Enforcement Manual Change Notice - Number 7

Change Notice Number 7 was issued on September 8, 2015.  The main 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 Part III.  Specifically, changes were made to selected portions of Appendix B, "Standard Formats for Enforcement Packages", Appendix C, "Standard Citations for Enforcement Actions", and Appendix D, "Enforcement Processing Aids."

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

• Part I – Section 3, Additional Enforcement Tools, - section was reformatted and renamed Exercise of Discretion.  The new renamed section contains the guidance previously contained in Part I, Section 3.2, Exercise of Discretion.  A new Part I, Section 4, Additional Enforcement-Related Tools, was created and now contains the remaining sections of the previous Part I, Section 3, Additional Enforcement Tools.  The previous Part I, Section 4, was unchanged but renumbered to Part I, Section 5.
• Part II – Section 1.1, Wrongdoing – sections 1.1.4 and 1.1.5 were revised to clarify roles and responsibilities related to processing enforcement actions associated with OI Reports.
• Part II – Sections 1.1.6 and 1.3.5 were revised to clarify guidance related to Factual Summaries.  A new Part II, Section 1.7, Factual Summaries, was also created to provide guidance on the preparation and review of factual summaries.
• Part II – Section 1.2, Alternative Dispute Resolution (ADR) – this section and other related sections were revised to reflect the recent expansion of the ADR program to include potential civil penalty cases.
• Part II – Section 1.5, Material False Statements and Completeness and Accuracy of Information – section was revised to include additional information on the subject of "materiality" as it relates to NRC Regulations on the completeness and accuracy of information provided to the NRC.
• Part II – Section 1.8, Disagreement Memoranda – this new section was created to provided additional guidance to the staff when internal disagreements arise on certain enforcement matters.
• Part II – Section 3.1, Loss, Abandonment, or Improper Transfer or Disposal of Regulated Material – section was revised to add guidance involving the loss of Generally Licensed Devices Not Requiring Registration.
• Part II – Section 3.7, Timeliness in Decommissioning of Materials Facilities Rule, – section was revised to provide clarified guidance related to decommissioning timeliness violations. 

In addition, changes were made to the following sections of Part III:

Appendix B - Standard Formats for Enforcement Packages.

• Form 1-II, Cover Letter Transmitting Inspection Report (including "apparent" violations) and Requesting Response ("Choice Letter").  Revised to add new optional language for cases where issuing an Order to an individual may not be warranted.
• Form 1-III, Cover Letter (including "apparent" discrimination violation(s)) and Confirming Predecisional Enforcement Conference ("Conference Letter").  Revised to include option for ADR.
• Form 3-II, Letter Transmitting Preliminary White/Yellow/Red/Greater than Green Finding (Choice Letter).  Revised to change the number of days licensees have to respond to the Choice Letter to request a Regulatory Conference to conform to IMC 0609 guidance.
• Form 3-III, Cover Letter Transmitting Final White/Yellow/Red Finding (and Notice of Violation, if applicable).  Editorial changes made related to the NRC's plain language initiative.
• Form 4-II, Notice of Violation (For All Violations Without a Civil Penalty) (Materials Licensees). Revised to clarify that this standard letter applies to Fuel Cycle facilities in addition to all Materials licensees.

Appendix C - Standard Citations for Enforcement Actions.

• An editorial error was corrected in Standard Citation 49 CFR 172.702.

Appendix D - Enforcement Processing Aids.

• Updated Generic Standard Distribution Lists for Escalated Enforcement Actions issued to Materials and Reactor licensees.