AUDIT REPORT

Audit of NRC's Non-Concurrence Process

OIG-11-A-02 October 7, 2010

All publicly available OIG reports (including this report) are accessible through

NRC’s Web site at: 

http:/www.nrc.gov/reading-rm/doc-collections/insp-gen/
UNITED STATES

NUCLEAR REGULATORY COMMISSION

WASHINGTON, D.C. 20555-0001

OFFICE OF THE

INSPECTOR GENERAL

October 7, 2010

MEMORANDUM TO: R. William Borchardt

Executive Director for Operations

FROM: Stephen D. Dingbaum /RA/

Assistant Inspector General for Audits

SUBJECT: AUDIT OF NRC’S NON-CONCURRENCE PROCESS

(OIG-11-A-02)

Attached is the Office of the Inspector General’s (OIG) audit report titled, Audit of NRC’s 

Non-Concurrence Process.

The report presents the results of the subject audit. Agency comments provided at the 

September 10, 2010, exit conference have been incorporated, as appropriate, into this 

report. The formal comments provided by your office on September 28, 2010, are 

presented in their entirety in Appendix C to this report. Appendix D contains OIG’s 

response to the formal comments.

Please provide information on actions taken or planned on each of the 

recommendations within 30 days of the date of this memorandum. Actions taken or 

planned are subject to OIG follow up as stated in Management Directive 6.1.

We appreciate the cooperation extended to us by members of your staff during the 

audit. If you have any questions or comments about our report, please contact me at 

415-5915 or Sherri Miotla, Team Leader, Nuclear Materials & Waste Safety Team, at 

415-5914.

Attachment: As stated 
Electronic Distribution

Edwin M. Hackett, Executive Director, Advisory Committee 

 on Reactor Safeguards

E. Roy Hawkens, Chief Administrative Judge, Atomic Safety 

 and Licensing Board Panel

Stephen G. Burns, General Counsel

Brooke D. Poole, Director, Office of Commission Appellate Adjudication

James E. Dyer, Chief Financial Officer

Hubert T. Bell, Inspector General

Margaret M. Doane, Director, Office of International Programs

Rebecca L. Schmidt, Director, Office of Congressional Affairs

Eliot B. Brenner, Director, Office of Public Affairs

Annette Vietti-Cook, Secretary of the Commission

R. William Borchardt, Executive Director for Operations

Michael F. Weber, Deputy Executive Director for Materials, Waste,

 Research, State, Tribal, and Compliance Programs, OEDO

Darren B. Ash, Deputy Executive Director 

 for Corporate Management, OEDO

Martin J. Virgilio, Deputy Executive Director for Reactor

 and Preparedness Programs, OEDO

Nader L. Mamish, Assistant for Operations, OEDO

Kathryn O. Greene, Director, Office of Administration

Patrick D. Howard, Director, Computer Security Office

Roy P. Zimmerman, Director, Office of Enforcement

Charles L. Miller, Director, Office of Federal and State Materials

 and Environmental Management Programs

Cheryl L. McCrary, Director, Office of Investigations

Thomas M. Boyce, Director, Office of Information Services

James F. McDermott, Director, Office of Human Resources

Michael R. Johnson, Director, Office of New Reactors

Catherine Haney, Director, Office of Nuclear Material Safety

 and Safeguards

Eric J. Leeds, Director, Office of Nuclear Reactor Regulation

Brian W. Sheron, Director, Office of Nuclear Regulatory Research

Corenthis B. Kelley, Director, Office of Small Business and Civil Rights

James T. Wiggins, Director, Office of Nuclear Security

 and Incident Response

Marc L. Dapas, Acting Regional Administrator, Region I

Luis A. Reyes, Regional Administrator, Region II

Mark A. Satorius, Regional Administrator, Region III

Elmo E. Collins, Jr., Regional Administrator, Region IV
Audit of NRC’s Non-Concurrence Process

i

EXECUTIVE SUMMARY

The non-concurrence process is part of the agency’s Differing Views 

Program, and is managed by the Office of Enforcement. The Nuclear 

Regulatory Commission’s (NRC) implementation of an agencywide nonconcurrence process supports the agency’s goal of promoting an open 

collaborative work environment, which values collaborative 

decisionmaking, diverse views, unbiased evaluations, and honest 

feedback on how decisions are made. The non-concurrence process was 

developed to promote discussion and consideration of differing views on 

draft documents, provide a non-concurrence option for individuals with 

concerns who had a role in creating or reviewing draft documents, and 

provide a uniform approach for processing non-concurrences. 

The Executive Director for Operations issued draft Management Directive 

(MD) and Handbook 10.158, “NRC Non-Concurrence Process,” via Yellow 

Announcement, on November 29, 2006. The Yellow Announcement 

directed staff to follow the requirements in the interim directive and 

handbook, which were to supersede any existing office-level nonconcurrence procedures. At the time of its 2006 issuance, MD 10.158 

was expected to remain in interim status for approximately 1 year in order 

to gain operating experience to make informed revisions to the directive 

before its finalization. Finalization of MD 10.158 was further prolonged 

after the initial 1-year period in order to gain additional operating 

experience. Currently, MD 10.158 remains in interim status and is 

scheduled to be finalized in June 2013.

