nrc: home page - records being released-third party pii, including names, phone numbers, or other...

FOIA/PA NO: 2013-0198

GROUP: F

RECORDS BEING RELEASEDIN-PART

The following types of information are being withheld:

Ex. 1 :E Records properly classified pursuant to Executive Order 13526Ex. 2:D Records regarding personnel rules and/or human capital administrationEx. 3 :[--- Information about the design, manufacture, or utilization of nuclear weapons

L-Information about the protection or security of reactors and nuclear materialsEl-Contractor proposals not incorporated into a final contract with the NRC[-Other

Ex. 4:- Proprietary information provided by a submitter to the NRC7O)ther

Ex. 5:71 Draft documents or other pre-decisional deliberative documents (D.P. Privilege)F7 Records prepared by counsel in anticipation of litigation (A.W.P. Privilege)El Privileged communications between counsel and a client (A.C. Privilege)[ther

Ex. 6:[1] Agency employee PII, including SSN, contact information, birthdates, etc.-Third party PII, including names, phone numbers, or other personal information

Ex. 7(A):E]Copies of ongoing investigation case files, exhibits, notes, ROI's, etc.E--Records that reference or are related to a separate ongoing investigation(s)

Ex. 7(C): E-]Special Agent or other law enforcement PII[--PII of third parties referenced in records compiled for law enforcement purposes

Ex. 7(D):-1 Witnesses' and Allegers' PHI in law enforcement recordsE-'Confidential Informant or law enforcement information provided by other entity

Ex. 7(E): E-lLaw Enforcement Technique/Procedure used for criminal investigations[-]Technique or procedure used for security or prevention of criminal activity

Ex. 7(F): r- Information that could aid a terrorist or compromise security

(jLRakovan. Lance I

F~rom:Sen~t:To;

ccSubject.Attachments.

Cai, JuneWednesday, September 29, 2010 7:55 AMRakovan, Lance; Gerke, Laura; Flack, Jennifer; Stewart, Sharon; Widmayer, Derek; Rough,Richard, Hopkins, Rhonda; Lorson, Raymond; Johnson, Debby; Williams, Evelyn:Abraham, Susan; Warner, MaryAnn; Schwartz, Maria; McAndrew, Sara; Soloria, I1ka;Coates, Carlotta, McLaughlin, Terri; Dehn, Jeff; Taltey, Sandra: Walker, Tracy; Bartley,Jonathan; Heck, Jared; Longmirej Pamela; Ward, Steven; Golder, )ennifer, Delligatti,Mark Wiltiams, Joseph; Jefferson, Steven; Muessle, MaryHernandez, Pete; Adelstein, Patricia; Davis, KristinCommunications plan for focus group reportFocus Group Report Communications plan.docx

TIWE)

Here's the communications plan that OE. OEDO communications staff, and HR worked on together for thefocus group report. ft includes information on actions being taken, and planned. in response. Please feel freeto use this to communicate about the focus group report and help answer questions.

Thanks

June

HREE PAGE ATTACHMENT IS BEING

/ITHHELD IN ITS ENTIRETY UNDER FOIA

XEMPTION 5

Williams, Jose h

Frohi:Sent:To.

Cc,

Subject:Attachments:

Follow Up Flag:Flag Status:

Categories:

