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Enforcement Manual Appendix B - Standard Formats for Enforcement Packages

This Appendix includes standard formats to be used in preparing and processing enforcement packages.

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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.

  • 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).

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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.

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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 2015
1-II Cover Letter Transmitting Inspection Report (including "apparent" violations) and Requesting Response ("Choice Letter") September 2015
1-III Cover Letter (including "apparent" discrimination violation(s)) and Confirming Predecisional Enforcement Conference ("Choice Letter") September 2015
1-IV Cover Letter Transmitting an Apparent Violation of Decommissioning Requirements as a Result of Records Review and Requesting Response ("Choice Letter") September 2015
1-V Cover Letter Transmitting Inspection Report (including apparent security violations) and Confirming Predecisional Enforcement Conference ("Conference Letter") September 2015
2 Cover Letter Transmitting Inspection Report (includes optional paragraphs for Severity Level IV Notices of Violation, Notices of Violation associated with green SDP findings, Non-Cited Violations, and apparent violations subject to a conference July 2017
2(S)(P) Publicly Available 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 July 2017
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 July 2017
3-I Cover Letter for Escalated NOVs without Civil Penalty (without SDP) July 2017
3-II Letter Transmitting Preliminary White/Yellow/Red/Greater than Green Finding (Choice Letter) July 2017
3-II(S)(P) Publicly Available Cover Letter Transmitting Preliminary Security-Related Greater than Green Finding or Apparent Violation(s) July 2017
3-II(S) Letter Transmitting Preliminary Security-Related Greater than Green Finding July 2017
3-III Cover Letter Transmitting Final White/Yellow/Red Finding (and Notice of Violation, if applicable) July 2017
3-III(S)(P) Publicly Available Cover Letter Transmitting Security-Related Final Greater than Green or Escalated Enforcement Finding (and Notice of Violation, if applicable) July 2017
3-III(S) Cover Letter Transmitting Security-Related Final Greater than Green Finding (and Notice of Violation, if applicable) July 2017
3-IV Cover Letter for Notice of Violation to Individual July 2017
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) September 2015
4-III Notice of Violation (For All Violations Without a Civil Penalty)
(Non-Licensees)		 October 2010
4-IV Notice of Violation to Individual May 2013
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 2021
6 Notice with All Violations Assessed a Civil Penalty October 2021
7 Notice of Violation Assessing A Civil Penalty In Addition To A Violation Not Assessing A Civil Penalty October 2021
8 Notice of Deviation May 2013
9 Cover Letter Transmitting Inspection Report and Notice of Nonconformance (Non-Licensees) May 2013
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) May 2013
11 Notice of Nonconformance (Non-Licensees) May 2013
12 Promissory Note in Payment of Civil Penalty October 2021
13 Cover Letter for Order Imposing Civil Monetary Penalty October 2021
14 Order Imposing Civil Monetary Penalty October 2021
15 Appendix to Order Imposing Civil Penalty (For Violations Assessed a Civil Penalty) May 2013
16 Enclosure to Order Imposing Civil Monetary Penalty (for Violations Not Assessed a Civil Penalty) May 2013
17 Cover Letter for Various Orders & Demands for Information March 2017
18 Affidavit to Support the Immediate Effectiveness of an Order May 2013
19-I Order Suspending License (Reactor Licensee) May 2020
19-II Order Suspending License (Materials Licensee) May 2020
20-I Order Modifying License (Immediately Effective) (Reactor Licensee) May 2020
20-II Order Modifying License (Immediately Effective) (Materials Licensee) May 2020
21-I Order Modifying License (Non-Immediately Effective) (Reactor Licensee) May 2020
21-II Order Modifying License (Non-Immediately Effective) (Materials Licensee) May 2020
22-I Order Modifying License and Demand for Information (Reactor Licensee) May 2020
22-II Order Modifying License and Demand for Information (Materials Licensee) May 2020
23-I Confirmatory Order Modifying License (Immediately Effective) (Reactor Licensee) May 2020
23-II Confirmatory Order Modifying License (Immediately Effective) (Materials Licensee) May 2020
24 Confirmatory Action Letter July 2014
25-I Demand for Information (Reactor Licensee) May 2013
25-II Demand for Information (Materials Licensee) May 2013
26-I Enforcement Notification for Proposed Civil Penalty May 2013
26-II Enforcement Notification for Order Imposing Civil Penalty May 2013
26-III Enforcement Notification for Final Significance Determination (with White, Yellow, or Red Finding) with NOV May 2013
26-IV Enforcement Notification (Multiple Samples) May 2013
27-I Regulatory Notification for Final Significance Determination (with White, Yellow, or Red Findings) and No Notice of Violation May 2013
27-II Regulatory Notification for Orders Modifying Safety Requirements May 2013
28 Letter Requesting Information from the Licensee in Response to a Finding of Discrimination March 2014
29 Request for Information Letter to DOL May 2013
30-I Cover Letter Transmitting Notice of Violation to Licensed Operator Who Has a Positive Drug Test, Keeps License July 2013
30-II Cover Letter Transmitting Notice of Violation to Licensed Operator Who Has a Positive Drug Test, License Terminated July 2013
30-III Cover Letter Transmitting Notice of Violation to Licensed Operator Performing Licensed Activities While Under the Influence of Alcohol, Keeps License July 2013
30-IV Cover Letter Transmitting Notice of Violation to Licensed Operator Performing Licensed Activities While Under the Influence of Alcohol, License Terminated July 2013
30-V Letter to Licensed Operator Performing Non-licensed Activities While Under the Influence of Alcohol, Keeps License July 2013
30-VI Letter to Licensed Operator Performing Non-licensed Activities While Under the Influence of Alcohol, License Terminated July 2013
31 Notice of Violation to Licensed Operator for Positive Drug or Alcohol Test May 2013
33-I Order Modifying License (Reactor Licensee) (Prohibiting Involvement by Individual Employee in Certain NRC-licensed Activities) May 2020
33-II Order Modifying License (Materials Licensee) (Prohibiting Involvement by Individual Employee in Certain NRC-licensed Activities) May 2020
34-I Order Prohibiting Involvement in NRC-Licensed Activities (Effective Immediately) (Individual Employed by Reactor Licensee) May 2020
34-II Order Prohibiting Involvement in NRC-Licensed Activities (Effective Immediately) (Individual Employed by Materials Licensee) May 2020
35-I Order Prohibiting Involvement in NRC-Licensed Activities (Non-Immediately Effective) (Individual Employed by Reactor Licensee) May 2020
35-II Order Prohibiting Involvement in NRC-Licensed Activities (Non-Immediately Effective) (Individual Employed by Materials Licensee) May 2020
36-I Demand for Information (Individual Employed by Reactor Licensee) May 2013
36-II Demand for Information (Individual Employed by Materials Licensee) May 2013
37 Notification to DEDE and Commission on Issuance of Enforcement Actions Older Than 18 Months May 2013
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 May 2013
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 May 2013
44 Letter Transmitting OI Report Synopsis in DOL Cases May 2013
45 Close-Out Letter to Individual October 2010
45-I Close-Out Letter to Individual Engaged in Deliberate Misconduct May 2013
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 May 2013
47 ADR Confirmatory Order (w/ NO SUNSI or SGI Information Included) May 2020
47(S) ADR Confirmatory Order (w/ SUNSI or SGI Information Included) May 2020
48 Consent and Hearing Waiver Form October 2010
49 Order Revoking License for Nonpayment of License Fees August 2014

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Page Last Reviewed/Updated Monday, October 25, 2021