The objective of this audit was to determine if the agency’s nonconcurrence process is operating as intended.1

 

 

1

The original objective of this audit, as noted in the Office of the Inspector General’s (OIG) fiscal year 

2010 Annual Plan, was to assess the effectiveness of how NRC dispositions issues objected to through 

the non-concurrence process. The objective was revised during fieldwork to widen the scope of the audit 

to perform a more comprehensive assessment of the non-concurrence process.
Audit of NRC’s Non-Concurrence Process

ii

The agency’s non-concurrence process is a valuable tool in facilitating 

discussion of differing views between staff and management and is 

generally implemented as it was intended. However, OIG identified 

opportunities for improvement within the non-concurrence process in the 

following two areas:

 Agency guidance and training.

 Capture and review of operating experience.

Agency Guidance and Training on Non-Concurrence Process Can Be 

Improved

Although the agency provides guidance and training on the nonconcurrence process, the guidance is incomplete and the training is 

limited. Providing properly implemented guidance and training that 

effectively communicate policies, objectives, responsibilities, authorities, 

requirements, and information to employees are essential human capital 

practices that help to ensure employees have the knowledge and skills to 

perform their job and accomplish the agency mission. However, agency 

guidance on the non-concurrence process is imprecise and remains in 

prolonged interim status. Training on the agency’s non-concurrence 

process is not provided in a medium that is routinely available to all staff 

when they need it. Without precise guidance and timely training, the nonconcurrence process will continue to be inconsistently implemented and 

staff will perceive the process as ineffective and inefficient. Furthermore, 

some staff are hesitant to raise differing views through the agency’s nonconcurrence process.

Non-Concurrence Operating Experience Is Not Routinely or 

Comprehensively Captured or Reviewed

MD 10.158 was implemented as interim guidance in November 2006 with 

the intention that the agency gain operating experience in order to make 

informed revisions to the directive prior to its final issuance. According to 

management, a prolonged interim status would allow operating experience 

to be gained, which, in turn, would be used to make informed revisions to 

the management directive. Program management best practices include 

strategies for routinely reviewing and capturing operating experience. 
Audit of NRC’s Non-Concurrence Process

iii

However, because the non-concurrence process was implemented by 

design without a requirement to conduct regular program reviews, 

operating experience is not being formally captured or reviewed. As a 

result, it would be difficult for program management to perform a 

comprehensive assessment of the non-concurrence process and 

determine what revisions are needed to improve MD 10.158. 

Furthermore, the agency’s knowledge management initiative is negatively 

impacted when Forms 757, “Non-Concurrence Process,” which are key 

decisionmaking documents, are inconsistently tracked, profiled, and 

retained.

This report makes eight recommendations to improve the guidance and 

training pertaining to and oversight of the non-concurrence process. A 

consolidated list of these recommendations appears in Section IV of this 

report.

AGENCY COMMENTS

On August 26, 2010, OIG issued its discussion draft report to the 

Executive Director for Operations. OIG subsequently met with NRC 

management during a September 10, 2010, exit conference at which time 

the staff provided informal comments. OIG incorporated these comments, 

as appropriate, in a final draft report that was forwarded to the agency for 

review on September 21, 2010. On September 28, 2010, the Executive 

Director for Operations provided formal comments to this report in which 

the agency stated general agreement with the audit report and provided 

information on planned and ongoing activities pertaining to improvement 

of the non-concurrence process. The agency’s formal comments are

presented in their entirety in Appendix C of this report. OIG’s analysis of 

the agency’s formal comments is located in Appendix D of this report.
Audit of NRC’s Non-Concurrence Process

iv

ABBREVIATIONS AND ACRONYMS

ADAMS Agencywide Documents Access and Management System

MD management directive

NCP non-concurrence process

NRC Nuclear Regulatory Commission

OIG Office of the Inspector General
Audit of NRC’s Non-Concurrence Process

v

TABLE OF CONTENTS 

EXECUTIVE SUMMARY....................................................................................... i

ABBREVIATIONS AND ACRONYMS ..................................................................iv

I. BACKGROUND ........................................................................................ 1

II. PURPOSE ................................................................................................ 4

III. FINDINGS ................................................................................................. 5

A. Agency Guidance and Training on Non-Concurrence

Process Can Be Improved.................................................................... 5

B. Non-Concurrence Operating Experience Is Not Routinely or 

Comprehensively Captured or Reviewed ........................................... 14

IV. CONSOLIDATED LIST OF RECOMMENDATIONS ............................... 17

V. AGENCY COMMENTS............................................................................ 18

APPENDIXES 

A. SCOPE AND METHODOLOGY ................................................................. 19

B. NRC FORM 757, “NON-CONCURRENCE PROCESS” ............................ 21

C. FORMAL AGENCY COMMENTS............................................................... 25

D. OIG ANALYSIS OF AGENCY COMMENTS ............................................. 28
Audit of NRC’s Non-Concurrence Process

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I. BACKGROUND

The non-concurrence process is part of the agency’s Differing Views 

Program, and is managed by the Office of Enforcement. The Nuclear 

Regulatory Commission’s (NRC) implementation of an agencywide nonconcurrence process supports the agency’s goal of promoting an open, 

collaborative work environment, which values collaborative 

decisionmaking, diverse views, unbiased evaluations, and honest 

feedback on how decisions are made.

