[Federal Register Volume 78, Number 45 (Thursday, March 7, 2013)]
[Notices]
[Pages 14843-14844]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2013-05306]
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NUCLEAR REGULATORY COMMISSION
[NRC-2013-0046]
Temporary Scope Expansion of the Post-Investigation Alternative
Dispute Resolution Program
AGENCY: Nuclear Regulatory Commission.
ACTION: Notice of temporary scope expansion.
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SUMMARY: The U.S. Nuclear Regulatory Commission (NRC) is expanding the
scope of the post-investigation Alternative Dispute Resolution (ADR)
Program for a 1-year pilot period. The NRC and its licensees are the
parties to this form of ADR. Currently, post-investigation ADR is used
in the NRC's Enforcement Program for cases involving discrimination and
other wrongdoing after the NRC's Office of Investigations has completed
an investigation substantiating the allegation. The pilot ADR Program
will expand post-investigation ADR to include all escalated non-willful
(traditional) enforcement cases with proposed civil penalties (this
will not include violations associated with findings assessed through
the Reactor Oversight Process (ROP) \1\).
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\1\ Reference to the ROP includes the construction ROP.
ADDRESSES: Please refer to Docket ID NRC-2013-0046 when contacting the
NRC about the availability of information regarding this document. You
may access information related to this document, which the NRC
possesses and is publicly available, using any of the following
methods:
Federal Rulemaking Web site: Go to http://www.regulations.gov and search for Docket ID NRC-2013-0046. Address
questions about NRC dockets to Carol Gallagher; telephone: 301-492-
3668; email: [email protected].
NRC's Agencywide Documents Access and Management System
(ADAMS): You may access publicly available documents online in the NRC
Library at http://www.nrc.gov/reading-rm/adams.html. To begin the
search, select ``ADAMS Public Documents'' and then select ``Begin Web-
based ADAMS Search.'' For problems with ADAMS, please contact the NRC's
Public Document Room (PDR) reference staff at 1-800-397-4209, 301-415-
4737, or by email to [email protected]. The ADAMS accession number
for each document referenced in this document (if that document is
available in ADAMS) is provided the first time that a document is
referenced.
NRC's PDR: You may examine and purchase copies of public
documents at the NRC's PDR, Room O1-F21, One White Flint North, 11555
Rockville Pike, Rockville, Maryland 20852.
FOR FURTHER INFORMATION CONTACT: Russell Arrighi, telephone: 301-415-
0205, email [email protected]; or Maria Schwartz, telephone: 301-
415-1888, email [email protected]. Both of these individuals can
also be contacted by mail at the U.S. Nuclear Regulatory Commission,
Office of Enforcement, Concerns Resolution Branch, Washington, DC
20555-0001.
Background
The term ``ADR'' refers to a number of voluntary processes, such as
mediation and facilitated dialogues that can be used to assist parties
in resolving disputes and potential conflicts. These techniques involve
the use of a neutral
[[Page 14844]]
third party, either from within the agency or from outside the agency,
and are voluntary processes in terms of the decision to participate,
the type of process used, and the content of the final agreement.
Federal agency experience with ADR has demonstrated that the use of
these techniques can result in more efficient resolution of issues,
more effective outcomes, and improved relationships between the agency
and the other party.
On August 14, 1992 (57 FR 36678), the NRC issued a general policy
statement which supports and encourages the use of ADR in NRC
activities. On September 8, 2003, the Commission approved an NRC staff
proposal to develop and implement a pilot ADR Program to evaluate the
use of ADR in handling allegations or findings of discrimination and
other wrongdoing. (see the staff requirements memorandum (SRM) for
SECY-03-0115, ``Alternative Dispute Resolution Review Team (ART) Pilot
Program Recommendations for Using Alternative Dispute Resolution (ADR)
Techniques in the Handling of Discrimination and Other External
Wrongdoing Issues'' (ADAMS Accession No. ML030170277). In response to
the SRM, the NRC staff proposed a pilot ADR Program to evaluate the use
of ADR in the Enforcement Program in SECY-04-0044, ``Proposed Pilot
Program for the Use of Alternative Dispute Resolution in the
Enforcement Program,'' dated March 12, 2004 (ADAMS Accession No.
