United States Nuclear Regulatory Commission - Protecting People and the Environment

Enforcement Manual - Revision 6 - Summary of Changes

Revision 6 was issued on December 22, 2008.  This revision updated the Enforcement Manual (Manual), revising existing guidance and information where applicable and added new guidance on various activities including, for example, the Post-Investigation Alternative Dispute Resolution (ADR) process.  Applicable sections throughout the Manual were revised to reflect the creation of the Office of New Reactors (NRO) and the Office of Federal and State Materials and Environmental Management Programs (FSME). 

In addition to editorial corrections, the following briefly describes changes that were made:

The Abstract was revised slightly to update information.

Chapter 1 was revised to include descriptions of the responsibilities and authorities of the Office of New Reactors (NRO) and the Office of Federal and State Materials and Environmental Management Programs (FSME) in the enforcement program.  In addition, the chapter was updated to reflect the delegation of authority limitations contained in memos from the EDO to OE (ML080100183), and from the Director, OE, to FSME (ML080850267), NRO (080940176), NRR (ML081260612, and NMSS (ML081260602).

Applicable sections of Chapter 2 were revised to reflect the current method of assigning enforcement action (EA) numbers for tracking enforcement actions.

Chapter 3 was revised to include a note to section 3.1.2.a.3 and to add section 3.1.3.a.4 to improve the alignment of the Manual with the Enforcement Policy.

Chapters 4 and 5 were revised reflect the current statutory maximum civil penalty amount of $140,000 per violation per day.

Chapter 6 was revised to include a description of the Post-Investigation Alternative Dispute Resolution (ADR) process.  (Note: the early ADR process is discussed in NRC Management Directive 8.8, “Management of Allegations”).  These discussions are contained in section 6.4.6.  In addition, clarification of responsibilities associated with Enforcement Action (EA) numbers and Strategy Forms were revised in sections 6.4.3.3.a.1 and 6.4.3.3.a.2.  A change to section 6.6.9.d was made to reflect the current field code of the OE website where significant enforcement actions taken against individuals can be located.

No changes were made to Chapters 7 and 8.

Appendix A was revised to eliminate expired Enforcement Guidance Memoranda (EGMs) and include only those EGMs which are active.

Appendix B was revised to include boilerplate letters 3-II(S), “Letter Transmitting Preliminary Security-Related Greater than Green Finding” and 3-III(S), “Cover Letter Transmitting Security-Related Final Greater than Green Finding (and Notice of Violation, if applicable)”

No changes were made to Appendices C and D.

Page Last Reviewed/Updated Thursday, March 29, 2012