The non-concurrence process was developed to complement other 

processes for raising differing views, such as the Open Door Policy2and 

the Differing Professional Opinions Program.3 More specifically, the nonconcurrence process was developed to promote discussion and 

consideration of differing views on draft documents, provide a nonconcurrence option for individuals with concerns who had a role in 

creating or reviewing draft documents, and provide a uniform approach for 

processing non-concurrences.

As part of the agency’s Differing Views Program, the non-concurrence 

process does not have a separate budget or staff allotted to its operation. 

Rather, the fiscal year 2010 budget is $3,000 for the entire Differing Views 

Program, and 1.5 full-time equivalents are designated to collectively 

support the Differing Professional Opinions Program and the nonconcurrence process.

The Executive Director for Operations issued draft Management Directive

(MD) and Handbook 10.158, “NRC Non-Concurrence Process,” via Yellow 

Announcement, on November 29, 2006. The Yellow Announcement 

directed staff to follow the requirements in the interim directive and 

handbook, which were to supersede any existing office-level nonconcurrence procedures. At the time of its 2006 issuance, MD 10.158 

was expected to remain in interim status for approximately 1 year in order 

to gain operating experience to make informed revisions to the directive 

before its finalization. Finalization of MD 10.158 was further prolonged 

after the initial 1-year period in order to gain additional operating 

 

2

The NRC has an Open Door Policy that supports and allows any employee to initiate a meeting with an 

NRC manager or supervisor, including a Commissioner or the Chairman of the NRC, to discuss any 

matter of concern to the employee.

3

The Differing Professional Opinions Program is a formal process that allows all employees and 

contractors to have their differing views on established, mission-related issues considered by the highest 

level managers in their organizations (i.e., office directors and regional administrators).
Audit of NRC’s Non-Concurrence Process

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experience. Currently, MD 10.158 remains in interim status and is 

scheduled to be finalized in June 2013.

There are five specific conditions that apply to use the non-concurrence 

process: 

1. The non-concurrence process applies only to draft documents 

undergoing the review and concurrence process.

2. The non-concurrence process may be used by headquarters and 

regional employees, with the exception of contractors and members of 

boards and advisory committees that report to the Commission.

3. The non-concurrence process can be used only by employees who 

had an official role, as tasked by their supervisor or document sponsor, 

in contributing to or reviewing the draft document.

4. Use of the non-concurrence process should be viewed as “business as 

usual” and not impact the normal document concurrence process.

5. The non-concurrence process does not allow for separate timeliness 

goals for documents involving non-concurrences; rather, the goal is to 

process documents in accordance with their normal schedules.

The non-concurrence process is a three-part procedure involving the nonconcurring individual,

4

the document sponsor,

5

and the document signer,

6

each of whom has a specific role and set of responsibilities. The process 

can be described as follows:

 

4

 The non-concurring individual initiates the non-concurrence process by completing and filing NRC Form 

757, “Non-Concurrence Process.” See Appendix B for a copy of the form.

5

The document sponsor is defined by MD 10.158 as the team leader or manager responsible for 

originating and controlling changes to a document in the concurrence process. The document sponsor is 

assumed to have control over changes to a document and is given significant responsibilities for 

implementing the non-concurrence.

6

The document signer is the individual who is charged with reviewing the non-concurrence and 

determining what, if any, action should be taken to address the concern raised in the non-concurrence. 

The document signer either signs the document indicating agreement with the proposed actions or 

returns the document to the document sponsor for additional action.
Audit of NRC’s Non-Concurrence Process

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Part one: The non-concurring individual initiates a non-concurrence 

documenting his or her concerns on Form 757. The non-concurring 

individual then forwards Form 757 to his or her supervisor for review and 

comment. Form 757 is then forwarded to the document sponsor for 

review.

Part two: The document sponsor reviews Form 757 and consults with 

involved staff and the document signer. The document sponsor then 

documents the agency’s actions taken to address the non-concurrence on 

Form 757. The document sponsor puts Form 757 in the document’s

concurrence package and returns the document to the concurrence 

process.

Part three: The document signer reviews the document package,

including Form 757, and confers with involved staff. Then the document 

signer either signs the document or returns it to the document sponsor for 

additional action.

Following the document signer’s determination on the non-concurrence, 

Form 757 is to be entered into the Agencywide Documents Access and

Management System (ADAMS)7as an official agency record. The nonconcurring individual is consulted to determine whether Form 757 is to be 

designated and entered into ADAMS as public or non-public.

