ML20216F448

Informs Commission of Status of Equal Employment Opportunity Program at NRC

ML20216F448
Person / Time
Issue date:	08/29/1997
From:	Callan L NRC OFFICE OF THE EXECUTIVE DIRECTOR FOR OPERATIONS (EDO)
To:
References
SECY-97-197, SECY-97-197-01, SECY-97-197-1, SECY-97-197-R, NUDOCS 9709110256
Download: ML20216F448 (73)

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POLICY ISSUE 1 (Information)

August 29. 1997 SECY-97-197 I

EDE: The Commissioners ERDA1: L. Joseph Callan Executive Director for Operations l SUBJECI: EQUAL Eh1PLOYhiENT OPPORTUNITY (EEO) BRIEFING 1

PURPOSE:

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To inform the Commission of the status of the Equal Employment Opportunity (EEO) Program at the NRC, BACKGROUND:

l The Energy Reorganization Act of 1974, as amended, requires the NRC Executive Director for Operations (EDO) to report to the Commission at semi annual public meetings on the problems, progress, and status of the Agency's Equal Employment Opportunity (EEO) program. For the l next briefing scheduled for October 14,1997, the staffis providing a report that includes EEO accomplishments for the period October 1,1996, to June 30,1997 (Attachment 1). In response to the hiarch 7,1997, Staff Requirements hiemorandum (Attachment 2), the report also includes statements by Carl J. Paperiello, Director, OfIice of Nuclear hiaterials Safety and Safeguards; Karen Cyr, General Counsel; and Arthur W. Beach, Regional Administrator, Region Ill; on the i

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CONTACT: li # (

Irene P. Little, SBCR [t ,,(1 ,

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Paul E. Bird, liR (301)415-7516 SECY NOTE: TO BE MADE PUBLICLY AVAILABLE IN 5 WORKING DAYS FROM THE DATE OF Tills PAPER

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I implementation of EEO program policies within their respective organizations (Attachment 3),

in addition, the report includes ajoint statement from the six EEO Advisory Committees that contains status reports of three EEO Subcommittees and a separate statement by the Joint Labor hianagement Equal Employment Opportunity (JLh1EEO) Committee (Attachment 4). Also included in Appendix A to Attachment 4 are staff responses to recommendations from the Committees and Subcommittees.

DISCUSSION:

A. STATUS OF Tile AGENCY'S EEO PROGRAM <

Since the last EEO briefing in February 1997, the staff has continued its ongoing assessment of the EEO program within the Agency. As a result of this assessment, the staff has initiated efforts to update the affirmative action plan to include requirements established by Equal Employment Opportunity Commission (EEOC) guidance, EEO initiatives developed for regional and program offices, and the affirmative action focus areas that we traditionally report on during our semi annual briefing of the Commission. This plan will undergird all affirmative action and EEO activities within the Agency and provide the basis for assessing the performance of managers in the EEO area. Our goal is to complete this plan early in the first quarter of FY 1998.

The staff has also renewed its plan to implement a Managing Diversity process in the Agency. This is a process by which the Agency will examine and assess its organizational cuhure/ climate, and modify the Agency's human resource and management system, as appropriate, to effectively manage its culturally diverse workforce and improve regulatory effectiveness. This is a long term initiative designed to create and maintain an environment in which every employee is valued and will work cooperatively to do his or her best work. The Agency is undergoing mission, resource, and organizational change. The implementation of a hianaging Diversity process can assist managers and employees in managing change effectively and in adjusting to a shift in organizational culture by addressing policies, procedures, and practices that either hinder or facilitate achievement of Agency goals. Our goal is to initiate implementation of a hianaging Diversity process in the first quarter of FY 1998.

We continue to place a high priority on maintaining an effective EEO complaint process.

Our primary goal is to work with managers and employees to eliminate any valid basis for complaints.110 wever, for employees who believe they have been subjected to unlawful discrimination, we maintain a cadre of 34 EEO counselors throughout the Agency. These counselors are trained to work with employees and managers in efforts to resolve issues that could lead to EEO complaints. In June of this year, stafTconducted its annual training for the EEO counselors. This training is intended to inform counselors of the latest changes in policies, practices, and EEO case law, and to provide a " lessons learned" forum to improve the overall counseling program. A review of counseling activities to date in FY 1997 indicates a continuing effective program (i.e., of 94 employees counseled, only 8 have filed formal complaints).