Cai, JuneMonday. August 09, 2010 12:59 PMlbarra, Jose; Cutler, Iris; Frampton, Julie: Dehn, Jeff; Danna, James; Muessle, Mary;Suto-Goldsby. Lori: Currie, Bruce; Quayle, Lisa. Lobe, Jon- Horn, James, Kohen,Marshall; Diec, David, McCree, Victor; Sotiropoutos, Dina; Holt, J; Casto. Chuck:Walker, Tracy; Holody, Daniel; Evans, Carolyn; White, Bernard; Baridey, Richard.Cupdon, Les; Flack, Jennifer, Kauffman, John. Mensah, Tanya; Miller, Ilyne;, Pedersen,Renee; Rosenberg, Stacey; Jarriel, Lisamarie; Bellosi, Susan; Dehn, Janine, Williams,Joseph; Leong, Edwin: Zimmerman. Roy, Campbell, Andy; Talley, Sandra; McAndrew.Sara; Scott, MicItael, Schwartz, Maria; Solorlo. Ilka, Rakovan, Lance, Hopkins, Rhonda,Lorson, Raymond; Murray, Alex: Quayle, Liss: Santago, Patricia; Ger;e, Laura;Hemandez. PeteStewart, Sharon: Carpenter, Cynthia; Cohen, Miriam; Holahan. Patricia; Holahan, Gary;Boger, Bruce; Grobe, Jack, Dean, Bill; Schaeffer, James; Lyons, James. 0apas, Marc;McCree, Victor- Plisco, Loren; Pederson, Cynthia; Williams, Barbara; Krupnick, David;Landau, MindyIssues resolution system evaluation draft report for reviewDraft Evalualon of Issue Resolution 8-5.docx

Foilow upCompleted

Red Category

To those on distribution of this email (deputy office directors are on cc):

You are receiving this because you provided input to or interacted with OE's contractor, Focal PointConsulting Group, in their evaluation of the agency's issues identification, evaluation, and resolutionsystems. This evaluation was a recommendation from the Internal Safety Culture Task Force in May 2004to identify Opportunities for improvement in this area. Attached is the draft final report (appendices are stillbeing put together). If you would like, please review and provide c_0riments 6om-e by COB Monday,A I will consolidate and forward to the contractor.

Here are some guidelines for focusing your review-

1) Is there any information that is inaccurately presented or is incomplete?2) Are there areas where clarification or additional context is needed, to provide a more accuratelfulter

picture?3) Do you have any recommendations for improvements to the organization of the report, or

presentation style of the information?4) Other recommendations to improve the usability and quality of the report.

If you have any questions, please let me know. Thank you for your continued support of the agency'ssafety culture activities'

June

June CalSenior Safety Culture Program ManagerOffice of EnforcementUS Nuclear Regulatory Commission301-415-5192

THIRTY-SEVEN PAGE ATTACHMENT ISBEING WITHHELD IN ITS ENTIRETYUNDER FOIA EXEMPTION 5

q

Williams, Joseph

From: Cai, JuneSent: Thursday, January 06, 2011 7:39 PMTo: Sapountzis. Alexander, 'Ramey-Smith. Ann': Seoloio, Dave, Hilton, Nick; Faria-Oiasio,

Carolyr; Shoop, Undine, Boyle, Patrick; Keefe. Molly; Jimenez, Jose, Barnes, Valefie,Firth, James: Witt, Kevin, Jamre. Lisamarle; Gray, Kathy; Merzke, Daniel; Adelstein,Patricia, Gerke, Laura; Isaac, Patrick; Benner, Eric, Albert, Ronald; Hudson, Daniel,Hernandez. Pete; Martin, Kamishan; Pasquale, Daniel; Peralta, Juan; Prescott, Paul,Rasmussen, Richard, Bickett, Carey; Cameron, Jamnes; Drake, James, f reeman, Harry;Powell, Raymond; Shaeffer, Scott, Sykes, Marvin; Lara. Julio; Peters, Sean; D'Agostino,Amy; Casto, Chuck, Cheek. Michael; Dormran, Dan; Holahan, Patricia; Lemoncelli, Mauri;Zimmerman, Roy, Ibarra. Jose; Thompson, Catherine, Campbell, Andy, Tannenbaum.Anita; Lew, David; Clifford, James. Saniiago, Pairicia; Abraham, Susan: Rakovan, Lance;Rough, Richard; Stewart, Sharon; Flack, Jennifer, Wdliams. Joseph; Miller, Chris; Kahler.Robert King, Mark: Thorp, John; Garmon-Candelaria, David; Thomas, Eric; Sigmon,Rebecca, Brown, Michael; Davis, Angel; Bartley, Jonathan: Bemal, Sara; Lighty, Tonya:Franklin, Carmen, Moorin, Laurette; Cho, Caroline: Sieracki, Diane; Nibert, Patty, Ki.D n- Daws. Knstir: Qort, Nicole, 'Mike Browyn'; Dehn, Jeff, Barktey, Richard;

