Enforcement Manual Change Notice - Number 3

Change Notice Number 3 was issued on April 27, 2001, and addressed the following issues in the order that they appear in the Enforcement Manual.

Abstract: Revised to reflect that Manual will be provided as a living document on the Office of Enforcement's website.

1.3 Distribution of the Manual: Revised to reflect that the Manual is no longer distributed in paper.

1.4.2 Preparation and Distribution of Change Notices: Deleted section because changes to the Manual are no longer distributed in paper.

1.4.3 Filing and Maintenance: Deleted section because the Manual is no longer published in paper.

2.3.1 Delegation of Authority to the Director, OE: Changed the previous reference to $5,000 to reflect the new civil penalty amounts in the December 18, 2000, Enforcement Policy change regarding cases involving the loss, abandonment, or improper transfer or disposal of a sealed source or device.

3.9 Minor Violations: Clarified to indicate that documenting a minor violation may be appropriate in closing out an LER when it would be obvious to a member of the public that a violation exists (not because an inspector raises questions or because of an inspector's expertise).

3.10.4 Entering Violations into the Reactor Program System (RPS): Deleted section because guidance is now obsolete.

3.12.1 Documenting Minor Violations: Clarified to indicate that documenting a minor violation may be appropriate in closing out an LER when it would be obvious to a member of the public that a violation exists (not because an inspector raises questions or because of an inspector's expertise).

4.3.4 Non-Escalated NOV Signature Authority: Clarified that the Regional Administrator has the authority for signing all non-escalated NOVs issued in the region (versus stating that the Regional Administrator actually signs all non-escalated NOVs).

5.2.3.3 Public Attendance at Predecisional Enforcement Conferences: Added guidance that states that the Regional Administrator has the discretion to determine whether the public should be allowed to observe a video conference on a case-by-case basis.

5.4.1 Base Civil Penalty: Modified to reflect the December 18, 2000, Enforcement Policy change such that violations that involve loss, abandonment, or improper transfer or disposal of a sealed source or device are treated separately, regardless of the use or the type of licensee.

5.4.2.1 Initial Escalated Action: Added an additional note to clarify that previous escalated action history does not include action in an Agreement State. The guidance states that the staff can consider previous escalated enforcement action in an Agreement State that it is aware of it deciding whether exercise of enforcement discretion is warranted for particularly poor enforcement history or repetitiveness under Section VII.A.1.d.

5.5.4 Licensee Notification, Mailing, & Distribution of Escalated NOVs(Without Civil Penalties): Added note to require that escalated NOVs be e-mailed to "OEWEB" to ensure that they are posted to OE's Website in a timely manner.

5.6.5 Licensee Notification, Mailing, & Distribution of Civil Penalties: Added note to require that civil penalty actions be e-mailed to "OEWEB" to ensure that they are posted to OE's Website in a timely manner.

5.7.5 Licensee Notification, Mailing, & Distribution of Imposition: Added note to require that impositions be e-mailed to "OEWEB" to ensure that they are posted to OE's Website in a timely manner.

5.8.6 Licensee Notification, Mailing, & Distribution of Orders: Added note to require that orders be e-mailed to "OEWEB" to ensure that they are posted to OE's Website in a timely manner.

6.2.1 Escalation of Civil Penalties: Modified paragraph g to be consistent the December 18, 2000, Enforcement Policy change such that cases involving the loss, abandonment, or improper transfer or disposal of a sealed source or device normally should result in a civil penalty of at least the base amount.

6.3.6 Violations Involving Special Circumstances (Section VII.B.6): Added new paragraph b that provides that the staff may exercise discretion on a case-by-case basis for inaccurate or incomplete performance indicator data.

7.4.2.1 Preparing FFD Actions: Corrected the sample fitness-for-duty violations to indicate Supplement I.

8.4.5 Loss, Abandonment, or Improper Transfer or Disposal of Licensed Material: New section (revises and replaces guidance previously included in 8.6.2) provides guidance to implement the December 18, 2000, Enforcement Policy change. Note: The staff is considering additional guidance regarding the agency's discretion in adjusting the amount of a civil penalty based on the actual expected cost of authorized disposal.

Appendix A: Revised EGM 99-005 to address three issues. 1. NRC will normally not take enforcement action against an unauthorized recipient of an NRC licensed device if, after learning of the necessary licensing requirements, the recipient has taken prompt action to either obtain an appropriate general or specific license for possession and/or use of the device or transfer the device to an authorized licensee. 2. Where a generally licensed device is found and is reported to the NRC by an entity other than the general licensee, the general licensee should not be given credit for identification for the loss, abandonment, or improper disposal or transfer of this device. 3. Provided standard language for use in inspection reports when enforcement discretion is being exercised in accordance with the interim policy.

Appendix A: Deleted interim guidance for exercising enforcement discretion for inaccurate performance indicator data to reflect expiration of the interim policy.

Appendix A: Added EGM 01-001, "Interim Guidance for Enforcement of 10 CFR 73.55(a)."

Appendix B: Revised Form 2 to indicate that the violations in the non-escalated and NCV paragraphs are Severity Level IV.

Appendix B: Revised Forms 4-I, 4-II, 4-III, and 6 to delete the RPS code requirement.

Appendix B: Revised Form 4-II to include the applicable regulation requiring a response to a Notice of Violation for a gaseous diffusion plant (10 CFR 76.70) and revised the form to be consistent with other Notices of Violation by removing the requirement that the response be under oath or affirmation.

Appendix E: Revised distribution lists for both reactor and materials escalated enforcement actions to include OEMAIL and OEWEB.

Appendix E: Revised the list of issues that may warrant enforcement discretion to be consistent with the December 18, 2000, Enforcement Policy change such that cases involving the loss, abandonment, or improper transfer or disposal of a sealed source or device normally should result in a civil penalty of at least the base amount.