Enforcement Manual Change Notice - Number 9

Change Notice Number 9was issued on December 10, 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 and Forms."
Changes were made to the following sections of Part I and II of the Manual:

• Part I – Section 1.2.13.2, Modified Enforcement Panels, was revised in its entirety to provide greater process efficiencies for certain simple, non-complicated traditional enforcement cases where the staff is proposing a severity level of either III or IV.  The normal panel process would be used if any panel member objects to using this process.  Additionally, the modified panel process may not be used for cases subject to a civil penalty, cases that might result in an Order, and cases that involve a disagreement with an OI investigation or a precedent setting enforcement action.  Section 1.2.13.2 was also revised to include guidance on the use of electronic information sharing and decision making (i.e., virtual panels).  As such, Section 1.2.13.3, Virtual Panels, was deleted in its entirety. 

• Part II – Section 5, Import–Export Enforcement Topics – a new Part II, Section 5 was created to provide minor/more-than-minor enforcement guidance for violations associated with certain 10 CFR 110.50(c) and 10 CFR 110.54 reporting requirements.

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.  Editorial changes made.
• 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.  Editorial changes made.
• 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.  Editorial changes made.
• 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).  Editorial changes made.
• Form 3-III(S), Cover Letter Transmitting Security-Related Final Greater than Green Finding (and Notice of Violation, if applicable).  Editorial changes made.
• Form 5, Cover Letter for Civil Penalty Cases, was revised to incorporate the opportunity to use Alternative Dispute Resolution (ADR) in response to a proposed imposition of a civil penalty.

Appendix C - Standard Citations for Enforcement Actions:

• New standard citations were added to Appendix C for violations of NRC requirements associated with portable gauge security and 10 CFR 30.34(i).

Appendix D - Enforcement Processing Aids and Forms:

• Added additional guidance on interpreting the Civil Penalty Assessment Process "Metro Map."