Enforcement Manual Appendix B - Standard Formats for Enforcement Packages
This Appendix includes standard formats to be used in preparing and processing enforcement packages.
On this page:
- Format Instructions for Referencing the Enforcement Policy
- Key to Notation Used in Standard Formats
- Index to Standard Formats
References to the Enforcement Policy or other regulations in Title 10, Chapter 1, of the Code of Federal Regulations (CFR) should be made as follows:
- The first time the NRC Enforcement Policy is used, it should be referenced
as: NRC Enforcement Policy. Subsequent references only need to use
the shortened title, i.e., Enforcement Policy.
- References to Title 10, Chapter 1 - Nuclear Regulatory Commission
- of the Code of Federal Regulations should use the following formats:
- When a Part in Title 10 is referenced, it should be referenced
as, e.g., 10 CFR Part 20;
- When a Section in Title 10 is referenced, it should be referenced
as, e.g.,
10 CFR 20.1101 (you may also see it as 10 CFR § 20.1101); - When a Subpart of a Part in Title 10 is referenced, it should
be referenced as, e.g., 10 CFR Part 20, Subpart E, or Subpart E
of 10 CFR Part 20.
- When an Appendix of a Part in Title 10 is referenced, it should
be referenced as, e.g., Appendix C of 10 CFR Part 20;
- When a Part, Section, or Appendix in Title 10 is referenced several
times in a document, it may be shortened to, e.g., Part 20, Section
20.1101, or Appendix A. However, to avoid confusion when other
titles of the Code of Federal Regulations are cited in the same
document, or when different appendices are referenced in the same
document, continue to use the full reference to the specific citation;
- A citation should not be split from one line to the next, i.e., the entire citation should be kept together on one line.
- When a Part in Title 10 is referenced, it should be referenced
as, e.g., 10 CFR Part 20;
- If the current bound version of Title 10 is the source of the regulation
being applied, it is not necessary to include the date after the regulation
that has been cited. This applies to other titles of the Code of
Federal Regulations as well.
- If a Federal Register notice is the source of the regulation being
applied because the regulation has not yet been published in a bound
edition, the Federal Register citation should be included after the
reference to the regulation being applied.
- If a Federal Register notice is the source of the Enforcement Policy
being applied, the Federal Register citation should be included after
the reference to the Enforcement Policy.
- Notwithstanding the existence of a Federal Register notice publishing
a revision in part to the Enforcement Policy, if the current version
of the Enforcement Policy is being applied, it is not necessary to
include the date. For example, if a Federal Register notice contained
a revision to Supplement IV in the Enforcement Policy and the enforcement
action was being issued for a violation based on an example in Supplement
I, then it is not necessary to include the date of the current version
of the Enforcement Policy. On the other hand, if an enforcement action
was being issued where the severity level was based on a new example
added by publication in the Federal Register, to Supplement IV, and
the example was not in the current version of the Enforcement Policy,
then the Federal Register citation should be included with the reference
to the revised Supplement.
- If earlier versions of the Enforcement Policy or the regulations are being applied, the year of the applicable version should be included, e.g., 10 CFR Part 20 (1999).
- The following example provides the correct citation format when a
Federal Register notice is referenced: In the citation “64 FR
618 (May 2, 2001),” 64 is the volume number, “FR” refers
to Federal Register, 618 is the page number of the notice. This information
is followed by the date of publication of the notice in parenthesis.
- Refer to the “NRC: Quick Reference Style Guide,” (Select NRC Documents, then Abbreviations for NRC, then Electronic Style: Quick Reference) for questions involving the NRC’s use of: abbreviations, acronyms, initials, symbols, capitalization, compound terms, unit modifiers, numbers, and punctuation).
The following is a key to the notation used in the standard formats:
| Symbol | Meaning |
|---|---|
| (____) or _____ | Fill in the blank with the appropriate information |
| ( ) | Text within parentheses indicates the optional use of an alternative word or an optional choice or the plural form of the word preceding the parentheses. |
| [ ] | Text within brackets indicates narrative guidance that should be followed in terms of addressing specific elements that should be included in the particular document. |
| " " | Text within quotes indicates a suggested sentence or language. |
Index
This index includes Microsoft Word standard format boilerplates to be used in preparing and processing enforcement packages.