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Additionally, as part of this overall assessment, the staff analyzed five years of trend data for i

women and minority groups in some of NRC's major occupational areas (Engineers, Health Physicists, Computer Specialists and other administrative positions ), utilizing the 1990 census data and information provided by Oak Ridge Institute for Science and Engineering. While underrepresentation ofliispanics continues in some of our major occupations. representation of women and some minority groups has generally fluctuated from year to year. As an example, for Nuclear Engineers, in FY 1990, Illspanic men were the only underrepresented group, while in FY 1996 only Asian / Pacific American men were underrepresented. For 11ealth Physicists, Asian / Pacific American men and Asian / Pacific American women were the only groups underrepresented in FY 1990, compared to FY 1996 where white women were the only group underrepresented. Because we are dealing with relatively low numbers and,in some casei, there is no representation of some groups in a particularjob series (i.e., there are no Native Amedcans in the llealth Physics, Electrical or Mechanical Engineering fields), minor changes in the workforce can significantly alter the representation of a specific group. Underrepresentation of this sort does not wanant focused recruiting of members of particular groups to the exclusion of '

members of other minority groups. Rather, we have concluded that a more effective approach is an ongoing outrench and recruitment effort to attract well-qualified women and minority candidates for all groups, to ensure equal opportunity for employment and career advancement. Training and development programs will be assessed as an integral part of our affirmative action initiatives, as a mechanism to facilitate improving job performance and to provide employees equal opportunity and equal access to training for advancement. We will focus our affirmative action efforts in the following four specific areas:

(1) Enhancing opportunities for advancement of minorities and women in professional positions.

(2) Expanding the pool of women and minorities for supersisory, management, executive, and senior level positions.

(3) Enhancing efforts to attract, develop, and retain disabled employees.

(4) Improving communication about EEO and aflirmative action objectives, improving management responsiveness, and evaluating progress.

During this fiscal year, we have continued our aggressive recruitment efforts to increase the representation of minorities and women in the workforce. (Table I shows the demographic profile of the Agency's permanent stafT.) Contacts were maintained with member colleges of the liispanic Association of Colleges and Universities and with 11istorically Black Colleges and Universities in efforts to reemit Hispanic and African American entry level employees. Contacts have also been made with the American Indian Service and Engineering Society (AISES) to identify Native Americans for positions at all grade levels. We continue to advertise in technical professional publications as well as on the World Wide Web for both entry level and higher level positions requiring experience. The Agency continues to recruit for individuals with

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-4 disabilities through montidy advertisements in tis amal Carccrs andthe Disabledand panicipation in conferences and job fairs targeting prsons with disabilities.

i During the first nine months of FY 1997, approximately 100 employees participated in

! developmental rotational assignments. Staff from the Omce ofiluman Resources (IIR) and 4

the OfHee of Small Business and Civil Rights (SBCR) participated in brokering many of these assignments, and ilR continues to publicize rotational assignments in the Weekly i Announcements to inform all employees of the opportunities available. To help employees l define their career goals, develop strategies for enhancing career options, and prepare Individual

{ Development Plans, llR continues to provide the Career Counseling Program.

] From the beginning of the fiscal year through June 30,1997, approximately 25 percent of hires for professional positions were female or minority. Seven of the 66 individuals hired during

this period for professional positions are white women,49 are white men, thice are African

American men, four are African American women and three are Asian / Pacific American men.

j One Asian / Pacific American man was selected for the Resident inspector Development Program, j and one white woman for the Graduate Fellowsidp program. Five employees were selected for l Senior Level Service (SLS) positions, including two white men, one white woman, one l Asian / Pacific American man, and one African American woman. Of 12 employees moving into

) the SES, eight are white men, one is a white woman, one is an African American woman, and i

two are African American men. Twenty five employees moved into supervisory positions: 19 are white men, three are white women, two are African American men, and one is an African j American woman. (Tables 2-4 show a demographic profile of SES, SLS, and Supervisors / Managers in the Agency.)

