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SCHEDULING NOTE Title: BRIEFING ON HUMAN CAPITAL AND EQUAL EMPLOYMENT

OPPORTUNITY (Public) Purpose: Provide the Commission an update on significant human capital

initiatives and equal employment opportunity. Scheduled: June 22, 2017 2:00 pm Duration: Approx. 1.5 hours Location: Commissioners’ Conference Room, 1st FL OWFN Participants: Presentation NRC Staff 45 mins.* Victor M. McCree, Executive Director for Operations Miriam Cohen, Chief Human Capital Officer Dafna Silberfeld, Sr. Human Resources Specialist, Human Resources Operations and Policy (HROP), Office of the Chief Human Capital Officer (OCHCO) Christian Araguas, Executive Technical Assistant, Office of the Executive Director for Operations Jason Shay, Associate Director, HROP, OCHCO Pamela R. Baker, Director, Office of Small Business and Civil Rights Topics:

• Overview on Human Capital • Strategic Workforce Planning • Project Security Clearance Review • Civil Rights Update • Diversity and Inclusion Update

Commission Q & A 30 mins. Discussion – Wrap-up 5 mins. Sheryl Burrows, President or Maria Schwartz, Executive Vice President of the National Treasury Employees Union, will be invited to sit in the well. The Chairman will

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ask for union remarks, as permitted, under the formal meeting provision of the Collective Bargaining Agreement. *For presentation only and does not include time for Commission Q & A’s

U.S.NRC U nited States N uclear Regulatory Co mmission

Protecting People and the Environment

Briefing on Human Capital and Equal Employment Opportunity

• Commission Meeting

• June 221 2017

Agenda • Key Messages - Victor Mccree, EDO

• Overview of Human Capital -Miriam Cohen, CHCO

• Strategic Workforce Planning Working Group - Christian Araguas, OEDO

• Strategic Workforce Planning Process - Dafna Silberfeld, OCHCO

• Project (Security) Clearance Review - Jason Shay, OCHCO

• Civil Rights and Diversity and Inclusion Update - Pamela Baker, SBCR

Staffing Levels by Fiscal Year

- Staff Count

4000

3900

V'l

3800 3774 <lJ 3736 3739 <lJ > 0 0.. 3700 E

LU '+- 3600 0 I.... Q)

3500 ...0

E :::s z 3400

3300

3200 2012 2013 2014 2015 2016 2017 (5/6)

Fiscal Year Note : All fiscal year 2017 numbers are as of May 6, 2017 .

Five Year Attrition • Resignations • Retirements • Transfers

240 235

220

200

180

160 +.J c 140 ::i 0 121 122 u 120 109

100 97

80

60

40

20 2013 2014 2015 2016 2017 (5/6)

Fiscal Year

Note : All fiscal year 2017 numbers are as of May 6, 2017.

500

450

400

"' Q) 350 Q) >. 0 300 -a. E 250 w

200

150

100

50

0 0

N RC Service Distribution of ·Permanent Employees

5 10 15 20 25 30 35

Years of NRC Service

FY 2004 a FY 2008 D FY 2017 (Mar) I

ti) Q) Q) ~ 0 -0. E w

Retirement Eligibility Distribution of Permanent Employees

200

175

150

125

100

75

50

25

o ~

-40 -36 -32 -28 -24 -20 -16 -12 -8 -4 0 4 8 12 16 20

Years to/of Eligibility

• FY 2004 a FY 2008 CFY 2017 (Mar) ,

Sustaining Engagement Remains a Priority

• Foster a greater climate of trust

• Continue strong rotational program

• Provide opportunities for staff growth

• Continue advancements in learning ·and development programs

• Continue strong emphasis on diversity and inclusion

N RC is Enhancing its Approach to Strategic Workforce Planning (SWP)

• Executive Director for Operations tasking and formation of working group

• Goals and objectives of the working group

Established and Implemented a Comprehensive Plan to

Develop Recommendations

• Identified best practices

• Conducted benchmarking

• Conducted outreach activities

• Collaborated with the National Treasury Employees Union (NTEU)

- ------ -----

Incorporated Best Practices into Enhanced Process

• Implement OPM workforce planning '

model

• Share responsibility between mission organizations and OCHCO

• Leverage existing agency processes

• Pilot new processes

Incorporated Best Practices into Enhanced Process (continued)

• GAO' s Key Principles - Involve stakeholders

- Determine the critical skills and competencies

- Develop strategies to address gaps

- Build the capability needed

- Monitor and evaluate

Enhanced SWP Process Steps

1.0 Set Strategic Direction

• Initiate Annual Strategic Workforce Planning Process

• Conduct environment scan

• Conduct workload forecast

2.0 Identify Core Positions and Conduct Workforce Demand Analysis

• Identify core positions

• Perform demand analysis to identify workforce needed

3.0 Conduct Workforce Supply Analysis

• Assess inventory (supply) of current workforce

• Identify inventory (supply) of future workforce

Enhanced SWP Process Steps (continued)

4.0 Perform a Gap Analysis and Risk Assessment to Prioritize Resu Its

• Perform gap analysis

• Perform risk assessment on gaps and surpluses

5.0 Develop and Execute Agency Strategies

• Formulate strategies

• Incorporate into budget formulation/ execution

• Execute strategies

6.0 Monitor, Evaluate, and Revise Strategies

• Set performance indicators

• Assess performance

• Adjust plans based on performance feedback

• Communicate progress

-- ------ -

SWP Process Enhancement Expected Outcomes

• Set of strategies to ensure the agency has the people with the right skills and knowledge required to accomplish N RC' s mission