•blo h olian, Be'ianSubject: SCVVE seminar/webinar re-rinder

Categories: Red Category

Reminder for the seminar/webinar on SOWE, presented by Lisamarie Jarnel, Agency AllegationCoordinator, next Weds Jan 12 from 9-10:30 EST. At HO, we'll be in room 0488 (OE conference room),which has limited space, but there will be plenty of spots on the webinar.

Webinar info is below.

For the call in number, please use the one that is associated with the webinar: 888-566-5174, passoode

In case there are any issues with this main line, I also set up a bw :liJI thone can call into tO

get more info I the main one above does not work:.• .6• i jb: jJQ•• .iittI; m.io

Note that the seminar starts at 9am EST, but the Webinar is set up starting at 8:30 EST to grve us extratime to do all the set up.

SCWEJan•lt1,ppt

Attached are Lisa's slides, in case you are interested in getting a preview. If you can'tmake it, we'll be recording it, so you can contact me afterwards to see the video.

Thanks for your continued interest and support of these seminars!

June

Overview of Safety Conscious Work

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Safety Cons4 I l........~....A

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<U.S.NRCUr~itcnid Statc Nlciaw thegulrn'ir Co missio

" History" Key attributes of a Safety Conscious Work

Environment" How we "regulate" SCWE

Objectives

January 2011Safety Culture Training

2

• Energy Reorganization Act- amended 1978

° Title I! - Nuclear Regulatory Commission; Nuclear WhistleblowerProtection; Section 211, Employee Protection

* NRC Employee Protection Regulations (50.7, etc.) - 1982

" NRC vs. DOL

* NRC Allegation Program Formalized- 1982

- Management Directive 8.8, "Management of Allegations"

Background

January 2011 3Safety Culture Training

,%Commission Directed Reassessment of Program - 1994

Establish Agency Allegation AdvisorPeriodic TrainingSCWE Policy StatementSCWE-related inspection guidance (i.e., the "I" in PI&R)

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* NRC Policy Statement on SCWE - 1996

• RIS 2005-018, "Guidance for EstablishingConscious Work Environment"

and Maintaining a Safety

Background

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4

* Safety Conscious Work Environment& An environment in which employees are encouraged to raise safety

concerns, are free to raise concerns both to their management and to theNRC without fear of retaliation, where concerns are promptly reviewed,given the proper priority, and appropriately resolved, and timely feedback isprovided.

* "Chilled" Work EnvironmentEmployees perceive raising safety concerns is suppressed/discouraged.

i "Frozen" Work Environment° An environment where concerns are no longer being raised.

Definitions

Chilled FrozenNormal January 2011 5

Safety Culture Training

o Key SCWE Attributes* Employees are free to raise safety concerns

* policies; training; recognition* Processes are effective (e.g., Corrective Action Program;

Employee Concerns Program)* prioritized; resolved; feedback; appeals

* Management is effective at Detecting and PreventingDiscrimination and Chilled Environment* Monitoring; accountability


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* NRC Insights into SCWE

* Inspection* Allegations

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* Problem Identification & Resolution Inspection* Interview questions (by Pillar)

* Pillar 1: Employee Free to Raise Concerns* Pillar 2: Effectiveness of CAP* Pillar 3: Effectiveness of ECPe Pillar 4: Management Effectiveness at Detecting/Preventing

Discrimination/Chilled Environment

* Review licensee's assessment* Review Employee Concerns Program files

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• SCWE CCA in ROPGreen or safety significant finding withSCWE cross-cutting aspect

Protect Public Heafth And Safety in the Use of Nuclear PowerMISSION:

KEY AREAS:

CORNERSTONES:

CROSS-WCTTINGAREAS:

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AOnment Ptablin Idwnificaton and Pmo~ukffiWumanPWq~ni~mv Safety Oonsciws Work Envi