l During the last briefing, the Commission suggested that consideration be given to 4

implementing the SES duelopment and supervisory programs on a more systematic basis l

In concert with work force needs. As part of an executive succession planning initiative, Office Directors and Regional Administrators will annually identify SES positions in their omees that they anticipate may become vacant. Tha Office of Human Resources will then i assess Agency-wide replacement needs and recommend whether the SES Candidate i Development Program should be offered. A similar assessment will be made regarding i activation of the Supervisory Development Program. (A more detailed summary of EEO

accomplishments since September 30,1996, follows in Attachment 1.)

i i H. RESPONSE TO THE MARCII 7,1997, STAFF REQUIREMENTS MEMORANDUM Following the last briefing on February 20,1997, the Commission requested, through a Staff

Requirements Memorandum, that the next Conunission briefing include a presentation by Oflice l Directors on implementation of EEO program policy. Specifically, the Commission requested

that the Office Directors address topics concerning preselection, deve'opment of j mana3ement skills, and evaluation of those skills as part of job performance. In response to

] this request, three Office Directors have provided statements as part of this report, a*1d will i

5 address implementation of EEO policy within his or her respective organization during the Commission briefing. Additionally, the staff has reviewed the issues of preselection, development of management skills, and evaluation of these skills as part ofjob performance. A brief discussion on each issue follows.

l preselection We understand the staffs concerns about preselection, especially as they relate to merit selections. While NRC follows merit staffing policies and procedures included in Management Directive 10.15 and applicable portions of the Collective Bargaining Agreement, apparently some employees remain skeptical as to the falmess of this system. In an effort to respond to l these concerns, IIR has expanded its review of vacancy announcements, including the rating factors, to ensure that the factors are not too narrowly crafted but are as broad as the requirements of the position will permit. Also, explanatory language is now added to all vacancy announcements to assist applicants in addressing the rating factors. This practice should yield a broader, more diverse range of applicants for many positions. '

We have recently launched an agency-wide initiative to revise position descriptions (PD) to ensure that they accurately reflect the current duties and responsibilities of the positions.

This should help eliminate any inconsistency between rating factors / rating criteria and job duties.

Furthermore, in order to address the specific areas which impact the perception of preselection, based on recommendations from the Selection Subcommittee, we have adopted a merit stamng checklist to assist management officials in thinking through the merit selection process in the early stages, so that selection criteria are not unduly restrictive and candidates are able to compete in a fair and equitable manner. (A more detailed explanation and a copy of the checklist are contained in Attachtnent 4.)

Management Skills The Agency recognizes the maior role that line managers play in implementing EEO program policies and in achieving EEO goals. Y/e hwe instituted several agency wide initiatives to develop management skills. For instance, since December 1996,IIR has been offering a enurse, " Effective Management Participation in Merit Staffing," that provides information about merit staffing policies and procedures. This course, which has been presented five times at Headquarters and three times at Regional Offices, includes guidance for selecting officials in providing constmetive feedback to nonselected job candidates. The course has been attended by supervisors and employees involved in the selection process as well as by representatives of the EEO Advisory Committees. The Agency intends to continue offering this course so that supervisors and rating officials can be more knowledgeable about merit selection procedures and are better prepared to provide constructive feedback to job candidates.

Two years ago, the Agency instituted an annual continuous learning requirement socused on improving managerial knowledge, skills, and abilities. Thh year IIR and the Office of

6-the Chief Financial Officer (CFO) are developing a curriculum to enhance the program and resource management skills of NRC supervisors and managers. Similarly 11R and the Office of the ChiefInformation Omcer(ClO) will be developing an information technology curriculum for executives. Another initiative, Executive Succession Planning, will be used to l identify and assess the management skills and competencies needed for successful executive i

performance. The Agency will initiate appropriate planning to ensure that there is a cadre of highly-qualified replacements for higher level executive positions, as well as continue to invest l heavily in management and executive development through participation in such programs as the

) Women's Executive Leadership Program, the Supervisory Development Program, the SES Candidate P 'clopment Program, the Supenisory and Managerial Development Curriculum, the Federal Executive Institute, and the Management Development Centers. The Office ofIluman Resources continuously assesses executive stafling needs to detennine the appropriate time to ofter anoth ;r SES Candidate Development Program and Supenisory Development Program.

