Enforcement Manual Change Notice - Number 2

Change Notice Number 2 was issued on November 9, 2000, and addressed the following issues in the order that they appear in the Enforcement Manual.

Changes made throughout the text to reflect the 11/3/2000, increases in the amounts of base civil penalties.

3.9 Minor Violations & 3.12.1 Documenting Minor Violations: Eliminated the guidance that stated that documentation of a minor violation may be appropriate as part of closing out an allegation. Findings that result from allegation follow up activities should be assessed in the same manner as findings that are not allegation-related. This change is consistent with the change made to Inspection Manual Chapter 0610*.

3.10.3 Individual Action (IA) Numbers: Clarified guidance to emphasize that IA numbers are assigned to all correspondence issued to individuals concerning potential enforcement action and that the region should get an IA number from OE when the correspondence is ready to be issued.

4.3.6 Licensee Response to a Non-Escalated NOV: Added guidance on granting licensees response extensions (similar to escalated NOVs).

5.2.2 Scheduling and Announcing Predecisional Enforcement Conferences: Corrected the guidance in paragraph c to say that meeting notices should normally be announced 10 calendar days in advance of the meeting (versus 10 working days) to be consistent with agency's policy and the Enforcement Policy.

5.4.2.1 Initial Escalated Action: Added guidance that states that this criterion in the civil penalty assessment process should be considered for license transfers.

5.10 Letter of Reprimand (LOR): Added guidance that states that the staff should normally issue a close-out letter if it decides that action should not be taken against an individual (for what ever reason).

7.3.1 Predecisional Enforcement Conferences Involving Individuals: Added guidance that emphasizes the need to get IA numbers when correspondence is ready to be issued to an individual. Modified paragraph g to clarify that individual may bring personal representative to a conference (usually an attorney, spouse, or relative).

7.3.3 Action Against the Individual: Added references to the availability of standard formats for close-out letters to individuals and NOVs and cover letters to individuals included in Appendix B.

7.5.4 Processing OI Reports: Added guidance that states that the staff should treat OI assists like OI reports in those cases where the OI assist includes a conclusion (i.e., willful, not willful, violation, no violation).

7.5.4.1 Receipt and Initial Screening of OI Report: Paragraph c was revised by eliminating the sentence that stated that the decision to close a case would normally be made by the responsible office at the allegation review board.

7.5.4.3 Enforcement Panel for OI Report: Added guidance that states that if the panel participants decide that action will not be taken against an individual (for what ever reason) the staff should prepare a close-out letter using Form 45 in Appendix B.

7.7.4.1 Chilling Effect Letter (CEL): Added guidance to address the use of a CEL in special cases involving allegations of a chilled work environment (i.e., no DOL complaint or finding).

8.3.1 Compliance With the Security Plan Versus 10 CFR Part 73: Added guidance that states that citations against the general performance criteria of 10 CFR 73.55(a) may be viable and that any such violations should be coordinated with OE and NRR prior to issuance.

8.8 Emergency Preparedness: Revised to indicate that emergency preparedness findings are normally evaluated through the SDP and enforcement actions are taken based on the SDP outcome.

8.8.2 Actions Involving Emergency Exercises: Eliminated the guidance based on the fact that emergency preparedness findings are normally evaluated through the SDP and enforcement actions are taken based on the SDP outcome.

Appendix B, Form 3-III: Added a cover letter for an NOV to an individual.

Appendix B, Form 4-II: Added optional language to have a copy of the licensee's response to the NOV go to the resident inspector, because some materials facilities have resident inspectors.

Appendix B, Form 4-IV: Added an NOV to an individual.

Appendix B, Forms 15, 19-I, 19-II, 20-I, 20-II, 21-I, 21-II, 22-I, 22-II, 23-I, 23-II, 25-I, 25-II, 33-I, 33-II, 34-I, 34-II, 35-I, 35-II, 36-I, and 36-II: Revised to require that copies of response be sent to Assistant General Counsel for Materials Litigation and Enforcement (versus the Associate General Counsel for Hearings, Enforcement and Administration).

Appendix B, Forms 34-I, 34-II, 35-I, and 35-II: Conforming changes in order to require that an individual notify the NRC of his or her first employment in NRC-licensed activities for a period of specified time following a prohibition period.

Appendix B, Form 45: Added a close-out letter to an individual.