*Chilling Effect Allegations, "Because I've been discriminated against for raising nuclear safety issues

I'm chilled" and/or "others are chilled"* "Because someone else has been discriminated against for raising issues

I'm chilled" and/or "others are chilled"* "Management behavior, other than discrimination, has chilled me"

- "Management never addressed my previous concerns"& "Corrective Action Program is ineffective"* "Supervisors calls people who write too many condition reports names"o "Management worries more about meeting the schedule than safety"

Allegations of a Chilled Work Environment5% 4%4% 14%

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Secutity (a) U Chilling Effect (b) Health Physics kcjV Disciminatim 4d) FF0 (e 1 Operations

Wrongdoing a Maintenance Access AuthorizationUCorreative Action Safety Culture ETraining/Oual


* Questions to Ask the Alleger* Are there any specific concerns you or others haven't raised that

you wish to raise now?* What types of concerns are you hesitant to raise and why?

* What is their impact on safety?* Which avenues are you hesitant to use to raise concerns and why?* Which organizations and how many people are impacted?* Who is doing the "chilling" and what influence does s/he have?# When was the event that chilled the SCWE?# Is management aware of the chilling effect? Actions taken? Were

actions effective?Allegations of a Chilled Work Environment

4

9

9 6

- January 2011 12Safety Culture Training

• NRC Response Options* Inspection

* Request assistance from O0• Non-public request for information (RFI) to licensee

o If too vague to inspect refer to licensee "for information only"e Public Chilling Effect Letter

Allegations of a Chilled Work Environment


13

* SCWE Inspection" Interviews" Document Reviews" Observations

NRC Inspection of a Chilled WorkEnvironment


14

• Interviews* One on one vs. Focus Groups* Workers and Management in alleged impacted organizations* ECP Manager* Use questions in PI&R Inspection Procedure (IP 71152)

NRC Inspection ofEnvironment

a Chilled Work


15

* Document Reviews* Policies/Procedures* Communicationso Training Materials• ECP Files• CAP Data* SCWE Self-Assessments• Relevant Documents referred to by Alleger• NRC Allegation Files; number and naturee NRC PI&R Observations



* Observations* Pre-job Brief* All-hands Meetings* Daily Site Status Meetings at which reported problems

are discussed* Plant Review Committees discussing corrective action

issues



* Reviewing Licensee's Response to RFI• Was the evaluation independent?* Was the scope of the evaluation sufficient to address the concerns

* Interviews, document reviews, observations* Is the conclusion supported by the facts• Are corrective action plans, if proposed, sufficient to prevent

reoccurrence?o NRC independent verification

RFI Involving a Chilling Effect Allegation

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* CEL Purpose• Publicly notify licensee of NRC's concern about the

SCWE* Informs workforce of NRC's focus on SCWE

" Request information re: assessment/corrective actions*Types of Chilling Effect Letters

• Post Discrimination Finding* NRC SCWE Concerns Not Involving a Discrimination Finding

Chilling Effect Letter


• History• Ensuring a strong "1" in PI&R

* Key attributes of a SCWE* 4 Pillars

* How we "regulate" SCWE* Inspections; Allegations

In Summary


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14'o*eteg Iiýp1,and ihe fLvrn/Ir ment

Williams, Joseph

From: Pedersen, Renee - ,Sent: Monday. October 25, 2010 12:07 PMTo: Bonaccorso, Amy: Brown. Carrie, Brydson. Ave. Evans, Carolyn; Fuller, Karla, Harrngton,

Holly: Heik, Jared: Wiiliams, Joseph; Johnson. Joanne; Farter, Karl, Laufer, Richard;Harris, Paul; Powell, Amy. Hopkins, Rhonda; Hackworth, Sandra: Solorio, Ilka; Talley,Sandra, Smith (OiS). Thomas' Wertz, Trent

Cc: Cal, June, Campbell. AndySubject: FW, Meeting information for tomorrow

Importance: High

Categories: Red Category

Happy Monday!