haluation of Management Skills as Part of Job Performance Evaluation of re.anagement skills as part ofjob performance is accomplished institutionally through the performc'ce appraisal process. Performance evaluation i: an ongoing process, which as a minimum requires the establishment of performance elements and standards at the begirming of the appraisal period, a mid-year perfonnance review discussion, and a formal discussion at the conclusion of the appraisal period when appraisals are completed and conveyed by executives and managers to their subordinate cupervisors. For Senior Executives, management effectiveness, including effectiveness in accomplishing EEO goals and objectives, has been a critical element in performance plans throughout the Federal govemment since the implementation of SES performance plans in 1979. This year at the NRC, performance elements and standards for evaluating executives were extensively revised to reficci more emphasis on contributions to organir.ational effectiveness as well as outcomes achieved.

C. ACTIVITY OF TIIE EEO ADVISORY COMMITTEES The staffs of SBCR and HR worked closely with members of the six EEO Advisory Committees and the JLMEEO Committee to reach consensus on three areas of primary concem to the EEO Advisory Committees. These areas are: (1) the perception of preselection, (2) implementing a managing diversity process, and (3) monitoring the programs which are already in place to facilitate equal employment opportunity. Three Subcommittees of the Advisory Committees agreed to review and report on these three areas. Since the last Commission briefing, the Advisory Committees, the Subcommittees, and the JLMEEO Committee have made considerable progress in the review of these issues and have developed several j

recommendations for consideration by Agency management. Some of these recommendations have been adopted, others require further review, and some will not be adopted at this time. Significant recommendations agreed upon for implementation are:

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I (1) Utilization of a merit staffing checklist designed by the Selection Subcommittee to assist management officials in addressing the steps in the merit selection process to assure that selection criteria are not unduly restrictive and that candidates are considered in a fair and equitable manner.

(2) Implementation of a managing diversity process. The hianaging Diversity Subconunittee supports the Agency's goal to effectively manage a culturally diverse j work force as it adjusts to mission and resource changes and improves regulatory excellence.

(3) To the extent possible, continuation and enhancement ofinitiatives and programs, such as the SES Candidate Development Program, Computer Science Development Program, the Intern Program, which are designed to support the Agency's mission through developn.ent ofits employeu.

! (4) Publication of additional information for all employees on the merit staffing l

process, including guidance for addressing rating factors and a contact person from llR to answer questions regarding the process.

A complete list of Committee and Subcommittee recommendations are included in Attachment 4.

s L.#oseph Callan Executive Director for Operations Attachments: 1. EEO Accomplishments for the period October 1,1996 to June 30,1997

2. hiarch 7,1997, StafTRequirements hiemorandum

3. Statements oy Carl J. Paperiello, D/NhtSS; Karen Cyr, OGC; and Arthur W. lleach, RGN Ill/ ORA

4. Joint Statement by EEO Advisory Committees and their three Subcommittees, a Statement by the Joint Labor hianagement EEO Committee, and Staff Responses to Committee and Subconunittee Recommendations DISTRIBUTION:

Commissioners ACNW OGC ASLBP OCtA CIO 01G CFO OPA EDO OIP REGIONS OCA SECY ACRS

1 Tables I

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Tables 1-4

PERMANENT STAFF - ACTMTY IN FY 1997

TOTAL l AGE AGE ON CHANGES IN FY 97TO DATE ETHNICITYIGENDER UNDER 40 40 AND OVER BOARD j AS OF 6/30/97 INCREASE DECREASE NET CHANGE l WHITE

!. MEN 331 1284 1615 51 75 -24 WOMEN 228 575 803 19 '35 -16 TOTAL $59 1859 2418 70 110 -40 AFRICAN AMERICAN MEN 35 82 117 3 1 2 i VCMEN 102 162 264 8 6 2 l TOTAL 137 244 381 11 7 4 ASIAN PACIFIC AMERICAN 3

MEN 18 132 150 3 1 2 j WOMEN 20 27 47 0 1 -1 TOTAL' 38 159 197 3 2 1

. HISPANIC MEN 17 24 41 1 1 0 WOMEN 9 14 23 1 3 -2 j- TOTAL 26 38 64 2 4  ?