| Form Number | Title | Last Reviewed/Revised |
|---|---|---|
| 1-I | Cover Letter Transmitting Inspection Report (including "apparent" violations) and Confirming Predecisional Enforcement Conference ("Conference Letter") | September 2006 |
| 1-II | Cover Letter Transmitting Inspection Report (including "apparent" violations) and Requesting Response ("Choice Letter") | October 2010 |
| 1-III | Cover Letter (including "apparent" discrimination violation(s)) and Confirming Predecisional Enforcement Conference ("Conference Letter") | September 2006 |
| 1-IV | Cover Letter Transmitting an Apparent Violation of Decommissioning Requirements as a Result of Records Review and Requesting Response ("Choice Letter") | September 2006 |
| 1-V | Cover Letter Transmitting Inspection Report (including apparent security violations) and Confirming Predecisional Enforcement Conference ("Conference Letter") | September 2006 |
| 2 | Cover Letter Transmitting Inspection Report (includes optional paragraphs for Severity Level IV Notices of Violation, Notices of Violation associated with green SDP findigs, Non-Cited Violations, and apparent violations subject to a conference | October 2010 |
| 2(S) | Cover Letter Transmitting Inspection Report for Severity Level IV Notices of Violation, Notices of Violation associated with green SDP findings, and/or Non-Cited Violations containing Safeguards or Security-Related Information | October 2010 |
| 2-I | Cover Letter Transmitting Inspection Report (includes optional
paragraphs for security-related Severity Level IV Notices of Violation,
Notices of Violation associated with green SDP findings, and/or Non-Cited
Violations) |
September 2006 |
| 3-I | Cover Letter for Escalated NOVs without Civil Penalty (without SDP) | October 2010 |
| 3-II | Letter Transmitting Preliminary White/Yellow/Red/Greater than Green Finding (Choice Letter) | September 2006 |
| 3-II(S) | Letter Transmitting Preliminary Security-Related Greater than Green Finding | October 2010 |
| 3-III | Cover Letter Transmitting Final White/Yellow/Red Finding (and Notice of Violation, if applicable) | October 2010 |
| 3-III(S) | Cover Letter Transmitting Security-Related Final Greater than Green Finding (and Notice of Violation, if applicable) | October 2010 |
| 3-IV | Cover Letter for Notice of Violation to Individual | October 2010 |
| 4-I | Notice of Violation (For All Violations Without a Civil Penalty) (Reactor Licensees) | October 2010 |
| 4-II | Notice of Violation (For All Violations Without a Civil Penalty) (Materials Licensees) | October 2010 |
| 4-III | Notice of Violation (For All Violations Without a Civil Penalty) (Non-Licensees) |
October 2010 |
| 4-IV | Notice of Violation to Individual | September 2006 |
| 4-V | Notice of Violation (For All Security Violations Without a Civil Penalty) Reactor Licensees) | October 2010 |
| 5 | Cover Letter for Civil Penalty Cases | October 2010 |
| 6 | Notice with All Violations Assessed a Civil Penalty | October 2010 |
| 7 | Notice of Violation Assessing A Civil Penalty In Addition To A Violation Not Assessing A Civil Penalty | October 2010 |
| 8 | Notice of Deviation | September 2006 |
| 9 | Cover Letter Transmitting Inspection Report and Notice of Nonconformance (Non-Licensees) | September 2006 |
| 10 | Cover Letter Transmitting Inspection Report and Notice of Violation (Includes Optional Paragraphs for Inclusion of a Notice of Nonconformance And/or "Apparent" Violations) (Non-Licensees) | October 2010 |
| 11 | Notice of Nonconformance (Non-Licensees) | September 2006 |
| 12 | Promissory Note in Payment of Civil Penalty | September 2006 |
| 13 | Cover Letter for Order Imposing Civil Monetary Penalty | October 2010 |
| 14 | Order Imposing Civil Monetary Penalty | October 2010 |
| 15 | Appendix to Order Imposing Civil Penalty (For Violations Assessed a Civil Penalty) | September 2006 |
| 16 | Enclosure to Order Imposing Civil Monetary Penalty (for Violations Not Assessed a Civil Penalty) | September 2006 |
| 17 | Cover Letter for Various Orders & Demands for Information | September 2006 |
| 18 | Affidavit to Support the Immediate Effectiveness of an Order | September 2006 |
| 19-I | Order Suspending License (Reactor Licensee) | October 2010 |
| 19-II | Order Suspending License (Materials Licensee) | October 2010 |
| 20-I | Order Modifying License (Effective Immediately) (Reactor Licensee) | October 2010 |
