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Enforcement Manual Change Notice - Number 1

Change Notice Number 1 to Revision 10 of the Enforcement Manual (Manual) was issued on July 28, 2017.  The primary purpose of this change was to update Parts I and II of the Enforcement Manual (Manual) to reflect current enforcement practices, and to provide clarifying guidance where needed.  In addition, changes and updates were made to several standard forms (“boilerplates”) listed in Part III, Appendix B, "Standard Formats for Enforcement Packages."

Changes were made to the following sections of Part I and II of the Manual:

  • Part I – Section 1.2.13.1, Participating in Panels, was clarified to note that it is expected that the region will be represented at enforcement panels by a Deputy Division Director, or higher. 

  • Part I – Section 3.5, Violations Involving Special Circumstances, was revised to add a note stating that the staff should exercise discretion under Enforcement Policy, Section 3.10, rather than Section 3.5, for violations of NRC requirements that do not have an associated ROP or cROP performance deficiency.

  • Part I – Section 5, Responsibilities and Authorities – This section was modified to clarify that Regional Administrator and Program Office Director authority includes implementing the ADR program as described in Part II, Section 1.2 of the Manual.  In addition, the table summarizing the delegation of authority memoranda for NSIR was deleted in its entirety.  This information is now a part of the Program Office Director table.

  • Part II – Section 1.2, Alternative Dispute Resolution (ADR), Subsection 1.2.2, ADR Roles and Responsibilities – Additional clarifying guidance was provided on roles and responsibilities for ADR and wrongdoing cases. 

  • Part II – Section 2.1.3, Enforcement of 10 CFR 50.59 and Related FSAR Violations – This section was revised to provide guidance on citing violations of 10 CFR 50.59, “Changes, Tests and Experiments.”  This section was also revised to provide amplifying guidance on implementing Section 6.1 of the Enforcement Policy and determining appropriate severity levels.

Appendix B - Standard Formats for Enforcement Packages:

  • Form 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 –
  • Form 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 –
  • Form 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 –
  • Form 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) – Form deleted.
  • Form 3-I, Cover Letter for Escalated NOVs without Civil Penalty (without SDP) –
  • Form 3-II, Letter Transmitting Preliminary White/Yellow/Red/Greater than Green Finding (Choice Letter) –
  • Form 3-II(S)(P), Publicly Available Cover Letter Transmitting Preliminary Security-Related Greater than Green Finding or Apparent Violation(s) –
  • Form 3-II(S), Letter Transmitting Preliminary Security-Related Greater than Green Finding –
  • Form 3-III, Cover Letter Transmitting Final White/Yellow/Red Finding (and Notice of Violation, if applicable) –
  • Form 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) –
  • Form 3-III(S), Cover Letter Transmitting Security-Related Final Greater than Green Finding (and Notice of Violation, if applicable) –
  • Form 3-IV, Cover Letter for Notice of Violation to Individual –  
  • Form 14, Order Imposing Civil Monetary Penalty – Updated E-Filing Requirements Section.
  • Form 19-I, Order Suspending License (Reactor Licensee) – Updated E-Filing Requirements Section.
  • Form 19-II, Order Suspending License (Materials Licensee) – Updated E-Filing Requirements Section.
  • Form 20-I, Order Modifying License (Immediately Effective) (Reactor Licensee) – Updated E-Filing Requirements Section.
  • Form 20-II, Order Modifying License (Immediately Effective) (Materials Licensee) – Updated E-Filing Requirements Section.
  • Form 21-I, Order Modifying License (Non-Immediately Effective) (Reactor Licensee) – Updated E-Filing Requirements Section.
  • Form 21-II, Order Modifying License (Non-Immediately Effective) (Materials Licensee) – Updated E-Filing Requirements Section.
  • Form 22-I, Order Modifying License and Demand for Information (Reactor Licensee) – Updated E-Filing Requirements Section.
  • Form 22-II, Order Modifying License and Demand for Information (Materials Licensee) – Updated E-Filing Requirements Section.
  • Form 23-I, Confirmatory Order Modifying License (Immediately Effective) (Reactor Licensee) – Updated E-Filing Requirements Section.
  • Form 23-II, Confirmatory Order Modifying License (Immediately Effective) (Materials Licensee) – Updated E-Filing Requirements Section.
  • Form 33-I, Order Modifying License (Reactor Licensee) (Prohibiting Involvement by Individual Employee in Certain NRC-licensed Activities) – Updated E-Filing Requirements Section.
  • Form 33-II, Order Modifying License (Materials Licensee) (Prohibiting Involvement by Individual Employee in Certain NRC-licensed Activities) – Updated E-Filing Requirements Section.
  • Form 34-I, Order Prohibiting Involvement in NRC-Licensed Activities (Immediately Effective) (Individual Employed by Reactor Licensee) – Updated E-Filing Requirements Section.
  • Form 34-II, Order Prohibiting Involvement in NRC-Licensed Activities (Immediately Effective) (Individual Employed by Materials Licensee) – Updated E-Filing Requirements Section.
  • Form 35-I, Order Prohibiting Involvement in NRC-Licensed Activities (Non-Immediately Effective) (Individual Employed by Reactor Licensee) – Updated E-Filing Requirements Section.
  • Form 35-II, Order Prohibiting Involvement in NRC-Licensed Activities (Non-Immediately Effective) (Individual Employed by Materials Licensee) – Updated E-Filing Requirements Section.
  • Form 47, ADR Confirmatory Order (w/ NO SUNSI or SGI Information Included) –
  • Form 47(S), ADR Confirmatory Order (w/ SUNSI or SGI Information Included) –

Page Last Reviewed/Updated Wednesday, August 02, 2017