I wanted to pass this meeting notice on to you since the primary fole of DVOLs is being an Open,Collaborative Work Environment (OCWE) Champion and OCWE is a big part of interna! safety culture. Iapologize for the short notice and I hope that you can make it.

Ren4e

From: Cat, JuneSent: Monday, October 25, 2010 8:04 AMTo: Rakovan, Lance; Gerke, Laura; Flack, Jennifer; Stewart, Sharon; Widmayer, Derek; Rough, Richard; Hopkins,Rhonda; Lorson, Raymond; Johnson, Oebby; Williams, Evelyn; Abraham, Susan; Warner, MaryAnn; Schwartz, Maria;McAndrew, Sara; Solorlo, Ilka; Coates, Carlotta; McLaughtin, Terri; Dehn, Jeff; Talley, Sandra; Walker, Tracy; Bartley,Jonathan; Heck, Jared; Longmlre, Pamela; Ward, Steven; Golderf Jennifer; DefligaW, Mark; Williams, Joseph;Jefferson, Steven; Muessle, Mary; Davis, Kristin; Adelstein, Patricia; Moodn, Laurette; Hernandez, Pete; Bernal, Sara;Cho, Caroline; Pedersen, Renee; Huth, Virginia; Dambly, JanSubject: Meeting information for tomorrow

Attached is the agenda (same as the one I sent. out previously) and a handout for the discussron portion.

Thanks

Intemr Safety lrternal safetyCuitwe Metin... culture activl..

June

39

Internal Safety Culture MeetingOctober 26, 2010

lOam-12pmn Eastern013G4

Call info: 888.566-5174,p ..scode (b)(6)

Purpose: Provide updates and information sharing on internal safety culture activities to supportthe following objectives:

* Inform offices about OE's planned activities for internal safety culture in the upcomingyear so this information can be factored into office plans, as appropriate

* Facilitate information and experience sharing among offices on their office plans* Seek input from offices on how OE can best support their office's activities and needs in

this area

10:00-10:40am

10:40-11:10am

11:10-1 1:40am

Welcome & introductionsOverview of OE's current and planned upcoming intemal safety cultureactivities

Open and informal discussion with offices on status of office action plansand sharing of experiences & lessons learned

Discussion on how OE can most effectively support offices on theirinternal safety culture activities

Proposal for seminar sessionlrefresher training on effectivelyusing employee feedback information to develop actions an~dimprovement efforts

Internal Safety CultureCurrent and Planned Activities for FY 2011

October 2010

An resgurce r y Itre

" OE as Center of Excellence for the Agency's safety culture activities, Overall goals:

o Strengthen programs/processes and influence attitudes and behaviors to supportand continuously improve NRC's internal safety culture

o Increase awareness and knowledge levels about safety culture throughout theagency

o Integration of related safety culture activities across the agency and continuedcoordination with partner offices

o Serve as agency resource and support office efforts and activities

Activities related to Internal Safety Culture Task Force recommendations

o Participation on Strategic Plan update working group

" Communications and training, including coordination with HRo OCWE webpageo OCWE handout distribution to all employeeso OCWE poster and video in New Employee Virtual Orientation Centero Periodic all employee OCWE seminarso Potential incorporation of Speed of Trust into Leader's Academy

Development of options for Safely Speaking training for bolhsupervisors/managers and employees

o Continue refinement of Organizational Cultures and Values Management course

* Issues resolution systems evaluationo Interoffice group to review evaluation results and options for recommendations

and propose path forward to management (Nov-Dec)c Implementation of recommended approach after management decision

Procedures improvemento Conduct inventory of office procedures (first half of FY 2011)o Offices to review inventory results and develop strategy for improvement (second

half of FY 2011)

Coordination witl, ,xjernal safely ulture activities

* Development of Commission Policy Statement on Safety Culture (due to Commissionearly 2011)

04G survey follow up.acligns

* Continue to support agency wide and office specific OIG survey follow up actions andplans

* Use of HR organizational development contract to focus on issue of admin/corporatesupport engagement (recurring theme)

* Communications Council meeting to review and consider communication insights fromfocus group results (Nov)

Continuous learnin• and improvement initiatives

" DPO and Non-Concurrence Process program improvements

" Future focus group needs:* Training agency facilitators to conduct focus groups - resource available for

future needs.o Coordination with facilitation program lead on use of agency facilitation contract.

