Licensee Sponsored 

ADR Program>>>

Additional Sources of Information>>>

Further information about the NRC’s ADR program is available from:

• Cornell University’s Scheinman Institute on Conflict Resolution

Toll-free Number: (877) 733-9415

• The NRC’s website at 

http://www.nrc.gov/about-nrc/regulatory/enforcement.html

• The NRC’s ADR Program Manager in the Office of Enforcement

Toll-free Number: (800) 368-5642 or (301) 415-2741

NUREG/BR-0313 Rev.1

August 2010

Parties are not required to use mediators 

provided by Cornell or use the NRC’s Early 

ADR program to fall within the scope of 

the NRC’s ADR program. Employers are 

encouraged to develop internal dispute 

resolution processes similar to the NRC’s 

Early ADR program. In a Licensee 

Sponsored ADR process, parties may or 

may not use a mediator. If the parties settle 

an allegation of discrimination under any 

ADR process at their own expense and if 

either party provides a copy of the settlement agreement to the NRC 

before the NRC’s Office of Investigations has initiated an investigation, 

the NRC’s Office of the General Counsel will review the settlement 

agreement solely to ensure that the agreement does not prohibit the 

employee from engaging in a protected activity. Provided there is no 

such prohibition on engaging in a protected activity, the NRC will not 

investigate the allegation of discrimination or take enforcement action.

Note, if a settlement agreement is provided to the NRC after it has 

initiated an investigation into the allegation of discrimination, the 

settlement agreement will not fall within the scope of the NRC’s ADR 

program and the investigation will continue.

Similar to the NRC’s Early ADR program, the resolution of technical 

safety concerns or other allegations (e.g., “chilling effect” or 

wrongdoing type concerns) may not be the subject of the settlement 

agreement. If an individual has a concern other than an allegation of 

discrimination, such other allegation(s) may be filed with the NRC 

by calling (800) 695-7403 or visiting www.nrc.gov.

If the parties do not settle the 

allegation of discrimination 

that falls within the NRC’s 

jurisdiction, the NRC’s Office 

of Investigations will initiate an 

investigation into the allegation 

of discrimination.

Department of Labor Process>>>

The U.S. Department of Labor (DOL) has the authority to order 

personal remedies in the event it substantiates an allegation of 

discrimination (whereas the NRC does not have the authority to 

order a personal remedy). Unlike the NRC, DOL has a 180-day 

deadline for filing a discrimination complaint under Section 211 

of the Energy Reorganization Act of 1974 (Section 211) (there 

are shorter deadlines for other laws pursuant to which similar 

complaints may be filed). While participation in the NRC’s ADR 

program may result in negotiation of the same discrimination 

complaint that may be filed with DOL under Section 211, the 

timeliness requirement for filing a discrimination complaint 

with DOL is not altered by filing an allegation with the NRC or 

participating in the NRC’s ADR program.

For this reason, if DOL’s filing deadline has not already expired, 

the individual should consider filing a discrimination complaint 

with DOL at the same time he or she is considering using the 

NRC’s ADR program. In order for an employee to protect his or 

her right to file a discrimination complaint with DOL, the employee 

must file a written complaint with DOL within 180 days of the date 

of the alleged discriminatory action or the date he or she received 

any notice, in writing or otherwise, of the discriminatory action, 

whichever occurred first. Any such complaint can be filed with the 

applicable DOL regional office for the Occupational Safety and 

Health Administration. 

(See http://www.osha.gov/dep/oia/whistleblower/index.html)

Pre-Investigation 

Alternative Dispute 

Resolution Program
The NRC (through Cornell) 

will pay the fees and 

expenses of the 

mediator whom 

the parties 

mutually select 

from a list 

of mediators 

provided by 

Cornell. Parties 

who choose 

to select a 

mediator not 

identified by 

Cornell may 

do so at their own expense. 

The parties are also 

responsible for their own 

expenses such as travel, 

lodging, meeting room and 

legal fees, if any.

Confidentiality>>>

With limited exceptions 

(e.g., court order), the 

mediation process is 

confidential regardless of 

the mediation outcome. 

The mediator is prohibited 

from discussing the details 

of the mediation proceedings 

or testifying on anyone’s 

behalf concerning the 

mediation.

The Program>>> The Mediator>>> Costs>>> Mediation Location 

and Duration>>>

The parties may select any 

location for 

mediation 

although 

parties 

usually 

agree to 

hold the 

mediation 

near the 

employee’s 

workplace. 

