U.S. Nuclear Regulatory Commission 

Office of Nuclear Reactor Regulation 

NRR OFFICE INSTRUCTION 

Change Notice 

Office Instruction No.: LIC-111 

Office Instruction Title: Regulatory Audits 

Effective Date: December 29, 2008 

Approved By: James T. Wiggins 

Date Approved: December 16, 2008 

Primary Contacts: Diane T. Jackson David J. Wrona 

NRR/DSS NRR/DLR 

Diane.Jackson@nrc.gov David.Wrona@nrc.gov 

301-415-8548 301-415-2292 

Responsible Organizations: NRR/DSS NRR/DLR 

Summary of Changes: This is the initial issuance of this Office Instruction. The 

objective of this instruction is to provide guidance to staff who conduct regulatory audits. 

Training: None 

ADAMS Accession No.: 

 

ML082900195 
U.S. Nuclear Regulatory Commission 

Office of Nuclear Reactor Regulation 

NRR OFFICE INSTRUCTION 

Change Notice 

Office Instruction No.: LIC-111 

Office Instruction Title: Regulatory Audits 

Effective Date: December 29, 2008 

Approved By: James T. Wiggins 

Date Approved: December 16, 2008 

Primary Contacts: Diane T. Jackson David J. Wrona 

NRR/DSS NRR/DLR 

Diane.Jackson@nrc.gov David.Wrona@nrc.gov 

301-415-8548 301-415-2292 

Responsible Organizations: NRR/DSS NRR/DLR 

Summary of Changes: This is the initial issuance of this Office Instruction. The 

objective of this instruction is to provide guidance to staff who conduct regulatory audits.

Training: None 

ADAMS Accession No.: 

 

ML082900195 

OFFICE RE:NRR/DSS/SRXB PM:NRR/DLR/RPOB NRR/DLR NRR/DSS NRR/DPR 

NAME DJackson DWrona BHolian/ Sam Lee for WRuland MCase/ TBlount for 

DATE 10/09/2008 10/09/2008 11/12/2008 10/29/2008 11/07/2008 

OFFICE NRR/DCI NRR/DE NRR/DRA NRR/DORL NRR/DIRS 

NAME MEvans PHiland MCunningham JGitter FBrown 

DATE 10/20/2008 10/24/2008 10/30/2008 10/15/2008 10/22/2008 

OFFICE OGC PMDA NRR 

NAME Mary Baty Mary Givvines JWiggins 

DATE 11/12/2008 11/26/2008 12/16/08 

OFFICIAL RECORD COPY 
NRR OFFICE INSTRUCTION 

LIC-111 

Regulatory Audits 

1. POLICY

It is the policy of the Office of Nuclear Reactor Regulation (NRR) to provide guidance for 

its staff to meet the requirements and performance goals established in legislation, 

regulations, the Agency’s strategic plan, and office-level operating plans. Completion of 

regulatory audits supports the NRC's Effectiveness & Efficiency Goals. 

2. OBJECTIVES

This office instruction provides guidance to staff who conduct regulatory audits of 

information, developed and maintained by licensees, applicants, vendors, and other 

entities related to nuclear reactor regulation (herein, referred to as licensees). 

3. BACKGROUND

3.1 Definitions

Regulatory Audit

A regulatory audit is a planned, license or regulation-related activity that includes 

the examination and evaluation of primarily non-docketed information. A 

regulatory audit is conducted with the intent to gain understanding, to verify 

information, and/or to identify information that will require docketing to support 

the basis of the licensing or regulatory decision. 

Audit Team Member

A staff member or contractor with the knowledge and skills necessary to 

effectively perform the regulatory audit activities who is assigned by the 

responsible supervisor. 

Audit Leader

The staff member with the overall responsibility for the conduct of the regulatory 

audit who is assigned by the responsible supervisor. 

