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.

The Office of Enforcement developed a training module within DOE’s Learning Nucleus, HQ-150DE: DOE Safety and Security Enforcement Program Overview, to provide the Enforcement community with an overview of the Enforcement program and process. Description: The course provides a foundational level introduction to the DOE safety and security enforcement program. It provides new and existing enforcement coordinators with an overview of their roles and responsibilities. Students will learn how each aspect of the enforcement process is implemented as part of specific enforcement activities. Audience: The primary target audience for this course is new Safety and Security Enforcement Coordinators. The secondary target audience includes existing Safety and Security Enforcement Coordinators and others who may be involved with site safety and security programs. Goals & Objectives: Upon successful completion of the course, the learner will be able to: understand DOE's safety and security regulatory framework, describe the roles and responsibilities of the Office of Enforcement and individual Enforcement Coordinators, understand elements of the enforcement program demonstrated through the conduct of a Regulatory Assistance Review, and describe how the enforcement process is initiated through an enforcement investigation. Length: About 1.5 hours.  Delivery Method: Online Course through the DOE Learning Nucleus.

As mandated by the Federal Civil Penalties Inflation Adjustment Act of 1990, as further amended by the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015, DOE adjusts civil penalty amounts annually for inflation. The Civil Penalty Table is effective as of January 2024.