Enforcement Manual - Revision 7 - Summary of Changes

Revision 7 was issued on October 1, 2010. The main purpose of this revision was to update the Enforcement Manual (Manual) with guidance and information reflective of the recently revised Enforcement Policy published in the Federal Register on September 30, 2010 (75 FR 60485) and to update 42 of the 77 Standard Formats for Enforcement Packages in Appendix B to revise out-dated wording, to reflect current enforcement practices, and to provide clarification where needed. In addition, changes were made throughout the Manual to incorporate recommendations from an Office of the Inspector General (OIG) audit and subsequent changes made to Inspection Manual Chapter 2800.

In addition to editorial corrections, the following briefly describes some of the more significant changes associated with the revised Enforcement Policy:

Section 2.4, and other appropriate sections, was modified to reflect guidance for "Export and Import of NRC-Regulated Material and Equipment" contained in a new section of the Policy.

Section 2.6 was revised to conform to Section 6 of the Policy. References to "Supplements" were changed to "Violation Examples". The number of sample violation areas was increased from 8 (supplements) to 14 (activity areas).

Section 2.5 was revised to reflect expanded definitions of Severity Levels discussed in the definitions section of the Policy.

Section 3.1.2 was deleted as were other references to "Letters of Reprimand" to reflect removal of "Letters of Reprimand" from the Policy.

Section 6 was revised to reflect changes made in the Policy regarding "Enforcement Actions Involving Individuals."

Applicable portions of Sections 5 and 6 were revised to conform with guidance added to the Policy regarding "Use of Discretion in Determining the Amount of a Civil Penalty."

Definitions of commonly used enforcement terms were updated throughout the Manual to conform to the new "Glossary" section in the Policy.

Applicable sections throughout the Manual were revised to incorporate recommendations from the OIG audit, OIG-08-A-17, and subsequent changes to Inspection Manual Chapter 2800, "Materials Inspection Program" regarding materials inspector signature authority on Form 591 requiring management review and approval.

Appendix A was revised to add Enforcement Guidance Memoranda (EGM) 10-002, "Guidance for Dispositioning Enforcement Issues Associated with Orders Imposing Fingerprinting and Criminal History Records Check Requirements for Unescorted Access to Certain Radioactive Material," issued June 14, 2010.

Appendix B, Standard Formats for Enforcement Packages, was revised such that all sample enforcement letters are now in a Word format as "read" only documents, rather than a pdf format. However, each sample enforcement letter can be saved to a separate file and then edited for use. A footer/header has been added to each sample enforcement letter indicating the latest review/revision date. The list of sample enforcement letters previously available on the internal OE web page at Quick Links, Non-Public Guidance Boilerplate Forms, has been removed.