Background and Guidance Documents For Alternative Dispute Resolution (ADR)

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On this page:

• Guidance Documents
• Sample Forms
• Historic Documents
• Presentations

Below are links to background/guidance documents issued prior to and after the implementation of the program.

Guidance Documents

Date	Description
06/30/2022	Enforcement ADR Program Guidance for Program Participants
07/30/2014	SECY–14–0077, "Status Update and Proposed Policy Revision: Tasks Related to Alternative Dispute Resolution In The Enforcement Program"
11/28/2012	SECY–12–0161, "Status Update: Tasks Related to Alternative Dispute Resolution in the Allegation and Enforcement Programs"
03/16/2012	SECY–12–0040, "Activities Addressing Implementation and Assessment of the Alternative Dispute Resolution Program in the Office of Enforcement"
12/05/2011	Enforcement Guidance Memorandum–11–005 – Post Investigation Alternative Dispute Resolution Program
01/24/2011	Post–Investigation ADR Process
04/18/2008	Enforcement Guidance Memorandum–04–004 – Post Investigation Alternative Dispute Resolution Interim Program Guidance
05/05/2006	SECY–06–0102 – Evaluation of the Pilot Program on the Use of Alternative Dispute Resolution in the Allegation and Enforcement Programs
09/08/2005	SECY–03–0115 – Commission Voting Record – Alternative Dispute Resolution on Review Team (ART) Pilot Program Recommendations for Using Alternative Dispute Resolution (ADR) Techniques in the Handling of Discrimination and Other External Wrongdoing Issues
10/15/2004	Allegation Guidance Memorandum 2004–003: Implementation of the Alternative Dispute Resolution Pilot Program Within the Allegation Program
08/13/2004	Federal Register Notice 50219 – (Policy Statement Revision) NRC Enforcement Policy; Alternative Dispute Resolution
03/12/2004	SECY–04–0044 – Proposed Pilot Program for the Use of Alternative Dispute Resolution in the Enforcement Program
09/08/2003	SECY–03–0115 – Staff Requirements Memorandum – Staff Requirements – 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
07/08/2003	SECY–03–0115 – Alternative Dispute Resolution on Review Team (ART) Pilot Program Recommendations for Using Alternative Dispute Resolution (ADR) Techniques in the Handling of Discrimination and Other External Wrongdoing Issues
07/08/2003	SECY–03–0115 – Attachment 1 – Alternative Dispute Resolution Review Team Report: "Recommendations for Developing a Pilot Program to Use Alternative Dispute Resolution (ADR) Techniques in the Handling of External Wrongdoing and Discrimination Issues"
06/04/2002	SECY–02–0098 – Status of the Staff's Evaluation of the Possible Use of Alternative Dispute Resolution in the Agency's Enforcement Program
06/04/2002	SECY–02–0098 – Attachment 1 – March 12, 2002 Workshop Discussion on the Potential Use of ADR in the NRC Enforcement Process
06/04/2002	SECY–02–0098 – Attachment 2 – Summary of Public Comments in Response to the December 14, 2001 Federal Register Notice

Sample Forms

• Early ADR Agreement to Mediate Form
• Enforcement ADR Agreement to Mediate Form
• Settlement Agreement Close–out Letter
• Consent and Hearing Waiver Form
• Confirmatory Order Boilerplate Document
• Mediation Outcome Form

Historic Documents

Date	Description
11/08/2011	Public Meeting Transcript to Discuss Implementation of the Alternative Dispute Resolution Program in the Office of Enforcement
10/19/2011	Public Meeting Notice to Discuss Implementation of the Alternative Dispute Resolution Program in the Office of Enforcement
10/17/2011	Federal Register Notice 64124 – Implementation of the Alternative Dispute Resolution Program
09/06/2011	Federal Register Notice 55136 – Implementation of the Alternative Dispute Resolution Program
08/05/2008	IG Report OIG-08-A-08 – Audit of NRC's Contract for Alternative Dispute Resolution Services Reference: Deputy Executive Director for Materials, Waste, Research, State, Tribal, and Compliance Programs, Office of the Executive Director for Operations, Memorandum Dated April 25, 2008
03/26/2008	IG Report OIG-08-A-08 – Memorandum Report: Audit of NRC's Contract for Alternative Dispute Resolution Services
12/14/2007	IG Report OIG-08-A-03 – Memorandum Report: Audit of NRC's Alternative Dispute Resolution Program
11/2007	Occupational Safety and Health Administration (OSHA) Fact Sheet – "Your Rights as a Whistleblower"
04/2007	Report for the President on the Use and Results of Alternative Disputer Resolution in the Executive Branch of the Federal Government
05/05/2006	ADR Pilot Program Evaluation Report
05/05/2006	ADR Pilot Program Evaluation Criteria
10/28/2004	Press Release 04-137 – Cornell University to Provide Neutral Mediators for NRC's Alternative Dispute Resolution Program
08/12/2004	Press Release 04-094 – NRC Revises Enforcement Policy to include Alternative Dispute Resolution
05/25/2004	Florida Power & Light Company and FPL Energy Seabrook, LLC Comments on Proposed Interim Enforcement Policy for Pilot Program on the Use of Alternative Dispute Resolution in the Enforcement Program
04/20/2004	Press Release 04–444 – NRC Seeks Public Comment on Proposed Pilot Program for Use of Alternative Dispute Resolution
12/23/2003	Tennessee Valley Authority – Comments on Implementation of a Pilot Program on the Use of Alternative Dispute Resolution (ADR) in the Enforcement Program (68 Federal Register 67492, dated December 2, 2003)
12/18/2003	Summary of December 10, 2003, Public Meeting to Discuss Issues and Proposed Solutions Regarding Development of a Pilot ADR Program in Enforcement
08/15/2002	Press Release 02-090 – NRC Seeks Public Comment on Use of Alternative Dispute Resolution in its Enforcement Program
06/2002	Energy Reorganization Act of 1974 – Nuclear Regulatory Legislation, 107th Congress, 1st Session – NUREG–0980, Volume 1, No. 6
04/11/2002	March 12, 2002 Alternativie Dispute Resolution Workshop Trip Report
04/09/2002	Summary of March 12, 2002 Workshop on the Use of Alternative Dispute Resolution in the NRC Enforcement Program
03/12/2002	Workshop on Alternative Dispute Resolution (ADR) Techniques and How They Might Apply to the NRC’s Enforcement Program
12/29/2000	U.S. Department of Justice Confidentiality in Federal ADR Programs Report, 65FR83085

Presentations

Date	Description
09/22/2010	National Association of Employee Concerns Professionals, "Potential Pitfalls to Avoid: NRC's Pre-Investigation Alternative Dispute Resolution Settlement Agreement Review Process"
09/21/2010	National Association of Employee Concerns Professionals, "NRC Office of Enforcement’s Alternative Dispute Resolution (ADR) Program"
03/09/2010	2010 NRC Regulatory Information Conference
03/08/2010	Nuclear Energy Institute Lawyer's Committee
03/05/2010	Congressional Staffer Briefing
02/16/2010	Institute of Nuclear Power Operations Senior Nuclear Plant Management Course
01/19/2010	Commission Briefing
02/20/2008	Congressional Staffer Briefing
03/07/2006	2006 Regulatory Information Conference
02/23/2005	ECPF Conference
03/11/2004	2004 Regulatory Information Conference