3.2 General

The Code of Federal Regulations requires licensees to provide written 

correspondence to the NRC. Additional requirements are provided for the 

licensee’s maintenance and retention of documents. For example, Title 10 of the 

Code of Federal Regulations sections 2.101 (10 CFR 2.101), 50.4 

(10 CFR 50.4), and 54.17 (10 CFR 54.17) require applications for permits and 

licenses, and amendments to applications, and applications for amendment of 

permits and licenses to be sent to the NRC. 10 CFR 50.71, “Maintenance of 

Records, Making of Reports,” requires that records connected to licensed 
NRR Office Instruction LIC-111 Page 2 of 12 

activities be maintained by the licensee. 10 CFR 54.37, “Additional Records and 

Record Keeping Requirements,” requires that license renewal applicants 

maintain documents demonstrating compliance with the requirements of 10 CFR 

Part 54 in auditable and retrievable form. 

In most circumstances, a regulatory audit is part of a larger regulatory action. 

Performing a regulatory audit may allow the staff to more efficiently conduct its 

review or gain insights on the licensee’s programs or processes. For example, 

when a licensing action request is reviewed by the NRC, the information that the 

staff relies upon to make the safety determination must be submitted. However, 

there may be supporting information retained as records under 10 CFR 50.71 

and/or 10 CFR 54.37 that, although not required to be submitted as part of the 

licensing action, would help the staff better understand licensee submitted 

information. 

A regulatory audit may focus on specific documents or may be performed by 

sampling analyses and information in support of the regulatory action. A 

regulatory audit may be conducted at one facility, all affected facilities or a 

sampling, as necessary to support the regulatory action. 

A regulatory audit may affect more than one NRC office. The audit leader should 

consider if coordination with other offices is appropriate to support technical 

consistency. 

The areas the staff may conduct a regulatory audit include, but are not limited to 

the following: 

• license renewal applications, 

• plant-specific licensing action requests or topical reports, 

• generic communications, 

• development of temporary instructions and inspection procedures, and 

• periodic reviews of licensee commitment management programs (i.e., PM 

Audits). 

Regulatory audits allow the staff to do the following: 

• Gain a better understanding of the detailed calculations, analyses and/or 

bases underlying the formal application and confirm the staff’s 

understanding of the application. 

• Identify additional information that is necessary for the licensee to 

supplement its application for the staff to reach a licensing or regulatory 

decision. 

• Establish an understanding of an area where the staff has identified 

potential concerns to allow the staff to issue clear requests for information 

and for the licensee to provide quality and timely responses. 

• Establish an understanding of potential concerns to inform future 

regulatory actions or decisions, such as generic communications. 
NRR Office Instruction LIC-111 Page 3 of 12 

• Establish an understanding of proposed modification(s) or resolution(s) in 

support of a regulatory action or decision. 

• Confirm the licensee’s implementation of programs or processes that 

track commitments or industry initiatives. 

The types of information that the staff may audit include, but not limited to, the 

following: (1) process information, (2) procedures, (3) calculations, (4) design 

information, and (5) computer code information. 

3.3 Selection of Audit Leader and Members

The audit leader and audit members are designated by the responsible 

supervisor. Audit members may include project managers, technical reviewers, 

senior level staff, supervisors, and contractors. 

Audit members should possess the technical and/or regulatory knowledge to 

work effectively and efficiently in the audit setting and interact with the licensee’s 

staff, and have completed allegation training. Additionally, the audit leader 

should possess the ability to coordinate small groups and interact with the 

licensee’s staff and management. These skills are assessed by the supervisor 

when assigning members to perform audit activities. 

It is the expectation that at least one audit member will be qualified through NRR 

Office Instruction (OI) ADM-504, “Qualification Program” or Inspection Manual 

Chapter (IMC) 1245, “Inspector Qualification.” However, the selection is at the 

discretion of the supervisor. 

