Enforcement Manual Change Notice - Number 9

Change Notice Number 9 was issued on October 22, 2021.  The primary purpose of this change was to update several sections in Parts I and II of the Manual to reflect current enforcement practices, and to provide clarifying guidance where needed.  In addition, six standard format boilerplates that are used in preparing and processing enforcement packages were updated in Appendix B to correspond to the changed guidance. 
Changes made to the following sections of Part I and II of the Manual include:
  • Part I – Section, Preparing for Panels, was revised to add new guidance on the preparation of Enforcement Action Worksheets (EAWs).  EAWs are used by the staff as the primary briefing materials during enforcement panels.  In addition, information regarding the timing for issuing choice letters was added to paragraph D to Section, Panel Outcome.
  • Part I – Section, Credit for Actions Related to Identification, was revised to remove the criterion requiring a licensee that has not been in existence for 2 years or 2 inspections to normally consider the factor of identification in addition to corrective action when determining proposed civil penalties.  This criterion was removed to align the Manual guidance with the civil penalty assessment process in Section 2.3.4 of the Policy.
  • Part I – Section 2.6, Notice of Violation and Proposed Imposition of Civil Penalty (NOV/CP), was revised to add new guidance on the preparation of invoices for enforcement actions that include the proposed imposition of a civil penalties.  The new invoicing process is intended to assist the Office of the Chief Financial Officer (OCFO) when crediting civil penalty payments made by licensees.
  • Part II – Section 3.4.1, Process for Dispositioning Violations [for Master Materials Licensees (MMLs)], was revised to clarify that a MML licensee’s performance (enforcement) history considers actions against the MML only and not the actions of each separate permittee.
  • Part II – Section 3.5.8, Enforcement Actions Involving Irradiated Gemstones, was added to the Manual to remind the staff that apparent violations involving domestic production or imports of irradiated gemstones or radioactive enamels are to be addressed through the normal enforcement process consistent with the Policy.
  • Parts I and II – Various Sections.  Other minor or editorial changes were made to various Manual sections to clarify and/or update guidance to reflect current enforcement practices.
The following standard format boilerplates were updated in Appendix B:
  • Form 5, “Cover Letter for Civil Penalty Cases”
  • Form 6, “Notice with All Violations Assessed a Civil Penalty”
  • Form 7, “Notice of Violation Assessing A Civil Penalty In Addition To A Violation Not Assessing A Civil Penalty”
  • Form 12, “Promissory Note in Payment of Civil Penalty”
  • Form 13, “Cover Letter for Order Imposing Civil Monetary Penalty”
  • Form 14, “Order Imposing Civil Monetary Penalty”

Page Last Reviewed/Updated Tuesday, April 19, 2022