the names of an

individual and an organization and on the length of the address, you could place the title

after the last name, separated by a comma, or on a line by itself, preceding the name

of the organization.

After leaving a titled position, an individual may opt to retain his or her distinctive title

(such as "Judge," "General," or "Governor") throughout his or her lifetime. Defer to the

individual’s personal preference.

6.5.1.1 Use of "The Honorable"

"The Honorable" is a title used to address, by name, current and former high

officials—Presidential appointees, Federal and State elected officials, and mayors. 

As a general rule, do not use "The Honorable" to address other county and city officials.

"Honorable" is not used by itself. For example—

Correct: Incorrect:

The Honorable May L. Smith Honorable May L. Smith

Attorney General Attorney General

"The Honorable" is a courtesy title that may, in certain instances, be used with an official

title without a name. You may address in this manner Cabinet officers and Governors

of States. 

Example:

The Honorable The Honorable

The Secretary of State The Governor of Illinois

Do not use "The Honorable" before a last name alone. When appearing in the text of

a letter or other communication, do not capitalize "the." For example, "the speech given

by the Honorable John H. Doe."
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In the United States, use this title to address ministers of foreign embassies in

Washington (including career ministers serving as chargé d'affaires). 

Example:

The Honorable (full name)

Chargé d'Affaires ad interim of Italy

Use "The Honorable" to address the heads of international organizations by name,

unless the officials are entitled to "His Excellency" or "Her Excellency" by virtue of a

previous position. 

Example:

The Honorable (full name)

World Health Organization

Geneva, Switzerland

6.5.1.2 Use of "His (Her) Excellency"

The title "His or (Her) Excellency" is not, by custom, used to address high officials of the

U.S. Government. Use this title, as appropriate, to address by name officers, foreign

ambassadors, foreign high officials, and former foreign high officials.

Example:

Her Excellency (full name)

Ambassador of Canada

Custom dictates omitting "His Excellency" or "Her Excellency" when addressing the

British Prime Minister or the cabinet officers of certain countries within the British

Commonwealth. Any individual once entitled to the title "His Excellency" or "Her

Excellency" may retain it throughout his or her lifetime.

6.5.1.3 Abbreviations of Titles and Degrees

6.5.1.3.1 Before Name

With the exceptions of "Mr." or "Mrs." and "Dr.," do not abbreviate titles preceding full

names in an address. However, you may abbreviate long titles such as "Lieutenant

Colonel" and "Brigadier General" for the sake of balance and appearance in the address

when necessary. 
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Example:

Lt. Colonel John L. G. Smithson

Note that the basic rank (i.e., Colonel) is not abbreviated. And for the previous example,

the salutation would read:

Dear Colonel Smithson:

6.5.1.3.2 Designations Following Addressee’s Name

Abbreviate designations of degrees, religious and fraternal orders, fellowships, and

military service branch titles after a name. Type the initials of an individual degree or

order with periods but no spaces between them; type military service designations in

capital letters without periods, separated from the surname after a comma.

Do not use scholastic degrees in combination with complimentary titles of address or

with military service ranks, except in the case of "The Reverend."

When a name is followed by abbreviations designating religious and fraternal orders or

scholastic and honorary degrees, their sequence is as follows:

• orders (religious first)

• theological degrees 

• academic degrees earned in course of study

• honorary degrees in order of the bestowal

Using more than two degrees is unnecessary. 

Example:

John Doe, D.D., D.Lit.

Patricia L. Smith, M.D.

Henry Brown, LL.D., Ph.D.

Lt. Colonel Mary Hill, USAF

The Reverend George Green, D.D.
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6.5.1.3.3 Use of "Dr. (Doctor)"

Use this abbreviated title before the names of persons who have acquired entitling

degrees, but not in combination with the abbreviation for the degree. 

Example:

Dr. Jane Evans or not Dr. Richard Roe, Ph.D.

Jane Evans, M.D.

