General Statement of Policy and Procedure for NRC Enforcement Actions (NUREG-1600)

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Publication Information

Manuscript Completed: May 2000
Date Published: May 2000

Office of Enforcement
U.S. Nuclear Regulatory Commission
Washington, DC 20555-0001

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This document includes the U.S. Nuclear Regulatory Commission's (NRC's or Commission's) revised General Statement of Policy and Procedure for Enforcement Actions (Enforcement Policy) as it was published in the Federal Register on May 1, 2000 (65 FR 25368). Because the policy is often revised without being reissued as a NUREG series publication, this current document is identified by date instead of revision number. The policy that preceded this April 2000 publication was NUREG-1600, November 9, 1999. The Enforcement Policy is a general statement of policy explaining the NRC's policies and procedures in initiating enforcement actions, and the responsibilities of the presiding officers and the Commission in reviewing these actions. This policy statement is applicable to enforcement matters involving the radiological health and safety of the public, including employees' health and safety, the common defense and security, and the environment. The NRC publishes the policy statement in NRC's NUREG series to foster its widespread dissemination. However, this is a policy statement and not a regulation. The Commission may deviate from this statement of policy and procedure as appropriate under the circumstances of a particular case.

As a living policy statement, revisions are noticed in the Federal Register. The NRC's Office of Enforcement maintains the current policy statement on its homepage on the Internet at This revision (1) incorporates the Interim Enforcement Policy that was used during the NRC Power Reactor Oversight Process Pilot Plant Study into the main body of the Enforcement Policy as permanent guidance; (2) adds an interim Enforcement Policy for exercising enforcement discretion for inaccurate or incomplete performance indicator data for nuclear power plants; (3) changes examples of violations for operating reactors regarding changes, tests, and experiments; (4) adds examples of violations for inaccurate or incomplete performance indicator data; (5) changes examples of violations involving the failure to secure, or maintain surveillance over, licensed material; and (6) edits existing guidance to assure clarity of existing policy and consistency with the intent of the Interim Enforcement Policy. The intent of this Policy revision is to continue to move towards a more risk-informed and performance-based approach.

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