Non-Concurrence Process (NCP)

Developed by the Office of Enforcement

The NRC’s Open Work Environment

The U.S. Nuclear Regulatory Commission (NRC) fosters and supports: • Collaborative problem solving and

decisionmaking • Diverse views, alternative approaches,

unbiased evaluations, and honest feedback

• Trust, respect, and open communication

regardless of office or position All employees are empowered to initiate a free and open discussion of differing views and alternative approaches, without fear of reprisal. The NRC has several ways you can do this....

The NRC’s Open Work Environment Informal discussion is always the first way to raise a differing view, but when it is unlikely that additional discussion will result in an agreeable outcome, there are other options.

• Open Door Policy: Management Directive (MD) 10.160

• Differing Professional Opinion (DPO) Program: MD 10.159

• Non-Concurrence Process (NCP): This knowledge asset

will focus on the NCP, so let’s get started.

Learning Objectives

This course outlines the NCP and directs you to specific Web links for assistance. By the end of this course you will be able to: Define the NCP List the objectives of the NCP Explain when and how to effectively use the NCP Identify where you can go for NCP assistance

NCP vs. Concurrence Process • The NCP follows the normal NRC document review and

concurrence process described in MD 3.57, “Correspondence Management.”

• MD 3.57 defines “concurrence” as: “Initialing a piece of correspondence to indicate agreement with information in the correspondence on the basis of the individual’s knowledge, experience, and responsibility.”

Sample Concurrence Block OFFICE OE/CRB OE/CRB/BC OE/DD NAME JSmith TJones RHarris DATE 7/ /2014 7/ /2014 7/ /2014

What is the NCP? • The NCP is a process used by an employee with a

concern about a document in the concurrence process that he or she had a role in creating or reviewing.

• The NCP allows you to be heard, understood, and

responded to in an efficient and timely manner that improves decisionmaking and supports the agency’s safety and security mission.

• The NCP is addressed in MD 10.158, "NRC Non-Concurrence Process."

NCP Objectives

Promote early discussion and consideration of differing views on, or alternative approaches to, documents in the concurrence process that an employee had a role in creating or reviewing.

NCP Objectives

Provide a consistent approach to processing

non-concurrences to ensure that a non-concurrence is heard, understood, and considered by employees included in the concurrence process and responded to by management.

Improve the overall quality and outcome of agency

documents prior to signature. Allow employees to engage in the decisionmaking process

while recognizing that management is ultimately responsible for making final regulatory decisions.

Who Can Use the NCP?

All NRC employees can use the NCP except: Members of NRC boards and advisory committees that report directly to the Commission Employees on NRC limited (excepted) appointment NRC Commissioners

Who Can Use the NCP?

• The NCP is open to those on document concurrence and to document reviewers and contributors provided they were assigned by supervisors to perform these roles.

Who Can Use the NCP?

• Employees who are not on

document concurrence can request to be added in order to use the NCP if they believe they have specific information that would enhance the decisionmaking process.

Note: The document signer has the discretion to add an employee to the concurrence grid.

Who Can Use the NCP?

• The NCP is voluntary. • Employees may request to

be removed from concurrence; however, supervisors must ensure the adequacy of the concurrence chain and make document signers and others on concurrence aware of important concerns that resulted in the request.

Which Documents are Applicable? • The NCP applies to all documents

undergoing concurrence (except those that address personnel actions) including:

• Documents concerning administrative or

corporate support issues. • Documents that require review and

concurrence by multiple NRC offices before issuance.

• Documents being transmitted to the

Office of the Executive Director for Operations (OEDO) or by the OEDO to the Commission.

Precondition to Use the NCP

• Informal discussion is a precondition for engaging in the NCP.

• An employee who wishes to engage in the NCP must use an NRC Form 757, “Non-Concurrence Process.”

