Enforcement Manual - Revision 10 - Summary of Changes

Revision 10 to the Enforcement Manual (Manual) was issued on March 3, 2017.  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, a revision to EGM-15-002 (Revision 1), "Enforcement Discretion for Tornado-Generated Missile Protection Noncompliance," was issued on February 7, 2017, and changes were made to selected portions of Appendix B, "Standard Formats for Enforcement Packages" and Appendix C, "Standard Citations for Enforcement Actions."

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

  • Part I – Various Sections, were revised in order to address the NRC's implementation of the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015.  The 2015 Act resulted in changes to the base civil penalty amounts listed in the Enforcement Policy (Policy).  Additionally, the 2015 Act requires the NRC to adjust annually for inflation the maximum civil penalty per violation per day in 10 CFR 2.205.

  • Part I – Section, Transcribing PECs and Regulatory Conferences, was revised to provide more clarifying guidance on transcribing PECs and Regulatory Conferences that are closed to public observation.  In these circumstances, the staff will normally have the meetings transcribed.  The purpose of this administrative requirement is to be transparent regarding the enforcement process.

  • Part I – Section 2.5.2, Civil Penalty Assessment Process, was revised to eliminate an inconsistency between the Policy and the Manual regarding the criteria to be used when considering past NRC escalated actions for determining the amount of proposed civil penalties.  The Policy states that previous escalated enforcement actions issued under the SDP (i.e., NOVs associated with red, yellow, or white SDP findings) are to be included.  The Manual previously stated that previous escalated enforcement actions issued under the SDP were not to be considered.  In Staff Requirements Memorandum SRM-SECY-15-0163, dated September 21, 2016 (ADAMS Accession Number ML16265A543), the Commission directed the staff to review the Manual and make the necessary changes to align with the Policy.

  • Part I – Section 2.5.5, Ability to Pay and Size of Operation, was revised to provide more clarifying guidance on reducing proposed civil penalties when a licensee demonstrates financial hardship.  It is not the NRC's intention that the economic impact of a civil penalty be so severe that it adversely affects a licensee's ability to safely conduct licensed activities or puts a licensee out of business.

  • Part I – Section 5, Responsibilities and Authorities – This section was modified in its entirety to reflect recent administrative changes to the delegation of authority for Regional Administrators and Program Office Directors.  A table was added in order to summarize the delegation of authority memoranda that was issued.  Several other sections in Part I were changed in order to delete redundant guidance.

  • Part II – Section 2.1, Reactor Operations Related Issues, was revised to add clarifying guidance on Corrective Action Program (CAP) Procedure Violations.

Appendix A - Enforcement Guidance Memoranda:

  • EGM 15-002 (Rev 1), "Enforcement Discretion for Tornado-Generated Missile Protection Noncompliance," dated February 7, 2017.

Appendix B - Standard Formats for Enforcement Packages:

  • Form 17, Cover Letter Transmitting Various Orders & Demands for Information Letter - Editorial changes made.

  • Form 47, ADR Confirmatory Order (w/ NO SUNSI or SGI Information Included) - Editorial changes made.

  • Form 47(S), ADR Confirmatory Order (w/ SUNSI or SGI Information Included) – Added new form.

Appendix C - Standard Citations for Enforcement Actions:

  • The standard citation for 49 CFR 172.704(a) was modified to correct training requirements for hazmat employee training.

Page Last Reviewed/Updated Wednesday, March 08, 2017