Allegations & Enforcement

Agency Requests for Information

Paul assists clients in responding to allegations of concern contained in governmental requests for information (RFIs). Paul’s RFI work has covered a wide range of technical and nontechnical issues, many of which have involved senior management officials and had significant regulatory implications. 

 

When so engaged, Paul conducts or leads the non-privileged fact-finding independent investigation but is open to engaging, as appropriate, with in-house resources such as employee concerns program personnel, legal support staff and others to enhance efficiency and reduce costs while still maintaining independence.

 

If also retained as counsel, Paul provides his clients privileged legal advice and counsel regarding the regulatory implications of the investigative findings, ancillary issues of concern, corrective actions and potential personnel issues. The ability to provide timely and insightful privileged advice in such circumstances is invaluable. 

 

Governmental Investigations into Alleged Wrongdoing

Paul defends reactor and material licensees, non-nuclear companies, and their employees and contractors during investigations conducted by the the U.S. Nuclear Regulatory Commission (NRC), the U.S. Department of Energy (DOE) and other governmental agencies into claims and allegations of wrongdoing – generally defined as a violation of regulations, procedures or technical specifications performed willfully (i.e., deliberately or with careless disregard). Although such investigations can implicate essentially any regulatory requirement or technical procedure, they often involve claims of discrimination for engaging in protected activity (e.g., 10 CFR §§ 50.7 and 820.14), submitting incomplete or inaccurate information (e.g., 10 CFR §§ 50.9 and 820.11), and individuals deliberately placing the company in violation of regulatory or procedural requirements  (e.g., 10 CFR §§ 50.5 and 820.17).

 

No matter the underlying subject matter, Paul understands that all investigations into alleged wrongdoing can involve high stakes for a company. Indeed, the mere existence of a governmental investigation can result in adverse publicity, loss of public confidence, and harm a company’s image as a good corporate citizen. Substantiated cases of deliberate misconduct will often result in escalated enforcement against the licensee and individuals and can involve civil penalties, enforcement orders, or, in certain cases, criminal penalties. Such findings also can lead to, or provide support for, civil litigation against the company by third parties, including current or former employees.

 

Paul has defended hundreds of governmental investigations and approaches each to: (1) ensure the government receives and considers all the facts, including those favorable to the company; (2) protect the rights of the company and its employees; (3) minimize the investigation’s disruption to the organization, harm to employee morale and adverse publicity; and (4) demonstrate the company’s commitment to safety and regulatory compliance. 

 

Traditional NRC Enforcement

Paul represents licensees and individuals in traditional NRC enforcement actions (i.e., in circumstances where the NRC has preliminarily determined that deliberate or willful misconduct has occurred).  His work includes preparing written statements, assisting clients in preparing for predecisional enforcement conferences (PECs) with presentations and internal dry-runs, and representation during PECs.

 

Paul also represents clients who have opted to engage in mediation with the NRC under the Post-Investigation Alternative Dispute Resolution (ADR) program. Paul assists clients by assessing the advantages and disadvantages of ADR, preparing pre-mediation statements and developing negotiating positions, and will often be asked to take a lead role during the mediation across from senior NRC regional management and counsel. Paul also represents individuals during ADR mediations and, in fact, represented a client’s manager-level employee in the Post-Investigation ADR program’s first-ever mediation involving enforcement action against an individual.