4. PLANNING, CONDUCTING, AND DOCUMENTING REGULATORY AUDITS 

The amount of detail included in the audit preparation, audit plan, execution of the audit, 

and audit documentation should be commensurate with the scope, complexity, and size 

of the audit. That is, a large team on-site audit should provide more details in the audit 

plan, as well as, ensure more coordination with the Region, project manager, and 

licensee, than a one-person audit of selected calculations. 

4.1 Regulatory Audit Preparations

Regulatory audits may be conducted at any facility, including a plant site, 

licensee’s headquarters, contractor or vendor site, and in NRC buildings. 

Regulatory audits conducted at reactor sites should be coordinated with the 

licensee, regional NRC office, and resident inspectors. The focal point for this 

coordination should normally be the NRR PM for the nuclear power plant or nonpower reactor. In the case of a license renewal regulatory audit, the NRC license 

renewal PM may coordinate with the licensee, regional office, and inform the 

NRR PM for the nuclear power plant or non-power reactor. 

Once approved by the audit leader’s supervisor, the audit plan should be shared 

with the audit team members and the licensee so they can prepare for the 

regulatory audit. The audit leader should consider holding a pre-audit meeting 
NRR Office Instruction LIC-111 Page 4 of 12 

with the audit team members and responsible supervisor to discuss assignments 

and expectations. The audit leader or cognizant PM should discuss the plan with 

the licensee and request the licensee provide space, documentation, access to 

personnel, and other necessary items. To the extent possible, the audit leader 

should prepare a list of documents that are needed and communicate the list to 

the licensee either orally or in writing, typically 14 days before the regulatory 

audit. 

4.2 Regulatory Audit Plans 

A regulatory audit plan should provide a clear, succinct overview of the regulatory 

audit activities. The audit plan provides structure and organization for the 

regulatory audit and serves as an integral planning tool for the audit member(s). 

The level of detail of the regulatory audit plan should be commensurate with the 

desired audit scope. The audit plan is normally 1-2 pages in length, and should 

follow the recommended contents, as applicable, listed below: 

a. Background. This section provides a brief introduction of the licensee and 

application associated with or reason for the regulatory audit. 

b. Regulatory Audit Bases. This section identifies the documents upon which 

the regulatory audit is based. This may include, but not limited to, sections of 

the licensing action request, 10 CFR 54, applicable sections of the standard 

review plan (SRP), and/or regulatory guides. 

c. Regulatory Audit Scope or Methodology. This section identifies the areas of 

focus for the regulatory audit (e.g., process information, calculations) or 

describes the method in which the regulatory audit will be conducted. 

d. Information and Other Material Necessary for the Regulatory Audit. This 

section identifies known information or material needed by the audit 

member(s) to complete the regulatory audit. This could include, but is not be 

limited to, licensee reports, calculations, and computer codes. 

e. Team Assignments. This section identifies the audit members and their 

respective area(s) of responsibility. 

f. Logistics. This section documents the date and location(s) for the regulatory 

audit; entrance and exit briefing dates and times; and audit schedule. 

g. Special Requests. This section may document any requests of the licensee 

by the team to support the audit. 

h. Deliverables. This section identifies the deliverables for the regulatory audit 

and establishes the schedule for the deliverables. At a minimum, a schedule 

for issuance of the regulatory audit summary should be provided. 

i. References. This section identifies references that may be applicable to the 

regulatory audit. 
NRR Office Instruction LIC-111 Page 5 of 12 

4.3 Conducting Entrance, Closing, Exit, and Status Briefings: 

For audits that require more than one day, an entrance briefing with the licensee 

is recommended. Entrance briefings should be scheduled in advance and 

should be conducted as soon as practicable after arrival. At the entrance 

briefing, the audit leader should review key elements of the regulatory audit plan 

with the licensee. 

For multiple-day audits, the audit leader should consider status briefings with the 

responsible NRC supervisor. As needed, the audit leader should also consider 

periodic status briefings with the licensee to discuss progress and potential 

issues identified. The audit leader should consider briefing the responsible 

supervisor on the preliminary audit results prior to the closing or exit briefing. 