 

7

ADAMS is an electronic recordkeeping system that is used to maintain public and non-public official 

agency records.
Audit of NRC’s Non-Concurrence Process

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Figure 1

8

Source: MD 10.158, Appendix A

II. PURPOSE

The audit objective was to determine if the agency’s non-concurrence 

process is operating as intended. Appendix A contains information on the 

audit scope and methodology.

 

8

The non-concurrence process is also referred to as “NCP.”
Audit of NRC’s Non-Concurrence Process

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III. FINDINGS

The agency’s non-concurrence process is a valuable tool in facilitating 

discussion of differing views between staff and management and is 

generally implemented as it was intended. However, the Office of the 

Inspector General (OIG) identified opportunities for improvement within 

the non-concurrence process in the following two areas:

 Agency guidance and training.

 Capture and review of operating experience.

A. Agency Guidance and Training on Non-Concurrence Process Can Be 

Improved

Although the agency provides guidance and training on the nonconcurrence process, the guidance is incomplete and the training is 

limited. Providing properly implemented guidance and training that 

effectively communicate policies, objectives, responsibilities, authorities, 

requirements, and information to employees are essential human capital 

practices that help to ensure employees have the knowledge and skills to 

perform their job and accomplish the agency mission. However, agency 

guidance on the non-concurrence process is imprecise and remains in

prolonged interim status. Training on the agency’s non-concurrence 

process is not provided in a medium that is routinely available to all staff

when they need it. Without precise guidance and timely training, the nonconcurrence process will continue to be inconsistently implemented and 

staff will perceive the process as ineffective and inefficient. Furthermore, 

some staff are hesitant to raise differing views through the agency’s nonconcurrence process.

Key Human Capital Practices 

Agency and industry best practices state that providing properly 

implemented and effective guidance and training are key human capital 

practices. Providing timely guidance that effectively communicates 

policies, objectives, responsibilities, authorities, requirements, and 

information to employees is essential in ensuring staff have the knowledge 

and skills to perform their job. Furthermore, an Office of Management and 

Budget memorandum addressing Agency Good Guidance Practices
Audit of NRC’s Non-Concurrence Process

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indicates that established standards for the initiation, development, and 

issuance of guidance documents helps to raise their quality and 

transparency.

Providing training to staff is also critical to effective workforce planning and 

ensuring employees are equipped to perform their jobs in accordance with 

the agency’s mission. Training best practices promote the notion that 

people get the right skills, at the right time, and in the right way. 

Furthermore, to be effective, training must be easily transferred back to 

the workplace. This is achieved through the timing of the training, the 

quality of the content, and the quality and appropriateness of the delivery 

method.

Non-Concurrence Process Guidance

Agency guidance on the non-concurrence process, which includes 

MD 10.158 and the Office of Enforcement Differing Views Web site,

9

can 

be improved. OIG identified areas for improvement, in part, through 

conducting extensive interviews with staff and managers who had direct 

experience using or being party to the agency’s non-concurrence 

process.

10

 Interviews revealed inadequacies with non-concurrence 

process guidance in the following areas:

Rights, roles, and responsibilities.

Purpose of implementation.

Processing instructions.

 

9

The Office of Enforcement Differing Views Web site was replaced with the Open, Collaborative Work 

Environment Web site in July 2010; however, fieldwork for this audit was completed in June 2010, prior to 

implementation of the new Web site.

10 OIG conducted interviews with each identified and available staff member who either filed a nonconcurrence or were party to a non-concurrence by serving as a document sponsor or document signer. 

A total of 43 individuals were interviewed, including 17 non-concurring individuals, 14 document 

sponsors, and 12 document signers. Of the 17 non-concurring individuals interviewed, 12 percent (2) 

were grade GG-13, 23 percent (4) were grade GG-14, 53 percent (9) were grade GG-15, and 12 percent 

(2) were Senior Level Service or Senior Executive Service.
Audit of NRC’s Non-Concurrence Process

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Interview results revealed that 70 percent11 of filers,

12 document sponsors,

and document signers did not understand their respective rights, roles, 

and responsibilities in relation to the non-concurrence process as 

compared to that described in MD 10.158. For example:

Some filers were unaware of their right to ask to be removed from 

concurrence, while some document sponsors and document signers 

were unaware of the right of filers to be removed from concurrence.

Several document sponsors, who were central in facilitating the nonconcurrence process, incorrectly identified their role and performed 

duties outside of the responsibilities designated in MD 10.158. Multiple 

document sponsors incorrectly initiated and submitted Forms 757 on 

behalf of filers. Additionally, some document sponsors incorrectly 

made the determination whether to designate Form 757 as public or 

non-public in ADAMS.

Some document signers were unaware of their responsibility that in 

signing Form 757, they were certifying they had reviewed Form 757 to 

ensure that the concerns raised by the filer were adequately addressed 

and the form was correctly completed.