{ NATIVE AMERICAN MEN O 4 4 0 0 o WOMEN 1 2 3 0 0 0 TOTAL 1 6 7 0 0 0

SUMMARY

j MEN 401 1526 1927 58 78 -20 WOMEN 360 780 1140 28 45 -17 TOTAL 761 2306 3067 86 123 -37 wits  ;

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SES STAFF - ACTMTY IN FY 1997 TOTAL AGE AGE ON CHANGES #f FY 97 TO DATE ETHNCITY/ GENDER UNDER 40 40 AND OVER BOARD AS OF S00f97 INCREASE DECREASE NET CHANGE WHITE MEN 3 144 147 8 13 5 YOMEN 3 13 16 1 1 TOTAL 6 157 163 9 13 4 AFRICAN AMERICAN MEN 1 6 7 2 -

2 WCWWlEN 1 1 1 1 TOTAL 1 7 8 3 0 3 AStAN PACtFIC AMERICAN MEN 5 5 WOMEN TOTAL 5 5 0 0 0 HISPANIC MEN 2 2 WOMEN TOTAL 2 2 0 0 0 NATIVE AMERICAN MEN WOMEN TOTAL 0 0 0 0

SUMMARY

MEN 4 157 161 to 13 -3 WORPEN 3 14 17 2 0 2-TOTAL 7 171 178 12 13 -1 a

4t1 DATA CURPDef TO0er30er AC2S COhspttfED ASOFoer30er Table 2

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i SENIOR LEVEL STAFF - ACTMTY IN FY 1997 TOTAL AGE AGE ON CHANGES IN FY 97 TO DATE ETHNICITYlGENDER UNDER 40 40 AND OVER BOARD i AS OF 6I30/97 NET CHANGE N4 CREASE DECREASE WHITE l

MEN 1 28 29 2 3 -1

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WOMEN 1 3 4 1 1 0 TOTAL 2 31 33 3 4 -1 AFRICAN AMERICAN i EN 1 1 0 0 I WOMEN 1 1 1 1

TOTAL 2 2 1 1 ASIAN PACTIC AMERICAN I

MEN 3 3 1 1 WOMEN 1 1

, TOTAL 4 4 1 0 1 j HtSPANIC l MEN WOMEN 1 1 TOTAL 1 1 0 0 0 NATIVE AMERICAN MEN WOMEN j TOTAL 0 0 0 0 i

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SUMMARY

] MEN 1 32 33 3 3 0 WOMEN 1 6 7 2 1 1 TOTAL 2 38 40 5 4 1

• nts ALL DATA CUpmtwT 7063F97

., AGES COMPUTED AS OF emWST I

Table 3

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SUPERVISORS AND MANAGERS - ACTIVII f IN FY 1997 TOTAL AGE AGE ON CHANGES IN FY 97 TO DATE --

ETHNICITY / GENDER UNDER 40 40 AND OVER BOARD AS OF 6130/97 gNCREASE DECREASE NET CHANGE WHITE i MEN 14 307 321 19 36 -17 WOMEN 6 47 53 3 7 -4 TOTAL 20 354 374 22 43 -11 AFRICAN AMERICAN MEN 1 16 17 2 2 0 11 12 1 1 WOMEN 1 TOTAL 2 27 29 3 2 1 ASIAN PACIFIC AMERICAN MEN 15 15 WGMEN 4 4 TOTAL. 19 19 0 0 0 HISPANIC MEN 5 5 WOMEN 1 1 TOTAL 6 6 0 l

NATlVE AMERICAN MEN 1 1 WOMEN O TOTAL 1 1 0

SUMMARY

MEN 15 344 359 21 38 -17 WOMEN 7 63 70 4 7 -3 TOTAL 22 407 429 25 45 -20 woTEs ML DATA CURRENT TO 677W97 AGES COMPUTED AS OF 6/3397 Table 4

9 Attachment 1 l

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l EEO ACCOMPLISilMENTS FOR THE PERIOD OCTOBER 1,1996 TO JUNE 30,1997 l