If a regulatory audit is conducted in several phases, at multiple locations and/or 

discontinuous time frames, the audit team member(s) should conduct a closing 

briefing at the end of each phase. The closing briefing should summarize the 

status of the audit at the time of the closing and detail the logistics of the 

subsequent audit phase. 

An exit briefing should be conducted at the conclusion of the regulatory audit. 

Preliminary results should be presented emphasizing that these are preliminary 

in nature and subject to NRR management review. It should be noted to the 

licensee that the agency will communicate any significant changes between the 

preliminary audit results and the regulatory audit summary prior to issuance. 

Note: Similar to inspections, entrance and exit briefings are generally neither 

noticed nor conducted as public meetings. 

4.4 Conducting Regulatory Audit Activities

Audit member(s) activities during the regulatory audit and interactions with the 

licensee should be clearly linked to the staff’s guidance, such as in the SRP, 

recognizing that much of the material discussed and audited may not require 

docketing. Information that is needed to support the staff’s licensing or 

regulatory decision should be placed on the docket and in ADAMS. This may be 

accomplished through a request for additional information (RAI), formal 

correspondence from the licensee or staff action. 

Audit member(s) should use their time to audit detailed reports, design record 

files, and process information or procedures not required to be submitted by the 

licensee. Discussions with the licensee’s staff may be held for the audit 

member(s) to gain a better understanding of how the information being audited 

was used by the licensee. 

Audit members may review controlled copies of the licensee’s records and 

documents at any time during the regulatory audit. When the licensee uses a 

form to request controlled documents from its storage facility or document control 

clerks, the audit members may fill out this form following the licensee’s 

procedures. This documentation cannot be removed from the licensee's property 

or disposed of without the owner’s permission. 
NRR Office Instruction LIC-111 Page 6 of 12 

In general, non-docketed licensee information should not be removed from the 

audit site. The audit summary should include sufficient information to retrieve 

audited documents through the licensee’s document control system. If certain 

information is identified to be docketed, the licensee should be requested to 

submit the information. If necessary, audit members may remove licensee 

documents from the audit site to assist in writing the audit summary. However, 

this practice should be kept to a minimum. Licensee documents removed from 

the audit site must be handled given the appropriate considerations such as 

those discussed in Section 4.6. 

Prior to removing any of the licensee’s documents that will be maintained, 

possessed, and controlled by the NRC, the licensee will have the opportunity to 

provide and mark the documents in accordance with 10 CFR 2.390(b). 

During a regulatory audit, the staff may identify a potential inadequacy, 

programmatic deficiency, non-compliance or operability concern. An issue that 

may be an immediate safety or operability concern should be reported to NRC 

management at once. Potential issues should be communicated to NRR and 

regional management, the licensee, and/or resident inspectors, as appropriate. If 

follow-up or an inspection is necessary, the staff may plan an inspection in 

accordance with NRC procedures. 

4.5 Documenting the Regulatory Audit

At the completion of the regulatory audit, a regulatory audit summary should be 

developed in a timely manner. Depending on scope of the audit, the regulatory 

audit summary may be documented as: 

• a letter to the licensee, 

• a detailed summary report, or 

• an internal memorandum to the responsible supervisor or cognizant 

project management branch. 

The regulatory audit summary should be placed on the docket and in ADAMS 

within 90 days of the completion of the audit or before the regulatory action that 

the audit supports is completed, which is shorter. The regulatory audit summary 

may be publically available, as appropriate given considerations such as those 

discussed in Section 4.6. If multiple audits are conducted (e.g., license renewal 

audits), the same type of document should be used to convey the audit results. 

The regulatory audit summary should provide a clear, succinct summary of the 

audit activities, and as applicable should: 

• identify the audit location and dates, 

• list the audit team members, 

• list licensee staff that participated in substantive discussions, 

• list documents that were audited, 

• describe the audit activities, 

• describe the closing or exit briefing, 

• identify RAI(s) or potential RAI(s) that were discussed or that will be 

issued based on the audit, 
NRR Office Instruction LIC-111 Page 7 of 12 

• describe open item(s) and the proposed closure path(s), and 

• describe deviations from the audit plan. 