Interview results showed that 51 percent13 of filers, document sponsors,

and document signers exhibited a misunderstanding of the purpose and 

expectations for implementing the non-concurrence process. Specifically, 

OIG identified a disconnect between the filers and document signers 

regarding what constitutes successful use of the non-concurrence 

process. For example:

Some filers defined success in implementing the non-concurrence 

process as occurring if their differing view was raised and considered 

by management. 

Some document signers felt that success in implementing the nonconcurrence process was simply that a differing view was raised.

 

11 70 percent of non-concurring individuals, document sponsors, and document signers equates to 30 of a 

total of 43 individuals interviewed. This includes 14 filers, 12 document sponsors, and 4 document 

signers.

12 The term “filer” refers to the non-concurring individual who filed a Form 757. For consistency, the 

remainder of this report will use the term “filer” when referring to a non-concurring individual.

13 51 percent of filers, document sponsors, and document signers equates to 22 of a total of 43

individuals interviewed. This includes 11 filers, 3 document sponsors, and 8 document signers.
Audit of NRC’s Non-Concurrence Process

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Interview results revealed that 74 percent14 of filers, document sponsors, 

and document signers felt that the processing instructions contained in the 

non-concurrence guidance were incomplete with regard to dispositioning 

non-concurrences, noting:

MD 10.158 does not provide detailed guidance, examples, or 

expectations for addressing concerns raised by the filer on Form 757. 

MD 10.158 does not provide specific guidance or set clear 

expectations on providing feedback to the filer on the status of their 

non-concurrence. This was also a staff concern in the OIG-sponsored 

2009 NRC Safety Culture and Climate Survey,

15 where only 50 percent 

of the respondents provided a positive response to the statement, “My 

supervisor adequately explains the resolution of differing views that 

were raised.”

MD 10.158 does not provide specific guidance pertaining to the 

timeliness of processing non-concurrences. Filers and document 

signers noted that such a guideline would be helpful in ensuring that an 

appropriate amount of time is allotted to submit and review a nonconcurrence. Filers and document sponsors recognized that such a 

guideline would provide an appropriate balance between allotting 

sufficient time for the filer to submit a non-concurrence without unduly 

compromising project milestones.

Figures 2 and 3 summarize the results of the interviews conducted by 

OIG. Figure 2 illustrates the three identified areas of concern, noting the 

cumulative percentage of key personnel who experienced each concern. 

Figure 3 illustrates the three identified areas of concern as experienced by 

the corresponding percentage of filers, document sponsors, and document 

signers. 

 

14 74 percent of filers, document sponsors, and document signers equates to 32 of a total of 43 

individuals interviewed. This includes 15 filers, 10 document sponsors, and 7 document signers.

15 The OIG-sponsored Safety Culture and Climate Survey assessed NRC’s current safety culture and 

climate and compared it to benchmarks established by prior Safety Culture and Climate surveys 

conducted in 1998, 2002, and 2006. 
Audit of NRC’s Non-Concurrence Process

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Figure 2 - Cumulative Interview Results

Figure 3 - Interview Results by Key Personnel

A detailed analysis of agency guidance pertaining to the non-concurrence 

process revealed instances of contradictory and outdated information. For 

example:

0%

10%

20%

30%

40%

50%

60%

70%

80%

90%

NCP Key Personnel 

Rights, Roles, & 

Responsibilities

Purpose of 

Implementation

Processing 

Instructions

(filers, document sponsors, and document signers)

0%

10%

20%

30%

40%

50%

60%

70%

80%

90%

100%

Filers Sponsors Signers

Rights, Roles, & 

Responsibilities

Purpose of 

Implementation

Processing 

Instructions

Areas of 

Concern

Areas of 

Concern
Audit of NRC’s Non-Concurrence Process

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Informs16 and the Office of Enforcement Differing Views Web site 

reference different versions of Form 757, each with distinct processing 

instructions. A subsequent analysis of submitted Forms 757 revealed 

several inconsistencies and inaccuracies in how the forms were 

completed.

OIG identified outdated guidance on the Office of Enforcement

Differing Views Web site. For example, some of the Differing Views 

Office Liaisons17 listed on the Office of Enforcement Differing Views 

Web site are no longer employed at the agency or have since 

relinquished the role of liaison. Subsequently, staff were confused as 

to who was the designated liaison for their office. Moreover, some 

staff were altogether unaware of the existence of the liaison resource.

Non-Concurrence Process Guidance Is Imprecise 

Agency guidance on the non-concurrence process is imprecise and

remains in prolonged interim status. For example, MD 10.158:

Does not provide specific information on dispositioning concerns raised 

by the filer on Form 757, nor does it address the need to provide

feedback to the filer on the status of the non-concurrence.

Does not provide detailed information on what constitutes reasonable 

timeliness expectations for submitting and responding to a nonconcurrence.

Provides unclear instructions pertaining to the completion and 

processing of Forms 757 as well as the roles and responsibilities of 

key non-concurrence process personnel.

Does not address the liaison’s role in the non-concurrence process.

 

16 Informs is an office automation application that provides staff access to several Governmentwide and 

agency-specific forms. The Informs application allows employees to complete and store forms 

electronically.