6.5.1.3.4 Use of "Reverend," "Right Reverend," and so on

Written in full and preceded by "The," use these titles in addressing members of the

clergy. They are not abbreviated.

Examples:

The Reverend Paul Carter (clergyman)

The Reverend Dr. Paul Carter (clergyman with doctorate)

The Right Reverend Paul Carter (bishop)

6.5.1.4 Spouse of Distinguished Individual

An individual does not share a spouse's official title; therefore, address the spouse

individually by his or her own appropriate title and last name.

Example:

The American Ambassador and Mrs. Doe 

or

The American Ambassador and Mr. Doe

6.5.1.5 U.S. Citizens

In addressing U.S. citizens, do not use complimentary titles in combination with any

other title or with abbreviations indicating scholastic degrees (except "The Reverend").

Example:

John Smith, A.B., Ph.D.

not

Mr. John Smith, A.B., Ph.D.
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but

The Reverend Dr. Geoffrey Owens

6.5.1.6 Gender Unknown

Address an individual whose gender is unknown by first and last name. Do not use a

complimentary title.

6.5.2 Salutations

When a woman occupies a high government position, substitute the title "Madam" for

"Mr." before such formal titles as "President," "Vice President," "Chairman," "Secretary,"

and "Ambassador." Substitute the appropriate title of "Miss," "Mrs.," or "Ms." for "Mr."

when the surname, rather than a formal title, follows.

Example:

Dear Madam Secretary: but Dear Senator Smith:

 (Cabinet officer) (Member of U.S. Senate)

Dear Madam Ambassador: Dear Ms. Jones:

Dear Mrs. Smith:

 (Member of the House of Representatives)

When it is not known if the addressee is a man or woman, use the name as given. For

example, "Dear R. C. Roe."

6.5.2.1 Formal Salutation

"Sir" or "Madam" is sometimes used as a formal salutation in addressing high-ranking

Federal, State, or local officials. Letters to court officers often carry the salutation "Sir"

or "Madam" when they are addressed to the officer by title rather than by name. Use

of "Sirs or Madams" is permissible in letters to business firms or private organizations

or when the identity of the specific addressees is not known.

6.5.2.2 Informal Salutation

This form of salutation is the most commonly used in the United States. Unless the

person holds a title, the salutation is usually "Dear Mr., Miss, Mrs., or Ms. (Last name)."

For example—
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Dear Mr., Miss, Mrs., or Ms. Jones: but not Dear Reverend Brown:

Dear Senator Doe:

Dear General Smith:

Dear Mr. Brown:

In official correspondence, the titles of top-ranking Government officials such as the

President, Vice President, Chief Justice, Secretary, and Ambassador are never used

with the individual’s last name. Instead, use the following salutation:

Dear Mr. President: or Dear Madam Ambassador:

In some correspondence, the signing officer may direct the use of a salutation on a firstname basis when the addressee is personally known. "My dear (first name)" is not

used, however. For example—

Dear Bill: but not My dear Cathy:

Dear Mary:

6.5.2.3 Modified or No Salutation

Some organizations may elect to omit the "Dear" or the entire salutation. Organizations

might adopt this informal style for all correspondence or when the gender is unknown

or an informal tone is desired for multiple addressees.

6.5.3 Complimentary Close

Use the complimentary close "Sincerely."
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Figure 6.1

Letter
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Figure 6.1(continued)
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Figure 6.1 (continued)
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Figure 6.1 (continued)
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Figure 6.1 (continued)
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Figure 6.2

Letter With Two Signature Blocks
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Figure 6.2 (continued)
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Figure 6.2 (continued)
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Figure 6.3

Letter for the Chairman's Signature
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Figure 6.3 (continued)
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Figure 6.3 (continued)
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Figure 6.3 (continued)
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Figure 6.3 (continued)
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Section 7

7 Memoranda

Memoranda include correspondence among NRC offices or between NRC offices and

their NRC contractors (see Section 8, "Definitions," of this handbook). 