Roles and Responsibilities Multiple NRC staff are involved in the NCP process. • The NCP Program Manager (NCP PM) oversees the

development, implementation, maintenance, and assessment of the NCP. The NCP PM assigns the NCP tracking number and also provides advice and guidance to employees engaged in the process.

• The NCP Approver is responsible for overseeing the review of the non-concurrence prior to the subject document being signed. The NCP Approver is normally the document signer with some exceptions.

Roles and Responsibilities

• The NCP Coordinator is identified by the NCP Approver to coordinate the review and document the evaluation of the non-concurrence before the subject document is issued.

The NCP Coordinator should have an understanding of the issues addressed in the subject document in order to coordinate a meaningful response to the issues in the non-concurrence.

The “Big Picture”

Jane Smith recently reviewed a formal package but has issues with some of the report’s findings. Before signing the concurrence block, she decides to discuss her concerns with her supervisor. One issue remains unresolved; therefore, she decides to use the NCP. Let’s review the three basic steps in the NCP.

input review outcome

Implementing NCP

• Jane Smith received a formal document package for review, and wishes to engage in the NCP.

• Jane must notify her immediate supervisor and the

supervisor/team leader responsible for controlling changes to the document in the concurrence process.

Implementing NCP

• Jane Smith must initial, date, and enter the word

“Non-Concur” in the concurrence block located at the end of the document being reviewed.

• Jane, as the non-concurring employee, must complete

Section A of the NRC Form 757 located in the NRC Forms Library.

OFFICE OE/CRB OE/CRB/BC OE/DD

NAME JSmith – JS-Non-Concur

TJones RHarris

DATE 07/20/2014

Implementing NCP -

NRC Form 757, Section A

input

Implementing NCP -

In Section A, Jane documents: • The reasons for her non-concurrence as well as proposed

alternatives. • Whether or not she would like a written evaluation of her

non-concurrence and the rationale for the agency’s final decision.

Note: The non-concurring employee must request an NCP tracking number by e-mailing the signed and dated Section A of NRC Form 757, along with the subject document (or ADAMS ML number) to the NCP PM at NCPPM.Resource@nrc.gov.

input

Implementing NCP -

• Once an NCP tracking number is assigned, Section B of the NRC Form 757 must be completed by the supervisor.

input

Implementing NCP -

In NRC Form 757 Section B, Jane’s supervisor: • Reviews the non-concurrence and, if a written evaluation

is requested in Section A, includes comments for the NCP Approver and others to consider.

• Signs Section B (regardless of whether a written

evaluation is requested) indicating that he or she has reviewed the non-concurrence and e-mails both Sections A and B to all others on concurrence and to NCPPM.Resource@nrc.gov.

input

Implementing NCP -

• The next step is to complete Section C of the NRC Form 757.

review

Implementing NCP -

In Section C of NRC Form 757, the NCP Approver:

• Forwards Sections A and B of the form to the NCP

Coordinator to coordinate and document the evaluation and outcome in Section C.

• If a written evaluation is requested in Section A, the NCP Coordinator documents a Summary of Issues (SOI) and e-mails it to the non-concurring employee for comment and consensus. The SOI ensures a common understanding of the issues and should be agreed upon before the NRC Form 757 is evaluated by the staff.

review

Implementing NCP -

• Once the SOI is agreed upon, the NCP Coordinator completes Section C to reflect a review of the issues and actions (if any) taken to address concerns and rationale for the outcome.

• The NCP Approver reviews

the NRC Form 757 and may return it and the subject document for additional action, prior to signing Section C and issuing the subject document.

review

Implementing NCP -

Regardless of whether a written evaluation is requested, the NCP Approver signs Section C indicating that he or she has reviewed the non-concurrence prior to issuing the subject document.

review

Implementing NCP -

Once the process is complete, the NCP Coordinator records the outcome of the process by using an NCP Cover Page that looks like this.

outcome

Implementing NCP -

The outcome should indicate that the non-concurring employee did one of the following: • Concurred • Continued to non-concur • Agreed with some of the changes to the subject document, but continued to non-concur • Requested process be

discontinued

Implementing NCP -

• The NCP Coordinator verifies whether the non-concurring employee wants the NRC Form 757 public or non-public.