Mediation 

sessions usually last no longer 

than 1 day. In some cases, the 

mediation may take longer 

than 1 day with the mutual 

consent of the parties.

The mediator is neutral. In other 

words, he or she has no stake in the 

outcome of the mediation and does 

not have any power to make decisions 

that may bind either party. Instead, the 

mediator’s role is to facilitate open 

communication between the parties 

and provide an environment where the 

parties can more effectively address 

their differences. The mediator uses 

consensus building and negotiation 

skills to help the parties find ways to 

overcome any misunderstandings and 

reach a common understanding on 

issues. The mediator does not act as 

legal counsel or provide legal advice 

to any party. Each party should consult 

an attorney or other professional if any 

questions arise regarding the law, the 

content of a proposed agreement, or 

other issues.

After the NRC receives an allegation 

of discrimination that falls within the 

NRC’s jurisdiction, the employee 

will be offered a chance to resolve 

the dispute through mediation 

instead of the NRC initiating an 

investigation. If the employee agrees 

to engage in mediation with the 

company, Cornell will then contact 

the company. If the company also 

agrees to engage in mediation with 

the employee, Cornell will help the 

parties jointly select a mediator. 

After the parties agree on a mediator, 

the parties, in coordination with the 

mediator, set a date and place for the 

mediation. Typically, the mediator 

holds a premediation teleconference 

with the parties to discuss logistical 

matters or any special needs of either 

party. 

During the mediation, the mediator 

will give each party an opportunity 

to explain the issues. Often, the 

mediator will meet privately with 

each party to develop a clear 

understanding of the parties’ 

perspectives and explore and assess 

options. The mediator may ask 

questions intended to aid the parties 

in assessing the merits of their 

positions, help them converse in a 

respectful atmosphere and identify 

potential settlement options.

If the parties reach a settlement, they 

may sign the settlement agreement 

at or after the mediation session, 

depending on the parties’ preference. 

After both parties sign the settlement 

agreement, the agreement must be 

provided to the NRC for review 

for credit under the program. 

The NRC’s Office of the General 

Counsel will review the settlement 

agreement solely to ensure that 

the agreement does not prohibit 

the employee from engaging in a 

protected activity. Provided there is 

no such prohibition on engaging in 

a protected activity, the NRC will 

not investigate the allegation of 

discrimination or take enforcement 

action. For purposes of the NRC’s 

Early ADR program, a settlement 

agreement will not become binding 

until 3 days after the parties sign it to 

allow each party a final opportunity 

to review it.

If either party declines mediation 

at any time, or if the parties do not 

reach a settlement agreement, the 

NRC’s Office of Investigations will 

initiate an investigation.

Following the congressional endorsement of the use of alternative 

dispute resolution (ADR) by Federal agencies, the Nuclear 

Regulatory Commission (NRC) established the pre-investigation 

ADR program (commonly called the NRC’s “Early ADR” program) 

in 2004. The NRC’s Early ADR program provides an individual and 

his or her employer (or former employer) the opportunity to resolve 

the individual’s allegation of discrimination through mediation 

rather than fully litigate the discrimination allegation or have the 

NRC initiate an investigation into the allegation of discrimination. 

Mediation is an informal and voluntary process between an 

individual and his or her employer (or former employer) in which 

a trained mediator works with the parties to help them settle their 

dispute. Early resolution of discrimination allegations tends to 

preserve relationships and generally promotes a safety conscious 

work environment by facilitating timely and amicable resolution of 

discrimination concerns without resorting to prolonged litigation and 

unnecessary expenses. The resolution of technical safety concerns 

or other allegations (e.g., “chilling effect” or wrongdoing type 

concerns) are not within the scope of the NRC’s Early ADR 

program and cannot be the subject of any settlement agreement. 

If an individual has a concern other than an allegation of 

discrimination, such other allegation(s) may be filed with the 

NRC by calling (800) 695-7403 or visiting www.nrc.gov.

Cornell University’s Scheinman Institute on Conflict Resolution 

(Cornell) is under contract with the NRC to serve as the neutral 

program administrator. Cornell manages the program’s day-to-day 

operation, including the logistics associated with the mediation 

process and working with parties to select a mediator. Cornell uses 

a network of independent mediators who help the parties find ways 

to reach a common understanding and settle their disputes.

The Program Administrator>>> The Mediation Process>>>