• Systematic and comprehensive approach for tracking employee skills

• Establish agency-wide goals for the overall workforce size and skills

Recommended Next Steps

• Conduct pilot demonstration in three offices

• Assess results of pilot to determine strengths, challenges, gaps, and scalability

· • Develop training for supervisors on strategic workforce planning

Project (Security) Clearance Review (PCR) - Relevant Agency and

Federal Directives/Laws Influencing NRC's Clearance Review Process

• SRM-SECY-16-0052

• Executive Order 12968

• 5 CFR Part 1400

I

Clearance/ Access Levels Being Considered at the N RC

Public Trust (High

Risk)- 1

Public Trust

(Moderate Risk)- 2

Public Trust (Low

Risk)- 3

Special Sensitive

(National Security)

Critical Sensitive

{National Security)

Non-Critical Sensitive

{National Security)

Non-Sensitive

(Public Trust)

Non-Sensitive

(Public Trust)

Non-Sensitive

(Public Trust)

SF-86

SF-86

SF-85P

SF-85P

SF-85

Tier 5 Yes

Tier 3 Yes

Tier4 Yes

Tier 2 Yes

Tier 1 No

Yes

Yes

No, unless meets

exception to be tested

No, unless meets

exception to be tested

No, unless meets

exception to be tested

Methodology in Determining Appropriate Designations

within the N RC

• Utilized Office of Personnel Management's (OPM 's) Position Designation Tool

• Conducted Test Phase

• Conducted Pilot Phase

OPM's Position Designation Tool Allows for Systematic and

Uniform Designations • Determine the potential damage to

national security • Determine the potential impact to the

efficiency or integrity of the public trust

• Point adjustment for program scope and level of supervision

• Final position designation and investigation

Refined Instructions and Guidance for NRC Designators

• Evaluated and finalized instructions in preparation for Pilot Phase

• Resulted in the elimination of Low Public Trust as a possible designation

• Created NRC Composite Glossary

--- ------,

i

Utilized Lessons Learned from the Test Phase to Roll Out Pilot Phase

• Five offices participated (ADM, OCHCO, OIP, NRO, and Region IV)

• Held comprehensive informational sessions fo.r designating officials

• Conducted consistency reviews of pilot designations with Subject Matter Experts

Progress Continues but Challenges Remain

• Designating NRC Covered Positions in response to 5 CFR Part 1400

• OPM backlog and investigation delays

• Workforce planning flexibilities

EEO Programs Update -Sustaining through Change

• Agency profile and EEO activity

• Re-organizing SBCR

• NRC EEO and Diversity & Inclusion Community

Relative Representation

• Agency downsizing has not impacted our representation

• Number of complaints currently stable

• Increase in complexity continues

60%

55%

50%

45%

40%

35%

30%

Representation of Women and Minorities

- White Male - Women/Minorities

56% 56% 56% 57% 57%

44% 44% 44% 43% 43%

FY 13 FY 14 FY 15 FY 16 May FY 17

All Complaints (Informal and Formal)

35

30

25

20

15

10

5

0

Filed FY 2007 - April 30, 201 7

FY07 FY08 FY09 FYlO FYll FY12 FY13 FY14 FY15 FY16 FY17

Informal !Bii Formai - Linear (Informal) - Linear (Formal)

(As of April 30,

2017)

Re-Structuring SBCR

• Create synergy among EEO programs

• Maintain essential functions

• Enhance strategic outreach

• Employ technology

Focusing on Our Core

• Federal benchmark of model EEO program

• Leverage interagency resources

• Inter-office collaboration

• SBCR serving a facilitating role

Including the Entire NRC Community

• Internal partners: counselors, committees, affinity and resource groups, and networks

• Expand capacity: DIALOGUE cohorts, re-engaged DMIC and Executive Sponsors

• N RC EEO Conference - "From Diversity to Inclusion: Building on Our Past and Partnering to Last"

Key Messages

• Achieving alignment between expected work and workforce size

• Enhancing the approach to Strategic Workforce Planning

• Progressing though challenges remain for Project Clearance Review initiative

• Continuing to carry out EEO, and Diversity and Inclusion programs

Acronyms

• ADM - Office of Administration

• CHCHO - Chief Human Capital Officer

• DIALOGUE - Diversity Inclusion Awareness Leading Organizational Growth, Understanding, and Engagement

• DMIC - Diversity Management Inclusion Council

- - -- -

Acronyms (continued)

• EDO - Executive Director for Operations

• EEO - Equal Employment Opportunity

• FTE - Full-Time Equivalent

• FY - Fiscal Year

• GAO - U.S. Government Accountability Office

Acronyms (continued)

• NRC - U.S. Nuclear Regulatory Commission

• NRO - Office of New Reactors

• NTEU - National Treasury Employees Union

• OCHCO - Office· of the Chief Human Capital Officer

Acronyms (continued)

• OEDO - Office of the Executive Di.rector for Operations

• OIP - Office of International Programs

• OMB - U.S. Office of Management and Budget

• OPM - U.S. Office of Personnel Management

Acronyms (continued)

• SBCR - Office of Small Business and Civil Rights

• SWP - Strategic Workforce Planning