The type of correspondence that NRC officials sign, unless otherwise directed, is given

in Table 2.1, "Signatures," in Section 2 of this handbook. 

Before you begin your memorandum, read Section 4, "General Procedures for All Types

of Correspondence," and this section, review Figures 7.1, 7.2, 7.3, and 7.4 at the end

of this section, and read the information the figures contain.

To prepare a draft memorandum, follow the instructions in Sections 7.1.1 through 7.1.5,

setting 1-inch left and right margins, the standard for all memoranda. Double-space

drafts. Provide double-spaced drafts to the technical editors.

7.1 Components and Formatting

7.1.1 Date. The date on which the memorandum is signed.

• Do not date a memorandum until it is signed by both the signatory and any official

listed on a THRU line. See also Section 2, "Responsibilities for Writing and Handling

Correspondence," in this handbook about the correspondence that the Office of the

Secretary of the Commission (SECY) or the Office of the Executive Director for

Operations (OEDO) dates.

• Use only the date on which it is signed. Do not use the date of dispatch.

• Type the date, centered, two lines below the letterhead.

• Use the format of month, day, year, spelling out the month.

Example: April 4, 2005
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7.1.2 MEMORANDUM TO Line and THRU Line. The name and title of the

 principal recipients. 

Begin MEMORANDUM TO at the left margin at least six lines below the top of the page

to allow room for adding the date after the memorandum is signed.

After the MEMORANDUM TO line, indent one tab to begin the addressee’s name and

title.

Align any subsequent addressees under the first name of the initial addressee in the

MEMORANDUM TO line.

Type all addressees, including those in a THRU line, single spaced, block style at the

indented tab, following the instruction and examples in Table 7.1, "Addressees."

Abbreviations are acceptable for use in the THRU line only for correspondence within

the originating office. See also Figure 7.2, "Multiple Addressees."

Table 7.1 Addressees

Instruction Example

For a single addressee, indent one

tab after MEMORANDUM TO

before typing the name. For any

item that extends to two lines,

indent the second line two spaces.

TO: Jane M. Smith, Director

Division of Waste Management

Office of Nuclear Material Safety

 and Safeguards

Begin the THRU line two lines

under the last addressee, aligning

the name under the first name of

the initial addressee. For any item

that extends to two lines, indent the

second line two spaces.

TO: Jane M. Smith, Director

Division of Waste Management

Office of Nuclear Material Safety

 and Safeguards

THRU: James M. Smith, Chief

High-Level Waste Disposal

 Branch, DWM, NMSS

7.1.3 FROM Line. The name and title of the official signing the memorandum.

• Begin FROM Line, at the left margin, two lines below the last of the MEMORANDUM

TO line.
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• Use the name and title of the official signing the memorandum.

• If a position is vacant, use the name and title of the formally appointed "acting"

official.

• Use the name and title of the official occupying the position even if someone is

temporarily delegated authority to act for this official. The delegated official writes

"for" before the occupant’s name when signing the memorandum.

• On the official record copy, type "/RA/ occupant’s name" before entering the

memorandum in the Agencywide Documents Access and Management System

(ADAMS) as an official agency record.

7.1.4 SUBJECT Line. Information to aid the recipient in identifying the principal

purpose of the memorandum, and, if applicable, that the memorandum

responds to an incoming memorandum about a particular subject.

• Type SUBJECT at the left margin two lines below the last line of the FROM line or

the THRU line, if used. Type SUBJECT in capital letters at the left margin (see

Figure 7.1).

• Type the subject information at the next WordPerfect tab setting to the right of the

colon in the MEMORANDUM TO line.

• If the subject requires more than one line, begin any subsequent line on the next line

flush with the first word of the subject.

7.1.5 Body. The main text of the memorandum. 

• Begin the body of the memorandum at the left margin three lines (two blank lines)

below the last line of the subject (see Figure 7.1).

• Single-space a memorandum of two or more paragraphs.