• If the employee wants

the form public, the NCP Coordinator will assist in a releasability review to support public release of the form.

Implementing NCP -

All NCP cases are posted on the internal Web site.

NCP Resources

When it comes to implementing the NCP, there are many resources to help you.

NCP Resources

The NRC internal Web site will guide you to a variety of resources and aids to assist employees engaging in the NCP. To locate the NCP Web page click on “Employee Resources.”

NCP Resources

Next, go to “Employee Concerns” and click on “Non-Concurrence Process.”

NCP Resources

The NCP Web site includes a link to the NCP MD 10.158, an interactive flowchart, and many other helpful tools to guide you through the process.

NCP Resources

• Need help? • Have a question? • Want advice?

• Contact the NCP PM or

backup NCP PM.

• NCPPM.Resource@nrc.gov

• (301) 415-2741

We’re here to help!!

Conclusion • A free and open discussion of differing views and

alternative approaches improves decisionmaking and supports the agency’s safety and security mission.

• Employees have a responsibility to raise concerns and propose solutions as early as possible in the decisionmaking process.

• When informal discussions do not resolve concerns,

employees can pursue concerns by using the Open Door Policy, the NCP, or the DPO Program.

Correct Answer:

Correct Feedback:

Incorrect Feedback:

Knowledge Check

Which type of document described below is not covered by the NCP?

A. Documents that address personnel actions B. Documents concerning administrative or

corporate support issues C. Documents that require review and concurrence

by multiple NRC offices before issuance D. Documents being transmitted to the Office of

the Executive Director for Operations (OEDO) or by the OEDO to the Commission

Incorrect. With the exception of A, the NCP applies to all documents in the concurrence process. Establishing criteria for using the NCP would imply that only differing views on certain issues is appreciated.

Correct! The NCP does not apply to documents that address personnel actions or issues that involve individual employees or groups of employees.

Correct Answer:

Correct Feedback:

Incorrect Feedback:

Knowledge Check

B

Who can use the NCP?

A. Only non-supervisory employees can use the NCP.

B. All employees, with a few exceptions, can use the NCP.

C. Only technical employees can use the NCP. D. Anyone who is a GG-13 or above is eligible to

use the NCP.

Incorrect. Use of the NCP is not limited to grade level, title or job series classification. While there are a few exceptions, it is the policy of the NRC to encourage all employees to raise concerns as early as possible in the document review process.

Correct! The NCP is available for all eligible employees except NRC board & advisory members that report to the Commission, employees on NRC limited appointment & NRC Commissioners.

Correct Answer:

Correct Feedback:

Incorrect Feedback:

Knowledge Check

B

True or False. Informal discussion is not a precondition for engaging in the NCP.

A. True B. False

Incorrect. Many non-concurrence issues can be resolved through informal discussion. Before using NCP always discuss your concerns with your supervisor. You can also discuss your concerns with another manager under the Open Door Policy.

Correct! Informal discussions should occur before initiating the NCP. If you disagree with the findings in a document, first discuss your concerns with your supervisor. Then use the NCP only if outstanding issues and concerns remain or were not adequately resolved via discussion.

Correct Answer:

Correct Feedback:

Incorrect Feedback:

Knowledge Check

B

True or False. Only an employee on concurrence may submit a non-concurrence.

A. True B. False

Incorrect. NCP is open to document reviewers and contributors provided they were assigned by supervisors to perform these roles. In addition, employees who are not on document concurrence can request to be added to the NCP if they believe they have specific information that would enhance the decisionmaking process.

Correct. NCP is open to document reviewers and contributors provided they were assigned by supervisors to perform these roles. In addition, employees who are not on document concurrence can request to be added to the NCP if they believe they have specific information that would enhance the decisionmaking process.