17 Differing Views Office Liaisons serve as a resource for staff who seek information about various ways 

to raise differing views, including the Open Door Policy, the non-concurrence process, and the Differing 

Professional Opinion Program. Differing Views Office Liaisons are to be available to respond to 

employee questions and initiatives in their organizations.
Audit of NRC’s Non-Concurrence Process

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Has been in interim status since its implementation in November 2006 

and is not scheduled to be finalized until June 2013, nearly 7 years 

after its implementation.

Non-Concurrence Process Training Is Limited 

Agency training on the non-concurrence process is limited. Nonconcurrence process training is generally reserved for Leadership 

Potential Program18 candidates and small staff assemblies on a requestonly basis.

19

 Training on the non-concurrence process is not offered to 

new hires during the new employee orientation, and it has not been 

routinely offered to all Differing Views Office Liaisons. Although limited 

training opportunities are provided and non-concurrence process program 

management is available to offer counsel on an individual basis, 

employees need to be provided with a general introduction to the nonconcurrence process.

Training Is Not Provided When Needed in a Usable Format

Agency training on the non-concurrence process is not provided in a 

medium that is routinely available to all staff when they need it. Formal 

training is currently offered only to select staff in a seminar-style format 

that does not lend itself to widespread, timely dissemination among staff

and managers. Specifically, training is not delivered in accordance with

recognized best practices that state training is most effective when the 

timing and delivery method is appropriate and aligned with the needs of 

the target audience.

Negative Implications on Agency Non-Concurrence Process 

Without precise guidance and on-demand training,

20 the non-concurrence 

process will continue to be inconsistently implemented and staff will 

perceive the process as ineffective and inefficient. Additionally, some 

individuals who have filed a non-concurrence have become 

disenfranchised and ultimately felt the non-concurrence process to be 

 

18 The Leadership Potential Program emphasizes the core competencies related to supervising people. In 

addition, it covers the policies and procedures that leaders in the NRC environment need to understand. 

Employees with relatively little supervisory background gain broad training and opportunities to 

experience and test their interest in leadership.

19 The non-concurrence process is also briefly mentioned in the “NRC: What It Is and What It Does” 

course.

20 The term “on-demand training” refers to on-line, interactive training that is available at any time from 

any location.
Audit of NRC’s Non-Concurrence Process

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disadvantageous, stating that their performance evaluations were lowered 

because they filed a non-concurrence. In a followup measure, the audit 

team reviewed all available performance appraisals for identified filers for

the time periods immediately preceding and following submittal of a nonconcurrence. OIG substantiated that in three instances, the filer received 

a lower score for the rating period immediately following submittal of a 

non-concurrence. However, there was no indication in the appraisals that 

lower ratings were associated with the filing of a non-concurrence. These

instances support some agency staff’s belief that there is a negative 

stigma attached to the non-concurrence process. Without improvement, 

the negative stigma may become more widespread and staff will be 

reluctant to use the non-concurrence process.

Recommendations

OIG recommends that the Executive Director for Operations:

1. Define management’s expectations regarding the non-concurrence 

process and clearly communicate them to staff.

2. Revise MD 10.158 to include detailed guidance on:

a. Dispositioning of non-concurrences to include a feedback 

mechanism on the status of the non-concurrence.

b. Timeliness expectations.

c. Completion and processing of Form 757.

d. Roles and responsibilities of key non-concurrence process 

personnel.

e. The availability of the Differing Views Office Liaisons.

3. Finalize MD 10.158 by the end of 2011.

4. Make non-concurrence process training available in an on-demand 

format to all staff and managers.
Audit of NRC’s Non-Concurrence Process

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5. Routinely update the Office of Enforcement Open Collaborative Work 

Environment Contact Web page to reflect current Differing Views 

Office Liaison assignments.
Audit of NRC’s Non-Concurrence Process

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B. Non-Concurrence Operating Experience Is Not Routinely or 

Comprehensively Captured or Reviewed

MD 10.158 was implemented as interim guidance in November 2006 with 

the intention that the agency gain operating experience in order to make

informed revisions to the directive prior to its final issuance. According to 

management, a prolonged interim status would allow operating experience 

to be gained, which, in turn, would be used to make informed revisions to 

the management directive. Program management best practices include 

strategies for routinely reviewing and capturing operating experience. 

However, because the non-concurrence process was implemented by 

design without a requirement to conduct regular program reviews,

operating experience is not being formally captured or reviewed. As a 

result, it would be difficult for program management to perform a 

comprehensive assessment of the non-concurrence process and 

determine what revisions are needed to improve MD 10.158. 

Furthermore, the agency’s knowledge management initiative is negatively 

impacted when Forms 757, which are key decisionmaking documents, are 

inconsistently tracked, profiled, and retained.