• Double-space a short one-paragraph memorandum of 10 or fewer lines, indenting

the first line one tab.

• Limit the memorandum to two pages if at all possible.
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• Leave at least two lines of text at the bottom of a page or at the top of a continuation

page to aid the reader’s comprehension when reading a paragraph that spans two

pages. 

• Do not divide words between pages.

7.2 Procedures for Handling

Follow the guidance in Sections 4.3, 4.4, 4.5, 4.6, and 4.7, as applicable, for

continuation pages, notations, distribution copies, assembly, reproduction, and dispatch.

7.3 Staff Memoranda Sent to the Commission

7.3.1 Information Memoranda Sent to the Commission

Prepare any memoranda sent to the Commission to inform them of regulatory or

administrative matters that do not require Commission action as you would other

memoranda, following the instructions on Figure 7.3.

7.3.2 Memoranda Sent to or Exchanged Among the Commission

Action memoranda, known as COMs, may be—

• Written exchanges between Commissioners on issues before the agency or on

matters a Commissioner wants to bring to the attention of his or her fellow

Commissioners or

• Memoranda from the Executive Director for Operations (EDO), the Chief Financial

Officer (CFO), or any other Commission-level office seeking guidance from the

Commission.

Use of COMs allows Commissioners to develop preliminary views, explore options and

proposed direction to the staff, and initiate activities before staff offices become

involved. In addition, use of COMs allows the staff to obtain Commission views on

matters that do not warrant development of a Commission paper.

The EDO’s Administrative and Correspondence Staff forwards to the Commission

memoranda from offices reporting to the EDO for approval of a policy, a significant
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course of action, a rulemaking, or a major adjudicatory matter. Commission-level offices

forward their memoranda directly to SECY.

Each action memorandum must contain the statement "SECY, please track" as the last

paragraph of the memorandum.

SECY assigns each COM a distinctive control and identification number, similar to that

of the SECY paper numbering system, assigns a proposed due date (normally 10

business days), reproduces the memorandum, and forwards it to the Commission for

action.

• Commission memoranda numbers consist of a three-letter Commissioner

identification, year of issuance, and a consecutive number (e.g., COMNJD-05-xxxx

or COMJSM-05-xxxx).

• Staff memoranda are identified with a "COMSECY" identification number, year of

issuance, and a consecutive number (COMSECY-05-xxxx).

As a general policy, SECY releases to the public those COMs developed by a

Commissioner and COMSECY documents developed by the staff after the Commission

completes its action unless the COMs contain specific, limited types of information that

warrant protection.

7.3.3 Format and Procedures

• Prepare a memorandum from an office reporting to the EDO on standard agency

NRC letterhead to be signed by the EDO (see Figure 7.3, "Memorandum to the

Commission," and ADAMS Accession Number ML031410008).

• Prepare a memorandum from an office, a region, or an organization having its own

letterhead on the organization-specific letterhead.

• Use plain bond for any subsequent pages.

• Limit the memorandum to two pages, if possible. If the text of the memorandum is

more than two typed pages single spaced—

– briefly summarize the major issues (e.g., technical, policy, legal),
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– recommend an action or resolution,

– state whether the staff had dissenting views, and 

– state whether personnel and funding resources would be required.

• If the subject of the memorandum has a prior history before the Commission, create

a preliminary background paragraph that references previous staff paper numbers,

meeting dates, memoranda, and so forth, and the Commission actions on them.

• If the memorandum recommends revised text in a document the Commission has

previously been asked to approve, clearly identify the additions and the deletions to

that text.

• Place a contact at the left margin on the third line after the end of text on the first

page only, that is, the name, office, and telephone number of a staff member other

than the signatory knowledgeable about the topic of the memorandum (see Figure

7.3).

Example:

CONTACT: First M. Last, Office (in abbreviated form)

 Telephone number (use the format XXX-XXX-XXXX)

• The SECY staff controls and processes a COM once it is received, finalizing it in

ADAMS.