The list of the audited documents should be sufficiently detailed to retrieve the 

information through the licensee’s document control process. This may include 

title, date, revision number, and supplement number. 

If audit open items are necessary, a closure path should be provided. An 

exception would be in the case of planned multi-phase audits. If RAIs are 

necessary, they should be provided to the project manager with the technical 

supervisor’s concurrence and in accordance with the audit plan schedule. 

The staff should not make final licensing conclusions or staff findings in the audit 

summary since licensing and regulatory decisions cannot be made solely based 

on an audit. However, audit conclusions may be drawn. The staff may refer to 

the regulatory audit summary or include a discussion of the audit activities in a 

safety evaluation. 

The audit leader is responsible for ensuring that the content of the regulatory 

audit summary is consistent with the audit activities and the content of the exit 

briefing. If the summary differs significantly from the exit briefing, the audit leader 

and responsible NRR management should discuss those differences with the 

licensee before issuing the regulatory audit summary. 

4.6 Controlling and Disposing of Documents and Records

Audit members have the responsibility to follow Agency and Office policies on 

handling documents, including guidance on: 

- Retaining official agency records (OARs) 

- Responding to Freedom of Information Act (FOIA) requests 

- Handling sensitive unclassified non-safeguards information (SUNSI) 

(including proprietary information) 

- Handling safeguards information 

- Handling draft licensee information 

- Handling working files and supporting material 

- Handling pre-decisional information 

- Dispositioning Records 

Official Agency Records

Audit members have the responsibility to preserve OARs. Do not make 

documents or portions of documents that fall within the exempt categories, such 

as 10 CFR 2.390 and 10 CFR 9.13, publicly available. For more information see 

Management Directive (MD) 3.53, “NRC Records and Document Management 

Program” and the Office of Information Systems (OIS) website - 

http://www.internal.nrc.gov/ois/divisions/irsd/records-mgt/index.html - which has 

an interactive tool to assist in deciding whether a document is an official record or 

some other type of documentary material. 

Provided below is excerpted guidance from OIS on determining OARs: 

• Was it created or received by my organization to conduct agency business? 
NRR Office Instruction LIC-111 Page 8 of 12 

• Does it contain information that documents agency functions, policies, 

decisions, operations, procedures, mission or activities? 

• Is it something on which you took action, or commented on, on behalf of the 

agency? 

• Does it document business decisions, actions, advice, order of events, when 

something happened or who was involved in it? 

• Is it an original document that doesn’t exist elsewhere but is work-related? 

If a hearing has been requested or if there is a potential for a hearing request, 

there are further requirements on documents removed from the licensee’s site. 

NRR Office Instruction LIC-201, “NRR Support to the Hearing Process,” provides 

detailed guidance on the staff’s responsibility to retain documents related to its 

reviews and audits if a hearing has been or potentially will be requested. 

Freedom of Information Act Requests

Audit members have the responsibility to adhere to the guidelines for a FOIA 

request. Any document, docketed or not, in an NRC’s employees possession at 

the time of a FOIA request must be considered under the FOIA criteria. For 

more information see MD 3.1, “Freedom of Information Act,” and NRR Office 

Instruction ADM-307, “Freedom of Information Act Requests.” 

Proprietary, Sensitive, and Safeguards Information

Audit members have the responsibility to protect the licensee’s sensitive 

unclassified non-safeguards information (SUNSI), including proprietary 

information, and safeguards information. If information is removed from the audit 

site, all precautions should be followed to prevent the inadvertent release of 

SUNSI and safeguards information. See MD 12.2, "NRC Classified Information 

Security Program," MD 12.6, "NRC Sensitive Unclassified Information Security 

Program," and MD 12.7, "NRC Safeguards Information Security Program" for 

more details. 