| 20-II | Order Modifying License (Effective Immediately) (Materials Licensee) | October 2010 |
| 21-I | Order Modifying License (Non-Immediately Effective) (Reactor Licensee) | December 2011 |
| 21-II | Order Modifying License (Non-Immediately Effective) (Materials Licensee) | October 2010 |
| 22-I | Order Modifying License and Demand for Information (Reactor Licensee) | October 2010 |
| 22-II | Order Modifying License and Demand for Information (Materials Licensee) | October 2010 |
| 23-I | Confirmatory Order Modifying License (Effective Immediately) (Reactor Licensee) | October 2010 |
| 23-II | Confirmatory Order Modifying License (Effective Immediately) (Materials Licensee) | October 2010 |
| 24 | Confirmatory Action Letter | March 2013 |
| 25-I | Demand for Information (Reactor Licensee) | September 2006 |
| 25-II | Demand for Information (Materials Licensee) | September 2006 |
| 26-I | Enforcement Notification for Proposed Civil Penalty | September 2006 |
| 26-II | Enforcement Notification for Order Imposing Civil Penalty | September 2006 |
| 26-III | Enforcement Notification for Final Significance Determination (with White, Yellow, or Red Finding) with NOV | September 2006 |
| 26-IV | Enforcement Notification (Multiple Samples) | September 2006 |
| 27-I | Regulatory Notification for Final Significance Determination (with White, Yellow, or Red Findings) and No Notice of Violation | September 2006 |
| 27-II | Regulatory Notification for Orders Modifying Safety Requirements | September 2006 |
| 28 | "Chilling Effect" Letter | September 2006 |
| 29 | Request for Information Letter to DOL | September 2006 |
| 30 | Cover Letter Transmitting Notice of Violation to Licensed Operator Who Has a Positive Drug or Alcohol Test | October 2010 |
| 31 | Notice of Violation to Licensed Operator for Positive Drug or Alcohol Test | September 2006 |
| 32 | Letter with Notice of Violation and Expiration of License to Licensed Operator Who Has a Positive Drug or Alcohol Test | October 2010 |
| 33-I | Order Modifying License (Reactor Licensee) (Prohibiting Involvement by Individual Employee in Certain NRC-licensed Activities) | October 2010 |
| 33-II | Order Modifying License (Materials Licensee) (Prohibiting Involvement by Individual Employee in Certain NRC-licensed Activities) | October 2010 |
| 34-I | Order Prohibiting Involvement in NRC-Licensed Activities (Effective Immediately) (Individual Employed by Reactor Licensee) | October 2010 |
| 34-II | Order Prohibiting Involvement in NRC-Licensed Activities (Effective Immediately) (Individual Employed by Materials Licensee) | October 2010 |
| 35-I | Order Prohibiting Involvement in NRC-Licensed Activities (Non-Immediately Effective) (Individual Employed by Reactor Licensee) | October 2010 |
| 35-II | Order Prohibiting Involvement in NRC-Licensed Activities (Non-Immediately Effective) (Individual Employed by Materials Licensee) | October 2010 |
| 36-I | Demand for Information (Individual Employed by Reactor Licensee) | September 2006 |
| 36-II | Demand for Information (Individual Employed by Materials Licensee) | September 2006 |
| 37 | Notification to DEDE and Commission on Issuance of Enforcement Actions Older Than 18 Months | September 2006 |
| 38 | Letter of Reprimand to an Unlicensed Individual | No Longer Used |
| 39 | Letter of Reprimand to a Licensed Individual | No Longer Used |
| 40 | Settlement Agreement and Cover Letter | September 2006 |
| 41 | Confirmatory Order Settling Civil Penalty Imposed by Order | September 2006 |
| 42 | Predecisional Enforcement Conference Confirmation Letter to Individual | October 2010 |
| 43 | Letter to Federal Facility Regarding 10 CFR 150.20, Reciprocity | September 2006 |
| 44 | Letter Transmitting OI Report Synopsis in DOL Cases | September 2006 |
| 45 | Close-Out Letter to Individual | October 2010 |
| 45-I | Close-Out Letter to Individual Engaged in Deliberate Misconduct | October 2010 |
| 45-II | Close-Out Letter, Individual Did Not Engage in Deliberate Misconduct | October 2010 |
| 46 | Predecisional Enforcement Conference Confirmation Letter to Claimant and Reimbursement of Travel Expenses | September 2006 |
| 47 | ADR Confirmatory Order Modifying License (Effective Immediately) |
October 2010 |
| 48 | Consent and Hearing Waiver Form | October 2010 |
Page Last Reviewed/Updated Thursday, April 18, 2013
