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Enforcement Guidance

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On this page:

• Enforcement Manual
• Inspection Manual - Excerpts
• Memoranda of Understanding Between NRC and Other Agencies Regarding Enforcement

See also Dispositioning of Enforcement Issues in a Risk-Informed Framework - Memorandum from Director, Office of Enforcement, December 5, 2000.

Enforcement Manual

On September 28, 2006, the Office of Enforcement (OE) completed the fifth full revision of the NRC Enforcement Manual (Manual). Revision 5 is a joint effort that draws on the knowledge and experience of the enforcement staff in both OE and the Regions. Because it is a living document, to ensure that the most recent version of the Manual is being used by the enforcement staff, that version is available on OE’s Web page. The revised document is provided in a PDF format.

The Manual was first published in June 1990 as a tool to assist the NRC staff in implementing the Commission's enforcement program consistent with NRC's Enforcement Policy. Intended for internal use by the NRC, the Manual contains procedures, requirements, and background information used by the staff who develop or review enforcement actions. As such, failure to follow the guidance in this Manual does not invalidate an enforcement action.

This Manual supersedes the previous version issued as Revision 4 (September 30, 2002) and updated through Change Notice Number 6 (October 26, 2004). Revision 5 includes multiple changes, including updated and reformatted information and hyperlinks to other NRC documents. The Agency office reorganizations taking place as Revision 5 is being deployed are not reflected in this revision; however, as soon as this information has been finalized, it will be included in the first update of Revision 5. Updates to the Manual will be made as necessary.

Highlights of the changes to the Manual include:

• A clarification of the roles played by NMSS, NRR, and NSIR, i.e., when they are providing support to the agency’s enforcement program and when they are acting as the “regional office” in an enforcement action
  
  
• The revised time-frame for 3-week email responses, extending it to 60 days
  
  
• A description of the responsibilities and authorities of the EDO and DEDOs as they pertain to the Commission’s enforcement program
  
  
• A description of the responsibilities and authorities of the Chief, Enforcement Policy and Program Oversight Section, OE

In addition, Revision 5 has three new chapters:

• Chapter 6, Wrongdoing, which contains guidance specifically addressing this topic, including new guidance regarding the Commission’s statute of limitations guidelines. It also includes new guidance addressing the length of time to be used for orders banning individuals from NRC-licensed activities
  
  
• Chapter 7, Reactor Operations, which contains guidance specifically addressing reactor operations, including new guidance regarding security
  
  
• Chapter 8, Miscellaneous Materials Enforcement Activities, which contains guidance specifically addressing materials licensees, including guidance regarding Master Materials Licensees (MMLs) and the lost source policy

The Appendices have been updated and reformatted as necessary and new document markings have been added. The Appendices are provided in a PDF format.

Appendix A contains an updated list of Enforcement Guidance Memoranda (EGMs).

Appendix B contains updated standard formats for enforcement packages which includes updated document marking.

Appendix C contains updated standard citations that have been reviewed by the Office of the General Counsel.

Appendix D contains updated enforcement processing aids and forms.

A more detailed summary of the changes in Revision 5 is included in Revision 5 - Summary of Changes; however, because this revision is a wholesale revision of the Manual, including its format, the summary does not provide a section-by-section list of the changes that have been made.

Change Notice Index - Updated September 28, 2006
Chapters 1-8: Narrative Guidance
Appendix A: Temporary Enforcement Guidance
Appendix B: Standard Formats for Enforcement Packages
Appendix C: Standard Citations for Enforcement Actions
Appendix D: Enforcement Processing Aids and Forms

Inspection Manual - Excerpts

The NRC Inspection Manual includes procedures for issuing Notices of Enforcement Discretion (NOEDs) for Power Reactors and Gaseous Diffusion Plants.

Implementing Procedures for Power Reactor NOEDs

Implementing Procedures for Gaseous Diffusion Plant NOEDs

Memoranda of Understanding Between NRC and Other Agencies Regarding Enforcement

• Memorandum of Understanding (MOU) between NRC and DOJ
• Memorandum of Understanding (MOU) between NRC and DOL
• Memorandum of Understanding (MOU) between NRC and DOT
• Memorandum of Understanding (MOU) between NRC and OSHA
• Memorandum of Understanding (MOU) between NRC and OSHA (Re: Gaseous Diffusion Plants)

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Wednesday, February 21, 2007