ML040550473). The Commission approved the pilot ADR Program (August 13,
2004; 69 FR 50219), and the NRC staff began implementing it in
September 2004.
In SECY-06-0102, ``Evaluation of the Pilot Program on the Use of
Alternative Dispute Resolution in the Allegation and Enforcement
Programs,'' dated May 5, 2006 (ADAMS Accession No. ML061110254), the
NRC staff provided the Commission with the results of the evaluation of
the pilot ADR Program. The NRC staff concluded that implementation of
the pilot ADR Program was successful. The Program was effective,
timely, and generally viewed positively by both internal and external
stakeholders. Accordingly, the staff indicated its intent to continue
to use ADR in both the Allegation and Enforcement Programs while
obtaining Commission approval for the changes necessary to formalize
the use of ADR in the Allegation and Enforcement Policy documents.
Since ADR program implementation, the NRC has reached settlement
agreements with licensees (or contractors) and individuals, and has
issued subsequent ADR confirmatory orders in more than 90 enforcement
cases.
On December 16, 2010, the NRC Chairman issued a memorandum, ``ADR
Implementation and Assessment'' (ADAMS Accession No. ML12030A228)
tasking the NRC staff to conduct a comprehensive review of the ADR
program, including determining if it should be expanded. On September
6, 2011 (76 FR 55136), the NRC solicited nominations of individuals to
participate on a panel to discuss ADR program implementation and
whether changes could be made to make it more effective, transparent,
and efficient. On October 17, 2011 (76 FR 64124), the NRC announced its
intention to hold a public meeting to solicit feedback from its
stakeholders on the ADR Program. During the November 8, 2011 public
meeting, the NRC external stakeholders expressed support for the
expansion of the ADR Program to the extent possible.
For purposes of discussing the expansion of the ADR program, it is
necessary to distinguish between the two types of programs, early ADR
and post-investigation ADR. These programs differ because of the
parties involved. In early ADR, a licensee or contractor engages in
mediation with its employee; where as in post-investigation ADR, the
NRC engages in mediation with the subject of a potential enforcement
action.
In SECY-12-0161, ``Status Update, Tasks Related to Alternative
Dispute Resolution in the Allegation and Enforcement Programs,'' dated
November 28, 2012 (ADAMS Accession No. ML12321A145), the NRC staff
notified the Commission of its intent to expand the scope of post-
investigation ADR and offer it as an option for escalated non-willful
(traditional) enforcement cases with proposed civil penalties for a 1-
year pilot period. The expansion of the Program does not include
violations associated with findings assessed through the ROP. The
current program for post-investigation ADR is limited to discrimination
and other wrongdoing cases.
At the completion of the 1-year period, the NRC staff will evaluate
the results of the pilot ADR Program and seek Commission approval for
the permanent inclusion in the Enforcement Policy if the expanded scope
is deemed beneficial to the advancement of the agency's mission.
Paperwork Reduction Act Statement
This Notification does not contain any information collections and,
therefore, is not subject to the requirements of the Paperwork
Reduction Act of 1995 (44 U.S.C. 3501 et seq.).
Public Protection Notification
The NRC may not conduct or sponsor, and a person is not required to
respond to, a request for information or an information collection
requirement unless the requesting document displays a currently valid
OMB control number.
Congressional Review Act
In accordance with the Congressional Review Act of 1996, the NRC
has determined that this action is not a major rule and has verified
this determination with the OMB Office of Information and Regulatory
Affairs.
Dated at Rockville, Maryland, this 25th day of February 2013.
For the Nuclear Regulatory Commission.
Roy P. Zimmerman,
Director, Office of Enforcement.
[FR Doc. 2013-05306 Filed 3-6-13; 8:45 am]
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