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Safety and Security Enforcement Process Overview

July 2016

This Enforcement Process Overview (EPO) sets forth the processes used by the U.S. Department of Energy (DOE) Office of Enforcement, within the Office of Enterprise Assessments (EA), to implement DOE’s regulatory obligations as authorized by the Atomic Energy Act. 

The Enforcement Process Overview (EPO) and the companion Enforcement Coordinator Handbook are program guidance documents that the Office of Enforcement maintains to promote improved understanding of the Department’s safety and security enforcement program and facilitate transparency and consistency in its implementation.  The EPO document provides background information, discusses roles and responsibilities, and delineates various considerations that the Office of Enforcement uses to determine enforcement outcomes. 

The July 2016 update to the EPO incorporates changes in the following enforcement program implementation areas:

  • Investigation interview attendance (page 25)
  • Contractor review of draft Enforcement Letters (pages 42-43)
  • Advisory Notes to DOE Field Element Managers (page 43)
  • Base civil penalty amounts adjusted for inflation (pages 49-50)
  • Procedural handling of retaliation cases (page 57)

The revised document and a file showing all of the changes that were made to the document in the July 2016 revision are available below.