Program Management Best Practices

Program management best practices include strategies for routinely 

reviewing and capturing operating experience. These best practices 

advocate proactive oversight and the establishment of internal controls 

that require the conduct of regular program reviews designed to assess 

program performance. Such reviews allow for timely and systematic 

collection and analysis of operating experience to facilitate identification of

lessons learned. These lessons learned should, in turn, be used to make 

program revisions to enhance program performance.

Operating Experience Is Not Routinely or Comprehensively 

Captured or Reviewed

Non-concurrence process operating experience is not routinely captured 

or reviewed. Program management has not routinely tracked and 

assessed Forms 757. Although Form 757 was revised in March 2009 to 

provide additional processing instructions, including an instruction to 

provide a copy to the program manager, this is not routinely occurring. 

Forms 757 filed prior to March 2009 were not required to be forwarded to 
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the program manager for collection and review. Moreover, program 

management stated that prior to implementing the aforementioned 

instruction, the only way they became aware of a non-concurrence was if 

a party to the non-concurrence informed them of the action or if they 

performed an ADAMS search. Consequently, program management does 

not have a comprehensive record of all non-concurrences filed since the 

inception of the non-concurrence process.

Forms 757 are not tracked by the Office of Enforcement; therefore, OIG

conducted subsequent searches in ADAMS for evidence of nonconcurrences.21

 These searches confirmed inconsistency in how Forms

757 were profiled and placed in ADAMS. The audit team found that not all 

Forms 757 are profiled in ADAMS in accordance with the MD 10.158

instruction to use NRC template 006.22 Specifically, the audit team used 

NRC template 006 criteria to search ADAMS and found only seven Forms

757 that were profiled using the required template. The audit team

conducted an additional ADAMS search using different search parameters 

related to non-concurrence and found several more Forms 757. 

Moreover, while conducting fieldwork, the audit team learned of additional 

Forms 757 that did not appear in any previous ADAMS searches. These 

instances confirm the difficulty of establishing the exact number of nonconcurrences filed to date by conducting an ADAMS search. 

Lack of Routine Management Oversight 

The non-concurrence process operating experience is not captured or 

reviewed because the process was not designed to include such a 

requirement. Particularly, the non-concurrence process was implemented 

without a requirement for regular program performance reviews or routine 

oversight. As such, there is no timely and systematic collection and 

review of operating experience or documentation of lessons learned.

 

21 Auditors conducted several searches of ADAMS throughout the audit. At the time of this report, 

auditors identified a total of 20 Forms 757 filed between March 2007 and March 2010. However, it is 

plausible that additional non-concurrences exist that OIG did not find.

22 NRC template 006 is an ADAMS profiling tool used specifically for records associated with the agency’s 

non-concurrence process.
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Management Unable To Perform Comprehensive Assessment 

of the Non-Concurrence Process

Without capturing and reviewing operating experience, management will 

be unable to perform a comprehensive assessment of the nonconcurrence process. Subsequently, it will be difficult for program 

management to make informed decisions on how to revise MD 10.158 to 

improve the non-concurrence process.

Recommendations

OIG recommends that the Executive Director for Operations:

6. Identify and track all Forms 757 submitted to date and store them in a 

central repository.

7. Develop a formalized system to promote consistent and routine 

capture and review of submitted Forms 757.

8. Perform regularly scheduled comprehensive assessments of the nonconcurrence process. 

Summary and Conclusion

The non-concurrence process is a valuable tool in facilitating discussion of 

differing views between staff and management. NRC has been proactive 

in promoting the non-concurrence process through various outreach 

activities, including recognizing certain individuals who have filed nonconcurrences with “NRC Team Player”

23 awards. By enhancing agency 

guidance and training on the non-concurrence process, as well as 

requiring routine review and capture of all non-concurrence process 

operating experience, the Office of Enforcement can further improve this 

valuable agency program.

 

23 The NRC Team Player award is a new award established by the agency to recognize and show 

appreciation for individuals who have supported an open collaborative work environment.
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IV. CONSOLIDATED LIST OF RECOMMENDATIONS

OIG recommends that the Executive Director for Operations:

1. Define management’s expectations regarding the non-concurrence 

process and clearly communicate them to staff.

2. Revise MD 10.158 to include detailed guidance on:

a. Dispositioning of non-concurrences to include a feedback 

mechanism on the status of the non-concurrence.

b. Timeliness expectations.

c. Completion and processing of Form 757.

d. Roles and responsibilities of key non-concurrence process 

personnel.

e. The availability of the Differing Views Office Liaisons.

3. Finalize MD 10.158 by the end of 2011.

4. Make non-concurrence process training available in an on-demand 

format to all staff and managers.

5. Routinely update the Office of Enforcement Open Collaborative Work 

Environment Contact Web page to reflect current Differing Views 

Office Liaison assignments.

6. Identify and track all Forms 757 submitted to date and store them in a 

central repository.

7. Develop a formalized system to promote consistent and routine 

capture and review of submitted Forms 757.