7.3.4 Copy Requirements

Indicate the following copy requirements, if applicable, on the official record copy (the

concurrence page):

• The docket number for each docket referenced in the memorandum

• The yellow ticket control number and/or the OEDO tasking item number, if

applicable
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• RidsEdoMailCenter

• Other information copies designated by the originator
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Figure 7.1

Memorandum
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Figure 7.1 (continued)
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Figure 7.1 (continued)
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Figure 7.1 (continued)
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Figure 7.2

Multiple Addressees
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Figure 7.3

Memorandum to the Commission
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Figure 7.3 (continued)
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Figure 7.3 (continued)
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Figure 7.3 (continued)
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Figure 7.4

Memorandum - Use of Thru or Attention Line
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Section 8

8 Definitions

Accession number. A number automatically assigned to an NRC official record by the

Agencywide Documents Access and Management System (ADAMS). 

ADAMS. Agencywide Documents Access and Management System, NRC’s official

electronic recordkeeping system, approved by the National Archives and Records

Administration on April 1, 2000.

ADAMS template. A document indicating the proper way to fill out the profile for a

specific type of document when adding the document to ADAMS (e.g., a Commission

paper, memorandum, letter). Each NRC office has a specific template for a specific type

of correspondence that is stored under ADAMS Final Templates that all NRC users may

view. 

Attachment. Material referenced in an enclosure that is related to the content of the

enclosure and attached to the enclosure (see also the definition for enclosure).

Classified information. At NRC, material that meets the requirements for designation

as Confidential, Secret, or Top Secret in accordance with an Executive Order (currently

E.O. 12958, "Classified National Security Information, as amended") or the Atomic

Energy Act of 1954, as amended.

Concurrence. Initialing a piece of correspondence to indicate agreement with

information in the correspondence on the basis of the individual’s knowledge,

experience, and responsibility.

Correspondence. Any written communication related to agency business, regardless

of the medium (e.g., letters, memoranda, informal notes, and e-mail messages).

• Principal Correspondence that the NRC controls because of the source, subject

matter, sensitivity, urgency, or possible impact on NRC’s regulatory

responsibilities for the public health and safety. An office director or

manager above the level of an office director controls this

correspondence. (It is often initially controlled by the Office of the
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Secretary (SECY) or the Office of the Executive Director for Operations

(OEDO).)

• General All correspondence except principal correspondence. This

correspondence may or may not be controlled, depending on the policy

of the organization receiving it. If it is controlled, an office director or a

manager below the level of office director controls it.

Correspondence control. Assigning to an office or a member of the staff responsibility

for replying to incoming correspondence by a due date and tracking until a reply is

dispatched.

Correspondence management. A system designed to establish and implement

policies and procedures to ensure consistent handling of agency correspondence.

Docket case file. A compilation of official record copies of correspondence and other

documents on a given licensing transaction that is usually filed under a governing case

control number.

Electronic mail messages. Messages sent via the Intranet or Internet that may or may

not qualify as an Electronic Record Copy. (See "E-Mail Messages as Official Agency

Records" in the ADAMS Desk Reference Guide (NUREG/BR-0273).)

Electronic mail record. An e-mail message determined to be a Federal record in

accordance with Management Directive (MD) 3.53, "NRC Records Management

Program," or MD 3.1, "Freedom of Information Act," that is saved in ADAMS and

assigned an accession number or is printed onto paper and saved in the appropriate

recordkeeping system.

Enclosure. Explanatory or supporting material for the topics covered in a Commission

paper (SECY paper), a letter, or a memorandum (see also the definition for

attachment).

Federal record. As defined in 44 U.S.C. 3301, includes—

...all books, papers, maps, photographs, machine-readable materials, or other

documentary materials, regardless of physical form or characteristics, made or

received by an agency of the United States Government under Federal law or

in connection with the transaction of public business and preserved or
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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 data in them.

See Chapter 2, "Content of ADAMS," in NUREG/BR–0273 for more information.