 Draft Licensee Information 

In general, draft information should not be invited or physically accepted by audit 

members. If draft information needs to be reviewed as part of the audit, it should 

be preserved as an OAR when it is needed to provide a complete record of the 

decision making process. Draft documents that are subsequently replaced by 

formal submittals need to be placed in ADAMS if they meet the criteria of 

Management Directive 3.53. That is, if the draft licensee information was 

received by the agency in connection with the transaction of agency business, 

the draft information should be preserved if it is necessary for a proper 

understanding of the agency’s formulation and execution of basic policies, 

decisions, actions or responsibilities. 

For more information see NRR Office Instruction COM-203, “Informal Interfacing 

and Exchange of Information with Licensees and Applicants” and NRR Office 

Instruction LIC-101, “License Amendment Review Procedures.” 

If a hearing has been or may be requested, all communications between the staff 

and the licensee should be retained. NRR OI LIC-201 provides guidance on the 

staff’s responsibility to retain NRC staff-licensee communications. 
NRR Office Instruction LIC-111 Page 9 of 12 

Working Files and Supporting Materials 

True supporting materials are documents that are necessary to substantiate the 

final document or decision trail. Supporting materials are not working files. 

Supporting materials are part of the official record. 

Working files consist of documents such as personal notes, rough notes, 

calculations, or drafts assembled or created and used to prepare or analyze 

other documents. They can contain background files, such as worksheets, 

questionnaires, extra copies of articles, reports, studies, information, and 

documentary materials that do not meet the requirements to be records and, 

thus, are not part of the agency's official record collections. However, working 

files are not exempt from FOIA consideration. 

Working files should be maintained and filed with the official record for the 

purposes of adequate and proper documentation if they meet both of the 

following conditions: 1) They were circulated or made available to employees, 

other than the creator, for official purposes such as approval, comment, action, 

recommendation, follow up, or to communicate with agency staff about agency 

business, and 2) They contain unique information such as substantive 

annotations or comments included therein, that adds to the proper understanding 

of the agency's formulation and execution of basic policies, decisions, actions, or 

responsibilities. 

Unless otherwise specified, working files, such as personal notes, informal 

comments, and drafts, can be destroyed/deleted once they are incorporated into 

a final product. Special attention should be given to notebooks, calculations, and 

other background material that may contain information needed to supplement 

formal records (i.e., supporting material). Comments received during a formal 

review by outside experts and the public should be carefully documented for the 

record, either by keeping the original comments themselves, or if volume is 

extensive, keeping a summary of the comments, and how they were used. 

Pre-Decisional NRC Information

Consistent with NRC policies, procedures, and regulatory requirements, do not 

show or physically provide to the licensee, or anyone external to the NRC, any 

portion of the audit summary before it is formally issued or the final licensing or 

regulatory decision has been made. Only the explicit written permission of the 

NRC Executive Director for Operations (EDO) can override this policy. 

If an audit member inadvertently or improperly releases pre-decisional 

information, the staff shall immediately inform the EDO in writing of the release 

and the facts about the release. The responsible office shall take corrective 

action to retrieve the documentation and prevent recurrence of such a release. 

See MD 3.4, “Release of Information to the Public,” for a more detailed 

explanation. 

Records Disposition

Information necessary to support the licensing or regulatory decision should be 

placed on the docket by the licensee or NRC staff. Licensee documents in the 

possession and control of the staff and not otherwise formally submitted by the 
NRR Office Instruction LIC-111 Page 10 of 12 

licensee should be retained and placed on the docket and in ADAMS if the 

criteria in MD 3.53 are satisfied. The staff should properly dispose of licensee 

and draft NRC documents as appropriate for the classification of the information. 

A list of the audited documents will be included in the regulatory audit summary, 

which becomes an official agency record. 

