ML18122A101

NUREG/BR-0317, Rev. 2, Enforcement Alternative Dispute Resolution Program.

ML18122A101
Person / Time
Issue date:	05/31/2018
From:	Harrison J NRC/OE
To:
Meyd, Donald
References
NUREG/BR-0317 R02
Download: ML18122A101 (2)

Text

Mediation Location and Duration Timeliness Goals The parties usually hold the mediation at or near one of The timely resolution of issues is one of the goals of the NRCs offices. However, the parties may agree on the enforcement ADR program. Accordingly, the NRC any alternate location. Mediation sessions are usually expects timely progress of a case at each stage no longer than 1 day. In some cases, the mediation may of the mediation process. In cases where the parties take longer with the mutual consent of the parties. achieve settlement, the NRC expects to issue a CO within 90 calendar days of the date of the agencys letter The NRC Mediation Team offering the ADR option to the other party.

The responsible NRC senior manager (i.e., Office Additional Sources of Information Director, Regional Administrator, or his or her designee) will serve as the principal negotiator for the NRC in More information about the NRCs ADR program cases that involve wrongdoing and technical issues. is available from the following:

When a case involves discrimination, the Director of t e

• Cornell University's Scheinman Institute on Conflict ffi e of nfo e ent i se ve as t e in i a Resolution negotiato e ot e e e s of t e e iation Toll-Free Number: (877) 733-9415 tea t i a in e an enfo e ent s e ia ist an atto ne an a staff e esentative o is fa i ia it

• The NRC's ADR Program Manager in the Office of any te ni a iss es n e is ssion Enforcement Toll-Free Number: (800) 368-5642 or (301) 287-9527 The Confirmatory Order

• The NRC enforcement ADR program on the agencys Web site at www.nrc.gov/about-nrc/

A CO is a legally binding document that includes the regulatory/enforcement/adr.html terms of the AIP. The NRC will issue a CO only with the prior written consent of the other party and with a waiver of the right to a hearing. After the entity or the individual has completed the terms of the CO, the NRC Enforcement will verify that the terms of the CO have been satisfied in a timely manner. Because the CO is legally binding, Alternative Dispute failing to comply with its terms exposes the entity or individual to additional enforcement action.

Resolution Program Although the substance of the mediation session remains confidential, the details of the settlement will normally be made public via a press release and the publication of the CO in the Federal Register.

NUREG/BR-0317 Rev. 2 May 2018

The Program a ti i ation in t e og a is enti e vo nta e t e e iato o s a e e iation te e onfe en e it an t e entit o t e in ivi a a it a f o t e t e a ties to is ss ogistics or any special needs.

The U.S. Nuclear Regulatory Commissions (NRCs) e iation o ess at an ti e enforcement alternative dispute resolution (ADR) During the mediation, the mediator will give the parties program, formerly referred to as "post-investigation an opportunity to discuss their views on the issue.

ADR," provides an amicable process for resolving The Program Administrator Often, the mediator will meet privately with each party enforcement matters. It is intended to produce more to develop a clear understanding of the partys timely and effective outcomes for the NRC and an The NRC has a contract with the Cornell University perspective and explore and assess options. Although entity (e.g., an NRC licensee, certificate holder, or Scheinman Institute on Conflict Resolution (Cornell) to serve the mediator does not have any power to make contractor of an NRC licensee or certificate holder) or as the program administrator for the enforcement ADR decisions that may bind either party, he or she may ask an individual who is subject to an enforcement action, program. Cornell manages the logistics associated with questions intended to help the parties assess the merits through mediation. enforcement ADR, including working with the parties to of their positions, help them converse in a respectful select a mediator from Cornells roster of mediators. atmosphere, and identify potential settlement options.

The NRC established the post-investigation ADR Cornell uses a network of independent and experienced program in 2004. In 2015, the NRC expanded its mediators who help the parties find areas of agreement If t e a ties ea a sett e ent ag ee ent ing t e scope to include certain types of enforcement cases and settle their dispute. e iation session t e i t i a o ent t e that do not involve an investigation. Accordingly, the te s of t ei ag ee ent in iting eve o ing an name of this program was changed from "post-investigation ADR" to "enforcement ADR."

The Mediator ag ee ent in in i e I o enfo ea e eit e a t against t e ot e ent e I is not t it is t e asis on i t e afts a onfi ato o e The mediator is an experienced neutral individual who is Enforcement ADR includes two distinct case types: . The CO is a ega in ing o ent se to mutually selected by the parties. He or she has no stake in (1) discrimination cases or other wrongdoing and, onfi t e o it ents a e in t e I o eve if the outcome of the mediation or any power to make (2) nonwillful (traditional) enforcement cases with the t e a ties o not ea a sett e ent ag ee ent t e decisions that may bind either party. The role of the potential for civil penalties (not including violations t a itiona enfo e ent o ess es es t at is t e mediator is to facilitate communication between the parties associated with findings assessed through the Reactor enfo e ent o ess ontin es as it o ave if the and to provide an environment where the parties can Oversight Process). For discrimination cases or other parties had not engaged in ADR.

address their differences. The mediator uses consensus-wrongdoing, mediation is used after the completion of building skills and knowledge of negotiation to help the an investigation by the NRC Office of Investigations.

parties find ways to overcome any misunderstandings and Confidentiality find areas of agreement. The mediator does not act as legal As long as the enforcement matter is within the scope of counsel or provide legal advice. Each party should consult Although the terms of an ADR settlement become the program, the NRC normally offers enforcement ADR an attorney for legal advice as appropriate. publicly available through the issuance of the CO, with at each of the following stages of the enforcement certain exceptions, the substance of the discussions process: (1) before an initial enforcement action, (2) after during the mediation session is confidential. The the initial enforcement action is taken, typically upon The Mediation Process mediator is prohibited from discussing the mediation issuance of a notice of violation, and (3) when a civil proceedings, testifying on anyones behalf concerning penalty is imposed but before a hearing request. Historically, most enforcement ADR mediations have the mediation, or submitting a report on the substance occurred at the first stage of the enforcement process of the discussions.

Mediation is an informal process in which a trained and (i.e., before an initial enforcement action). In those cases, experienced mediator works with the parties to help them reach a resolution. The parties are the NRC and the the NRC presents the entity or the individual with the opportunity to engage in mediation with the agency before Cost entity or individual in the mediation. The mediator it makes an enforcement decision. If the entity or t e The NRC and the entity or individual, equally share the focuses the attention of the parties on their needs and in ivi a e e ts o ne i e t e an t e fees and travel expenses of the mediator and any interests rather than on their stated positions. Mediation entit o t e in ivi a oint se e t a e iato fte meeting room fees. However, each party is responsible gives the parties an opportunity to discuss issues, clear selecting a e iato t e a ties in coordination with the for its own expenses, such as travel, lodging, and legal up misunderstandings, identify creative ways to address mediator, set a date and place for the mediation. Typically, representation.

issues, find areas of agreement, and resolve their dispute.