Form letters. Preprinted letters, memoranda, and postcards designed for repetitive use

in correspondence.

Letter. Any correspondence addressed to other Government agencies or their

employees, businesses, or other entities and their employees, and individuals outside

NRC.

• Original. The final signed document that is dispatched to the addressee.

• Copy. A copy may be one of two types:

1. Courtesy copy. A copy reproduced from the signed original, as requested by

the originator.

2. Information copy. A copy reproduced for recipients appearing on the

Distribution list who did not receive the original or a courtesy copy but who may

be interested in matters covered in the correspondence. Recipients outside the

agency receive copies of the signed original while recipients within the agency

receive copies of the official record copy (concurrence copy) or are directed to

access their copy by using the ADAMS accession number.

Memorandum. Correspondence among Commissioners, NRC office staff, and

managers or between NRC offices and their contractors.

Non-concurrence. Refusing to initial a piece of correspondence to indicate

disagreement with information provided in the correspondence on the basis of the

individual’s knowledge, experience, and responsibility. (See MD 10.159, "The NRC

Differing Professional Opinions Program.")
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Official agency record (OAR). As defined in the ADAMS Desk Reference Guide

(NUREG/BR-0273), this term has the same meaning as that of a "Federal Record."

...all books, papers, maps, photographs, machine-readable materials, or other

documentary materials, regardless of physical form or characteristics, made or

received by an agency of the United States Government under Federal law or

in connection with the transaction of public business and 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 data in them.

Note that "regardless of physical form or characteristics" means that the medium for a

record may be paper, film, disk, or another physical type or form and that the method

of recording may be manual, mechanical, photographic, electronic, or any combination

of these or other technologies. (See "How To Determine if a Document is an OAR" in

Chapter 2 of the latest version of NUREG/BR-0273.)

As related to correspondence, in most cases OAR refers to the electronic-generated

correspondence and its attachments and enclosures in any form that is entered into

ADAMS, assigned an accession number, and declared an OAR. OARs also include

scanned images of incoming correspondence and action copies of reports, completed

forms, maps, photographs, and other documents associated with the correspondence

OAR.

Official record copy. The final signed outgoing or internal correspondence complete

with all attachments and enclosures and the original concurrences of the involved NRC

officials, the original of the incoming correspondence, and the original or action copies

of reports, completed forms, maps, photographs, and other documents.

Sensitive unclassified information. This information includes allegations,

investigations, security-related, proprietary, privacy act, sensitive internal information,

and unclassified information from other Government agencies and sources outside of

NRC and its contractors and licensees that requires special protective measures.

Markings used by these agencies and sources include, for example, For Official Use

Only, Company Confidential, and Private. (See MD and Handbook 12.4, "NRC

Telecommunications Systems Security Program," and Volume 12, "Glossary," for a

complete definition of "sensitive unclassified information.")
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Substantive complaint. Any issue that involves the public health and safety,

including—

• regulatory obligations

• significant risks

• legal position in the courts

• agency resources

• licensee performance

• licensee requests

• licensee resources

• stakeholder concern

Suspense date. The latest possible date that the reply or other appropriate action is

due at the correspondence control office that originated the request.

Technical editing. Applying the following techniques to documents to ensure clear and

accurate communication of a message: 

• Organizing the message into a coherent and logical flow of ideas;

• Correcting syntax, grammar, spelling, and punctuation;

• Ensuring consistent use of terms, acronyms, abbreviations, and symbols;

• Simplifying overly complex sentences (sentences that contain too many ideas);

• Correcting subject/verb disagreement and faulty parallelisms;

• Eliminating ambiguities, redundancy (wordiness), and overuse of the passive voice;

• Verifying the accuracy of equations;
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• Verifying the accuracy of tables and figures and redesigning them as required to

improve their visual effectiveness; and

• Verifying the accuracy of references and cross-references and the consistency of

text, figure, and table headings with the table of contents.