Materials created by an audit member for the audit member’s own use in 

performing his or her job, and which are not shared (and are not otherwise 

required by NRC policy to be maintained), may be discarded at the audit 

member’s discretion. 

5. RESPONSIBILITIES AND AUTHORITIES

Director, NRR

Establish the policies contained within this office instruction related to the conduct of 

regulatory audits performed by the staff. 

Division Directors (ALL)

Responsible for the oversight of all regulatory audits conducted within the auspices of 

their program/process. 

Branch Chiefs (ALL)

Responsible for the planning and implementation of regulatory audits conducted within 

the auspices of their programs and processes. 

Responsible Branch Chief (of audit leader)

Assigns individual as the audit leader. Assigns or coordinates responsible individuals as 

audit team members. Approves audit plan. Ensures timely deliverables as established 

in the audit plan. 

All NRR Staff Members

All NRR staff members are responsible for following the procedures in this office 

instruction. Staff members assigned to perform regulatory audit activities will follow the 

guidelines described in this office instruction and references. 

6. PERFORMANCE MEASURES

None. Regulatory audits are generally performed as part of a larger program or as 

needed to support a regulatory and licensing decision. 

Branch chiefs should ensure timeliness of deliverables established in the audit plan. 
NRR Office Instruction LIC-111 Page 11 of 12 

7. PRIMARY CONTACTS

Diane T. Jackson David J. Wrona 

NRR/DSS NRR/DLR 

301-415-8548 301-415-2292 

8. RESPONSIBLE ORGANIZATIONS

 NRR/DSS and NRR/DLR 

9. EFFECTIVE DATE

 December 29, 2008 

10. REFERENCES

A. Title 10 of the Code of Federal Regulations Part 2, “Rules of Practice for 

Domestic Licensing Proceedings and Issuance of Orders.” 

B. Title 10 of the Code of Federal Regulations Part 9, “Public Records.” 

C. NRC Management Directive 3.1, “Freedom of Information Act.” 

D. NRC Management Directive 3.4, “Release of Information to the Public.” 

E. NRC Management Directive 3.23, “Mail Management.” 

F. NRC Management Directive 3.53, “NRC Records and Document Management 

Program.” 

G. NRC Management Directive 12.2, “NRC Classified Information Security 

Program.” 

H. NRC Management Directive 12.6, “NRC Sensitive Unclassified Information 

Security Program.” 

I. NRC Management Directive 12.7, “NRC Safeguards Information Security 

Program.” 

J. NUREG-0800, “Standard Review Plan for the Review of Safety Analysis Reports 

for Nuclear Power Plants.” 

K. NRR Office Instruction ADM-504, “Qualification Program.” 

L. NRR Office Instruction ADM-307, “Freedom of Information Act Requests.” 

M. NRR Office Instruction COM-203, “Informal Interfacing and Exchange of 

Information with Licensees and Applicants.” 

N. NRR Office Instruction LIC-101, “License Amendment Review Procedures.” 
NRR Office Instruction LIC-111 Page 12 of 12 

O. NRR Office Instruction LIC-105, “Managing Regulatory Commitments Made by 

Licensees to the NRC.” 

P. NRR Office Instruction LIC-201, “NRR Support to the Hearing Process.” 

Q. Inspection Manual Chapter 0301, “Coordination of NRC Visits to Commercial 

Reactor Sites.” 

R. Inspection Manual Chapter 0620, “Inspection Documents and Records.” 

S. Inspection Manual Chapter 1245, “[Inspector] Qualification Program for the 

Office of Nuclear Reactor Regulation Programs”

Enclosures: 

Appendix A - Change History 
Appendix A - Change History 

Office Instruction LIC-111 

Regulatory Audits 

LIC-111 Change History - Page 1 of 1 

Date Description of Changes Method Used to 

Announce & 

Distribute 

Training 

12/16/08 Initial Issuance E-mail to NRR staff Offer 

presentation to 

all branches 

and divisions 

ENCLOSURE