8. Perform regularly scheduled comprehensive assessments of the nonconcurrence process.
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V. AGENCY COMMENTS

On August 26, 2010, OIG issued its discussion draft report to the 

Executive Director for Operations. OIG subsequently met with NRC 

management during a September 10, 2010, exit conference at which time 

the staff provided informal comments. OIG incorporated the comments, 

as appropriate, in a final draft report that was forwarded to the agency for 

review on September 21, 2010. On September 28, 2010, the Executive 

Director for Operations provided formal comments to this report in which 

the agency stated general agreement with the audit report and provided 

information on planned and ongoing activities pertaining to improvement 

of the non-concurrence process. The agency’s formal comments are 

presented in their entirety in Appendix C of this report. OIG’s analysis of 

the agency’s formal comments is located in Appendix D of this report.
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Appendix A

SCOPE AND METHODOLOGY

The audit objective was to determine if the agency’s non-concurrence 

process is operating as intended. The audit focused on reviewing the 

implementation and oversight of the non-concurrence process through 

documentation review and meeting with those individuals who have 

participated in the non-concurrence process.

OIG reviewed relevant Federal Government best practices pertaining to 

program management including the Office of Management and Budgetendorsed Agency Good Guidance Practices in addition to private 

industry’s recognized best program management practices. OIG also 

reviewed agency guidance, including MDs 1.1, NRC Management 

Directives System, and 10.158, NRC Non-Concurrence Process. 

Additionally, OIG considered pertinent internal agency communications 

documents including memoranda and Yellow Announcements pertaining 

to the implementation of the non-concurrence process. Lastly, OIG

reviewed a previously issued OIG audit report addressing issues related to 

agency-sponsored differing views programs.

24

OIG interviewed management officials in the Office of the Executive 

Director for Operations, Office of Enforcement, Office of the General 

Counsel, and Office of Administration to obtain their insight into the 

implementation and oversight of the non-concurrence process. Additional 

interviews were conducted with 43 staff members and managers from 

headquarters and the regions who have filed, sponsored, reviewed, or 

otherwise participated in the non-concurrence process. 

OIG also conducted record reviews during the course of the audit. 

Specifically, the audit team reviewed Forms 757 identified in ADAMS to 

determine (1) whether the forms were completed in accordance with MD 

10.158, and (2) the consistency and accuracy by which the forms were

completed and profiled. Auditors analyzed the results to determine 

whether the Office of Enforcement is appropriately and consistently 

 

24 OIG Report 00-A-07, Review of NRC’s Differing Professional View/Differing Professional Opinion 

Program.
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overseeing the implementation of the non-concurrence process. The audit 

team also reviewed performance evaluations to determine if any individual 

may have suffered negative repercussions after submitting a nonconcurrence.

We conducted this performance audit at NRC headquarters from 

February 2010 through June 2010 in accordance with generally accepted 

Government auditing standards. Those standards require that the audit is 

planned and performed with the objective of obtaining sufficient, 

appropriate evidence to provide a reasonable basis for any findings and 

conclusions based on the stated audit objective. OIG believes that the 

evidence obtained provides a reasonable basis for the report findings and 

conclusions based on the audit objective. Internal controls related to the 

audit objective were reviewed and analyzed. Throughout the audit, 

auditors were aware of the possibility or existence of fraud, waste, or 

misuse in the program. The audit work was conducted by Sherri Miotla, 

Team Leader; Jaclyn Storch, Audit Manager; Cathy Colleli, Audit 

Manager; Yvette Mabry, Senior Auditor; and Joseph Capuano, Auditor.
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Appendix B

NRC Form 757, “NON-CONCURRENCE PROCESS”
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Appendix C

FORMAL AGENCY COMMENTS
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Appendix D

OIG ANALYSIS OF AGENCY COMMENTS

OIG recognizes the agency’s efforts to promote and improve the nonconcurrence process, which is a valuable staff tool to raise and address 

differing views on draft documents. Additionally, OIG understands the 

explanation provided for initially delaying the finalization of MD 10.158 

until 2013. However, OIG maintains that because MD 10.158 has been in 

draft for nearly 4 years, it is imperative that it be revised and finalized by 

the end of calendar year 2011. This will ensure that identified 

inadequacies and inconsistencies in the current guidance will be corrected 

expeditiously, and the implementation and use of the process will be 

better understood throughout the agency. Finalization of MD 10.158 will 

also improve the validity of the non-concurrence process as some staff 

may perceive that MD 10.158’s prolonged interim status indicates a lack of 

management receptivity to the non-concurrence process. 

OIG recognizes the agency’s efforts to provide improved training on the 

non-concurrence process through a variety of media, including online 

training and classroom-based courses. OIG maintains that this training 

should focus on explaining the rights, roles and responsibilities, purpose 

and implementation, and processing instructions associated with the nonconcurrence process. Providing “behavior-based training” may be useful; 

however, audit work confirmed that a significant number of staff 

specifically identified the need for clarification on the aforementioned 

aspects of the non-concurrence process. Providing training that 

specifically addresses rights, roles and responsibilities, purpose and 

implementation, and processing instructions would be most responsive to 

self-identified staff needs and be of greatest benefit to the nonconcurrence process.