* Development of training and qualification plan for new OE safety culture staff

" Conduct of periodic in depth seminars (webinars) on various safety culture topics forstaff & managers from other offices

" Update safety culture page website and Community of Practice page

• Learning from other organizations and industries* NASANFANNRC trilateral meeting (Nov)o Exploring development of methods for sharing and learning from operating

experience (e.g., case study summaries of recent welt known events)o RIC session (March)

* Development of task order contract to support continuous learning & improvementactivities

ct

Williams, Joseph

From:Sent:To:

Subject:

Attachments:

Categories:

Cai, JuneThursday, September 16, 2010 12:13 PMGerke. Laura; Flack. Jennifer, Stewart. Sharon; Widmayer, Derek, Rough, Richard.Hopkins, Rhonda; Lorson, Raymond- Johnson, Debby; Williams, Evelyn; Abraham,Susan; Warner, MaryAnn; Schwartz, Maria; McAndrew, Sara; Solorio, lika; Coates,Carlotta; McLaughlin, Terri; Dehn, Jeff; Talley, Sandra, Walker, Tracy; Bartley. Jonathan;Heck, Jared: Longmire, Pamela; Ward, Steven: Golder, Jennifer: Delligatli, Mark.Williams, Joseph, Jefferson, Steven, Muessle, MaryFW- REVISED: September 22, 2010, NRC Workshop about Performance Managementfor Supervisors, Team Leaders and Managersperf communication workshop evaluation 2010.doc

Red Category

Please encourage the supervisors and managers in your offices to attend this workshop. Note that it'sbeing VTC'ed to the Regions, and also Webinar will be available. We're giving away some great books ona first come, first serve basis as additional incentivei This workshop is being planned to be responsive torecent survey/focus group results from employees on this topic and focusing on continuous improvement inthis area

Thanks

June

From: Tallarico, AlisonSent: Thursday, September 16, 2010 11:56 AMTo: Tallarico, AlisonSubject: REVISED: September 22, 2010, NRC Workshop about Performance Management for Supervisors, TeamLeaders and Managers

Revised to indicate that VTC will only be avaiable frrom the Repion,

As an NRC first-line supervisor, team leader, manager, or executive, you are cordi-ally invited to attend a discussionabout performance management on Wednesday, September 22, 2010, from 1:30- 3:00 p.m. in the Commissioners'Hearing Room. Mike Weber, Deputy Executive Director for Materials, Waste, Research, State, Tribal, andCompliance Programs (DEDMRT), will moderate the session. Joining him will be supervisors who will share theirbest practices in performance communications, an OE representative with regard to the connection to an opencollaborative work environment and the agency's internal safety culture, and HR staff to provide a brief update onthe requirements of the current Collective Bargaining Agreement. There will be ample opportunity for questionsand dialogue.

Additionally, two excellent books on performance management will be available to attendees on a first-come, firstserve basis: Difficult Conversations: How to Discuss What Matters Most, by Douglas Stone, Bruce Patton, and SheilaHeen; and The Servant Leader: How to Build a Creative Team, Develop Great Morale, and Improve Bottom-LinePerformance, by James Autry. Copies will be sent to the regions and are expected to be available on or aboutSeptember 20, 2010.

NRC Staff not able to attend the meeting in OWFN can participate by webinar, video teleconferencing from theregions; and teleconference. For webinar/teleconference, please access:

htosf~~.~w1 ioometnc cm/egister!559244881, and dial 1-800-369-3193,L aces coe.~ '1

I

I

For those not able to attend in person, attached is an evaluation form that you may complete and submit to AlisonTaMlarico after the session is over.

If you have questions, please contact Alison Tallarico at 301-492-2326 or by e-mail at [email protected].

2