The Safety and Security Enforcement Process Overview describes the Department of Energy's philosophy and approach to implementing its enforcement program for violations of the Department's regulations pertaining to nuclear safety, radiation protection, worker safety and health, and classified information security. This document complements and expands upon the information found in Appendix A to 10 CFR Part 820, Procedural Rules for DOE Nuclear Activities; Appendix B to 10 CFR Part 851, Worker Safety and Health Program; and Appendix A to 10 CFR Part 824, Procedural Rules for the Assessment of Civil Penalties for Classified Information Security Violations. It should be considered a principal reference for any contractor that is facing an enforcement investigation by Office of Enforcement within DOE's Office of Enterprise Assessments.
The Safety and Security Enforcement Coordinator Handbook is intended to provide DOE and contractor enforcement coordinators with information to aid their respective organizations in implementing effective regulatory noncompliance monitoring and reporting programs. In addition to providing specific expectations for reporting noncompliances to the DOE, the document provides guidance on roles and responsibilities and contractor assessment and corrective action management processes that the Office of Enforcement has observed to be effective mechanisms for reducing the likelihood that a contractor will be subject to an enforcement investigation.