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1. ENilANCING OPPORTUfg. TIES FOR RECRUITMENT / ADVANCEMENT OF WOMEN AND MINORITIES IN PROFESSIONAL POSITIONS i

'Ihe Agency utilizes various methods of advertising to recruit for entry level and higher level positions requiring work experience, in coordination with the National Association of Colleges and Employers, we advertise for entry level engineers and scientists through a network that extends to 1600 colleges and universities nationwide. Additionally, recruitment brochures and job applications are furnished to career service offices at 170 colleges and universities (including l

several colleges having significant minority enrollment).

For minorities and women with work experience, vacancies are announced through the Federal Research Service, the Office ofIluman Resources (liR), and on the World Wide Web, as well as injoumals and newspapers.

More than 50 employees were enrolled in the three developmental programs for secretaries, clerical employees, and administrative assistants. IIR provided career guidance and IDP assistance to several of these employees.

NRC participated in the Women's Executive Leadership (WEL) Program, a developmental program that helps prepare high potential Federal employees at the G0 11/12 level for future leadership positions. During this period NRC supported two white women and two liispanic men in the WEL Program. Two white women and one African American woman were selected in June for the 19971998 WEL Program.

During the first nine months of FY 1997,66 employees were assigned or hired into professional positions. Included in that number are 7 white women,49 white men,3 African American men, 4 African American women and 3 Asian / Pacific American men.

During FY 1997 we completed selections for rounds two and three of the Resident inspector Development Program. A total of twenty two selections were made (ten in the first round and twelve in the second round). All selectees are white male in an efrort to attract more women and minorities for this program, round three included advertisements in MAES, Minority Engineer, ll' omen Engineer, Society ofII' omen Engineers, Power Engineering andNuclear News. Future advertisements will appear in Hispanic Engineer, U.S Black Engineer, li'inds of Change, Diversity and Careers in Engineering, Journal ofthe NTA andNSBEJournal.

In FY 1997, the Agency recruited for the NRC Graduate Fellowship Program. Thirty nine eligible candidates applied (24 white men, two white women, one liispanic man, three African American women, two African American men, two Asian / Pacific American women, one l

Asian / Pacific American man, one Native American woman and three men who did not self identify); of the 39,11 (eight white men, one white woman, one Asian / Pacific American man and one Asian / Pacific American woman) were selected for in person interviews with NRC officials (one white man declined to be interviewed). Of those inteniewed one white woman l and one white man were selected.

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4 To date, we have attended three recruitment events to attract Native American applicants. These l events were sponsored by colleges and universities or regional chapters of the American Indian l Science and Engineering Society (AISES). On April 11 13,1997, we attended the 1997 Region l IV AISES Conference in Rochester, New Yerk. We will attend the Annual AISES Conference in November of this year. Advertisements were placed in fourjoumals targeting Native American candidates.

We have contacted a local representative of AISES to explore cooperative education program possibilities. Given the relatively small population of Native Americans in engineering and science, our strategies for the upcoming year will focus strongly on development of our relationship with AISES and individual contact with Native American students and professionals. In addition, we have obtained a list of universities with high percentages of Native Amerie:.n engineering graduates and will add them to our recruitment schedule starting in the Fall of 1997. We also plan to send the universities recruitment material and place advertisements in their campus publications.

We attended 13 recruitment events to attract 11ispanic applicants. These events were sponsored by colleges and universities or regional chapters of the Society ofIlispanic Professional Engineers, the Ilispanic Association of Colleges and Universities, the National Association of Ilispanic Executives (NAllFE), or other 111spanic organizations. The primary goal of NA11FE is to enhance opportunities for llispanic Americans to serve in high level positions in the Federal sector.

Data provided by the Engineering Workforce Commission of the American Association of Engineering Societies helped us to identify other colleges with a high number ofliispanic engineering graduates. We are targeting these schools for recruitment through campus visits, mailings, and advertisements placed in campus publications.

For entry level professional positions, we are recruiting at educational institutions that are members of the llispanic Association of Colleges and Universities (llACU), llistorically Black Colleges and Universities (IIBCU), and at campuses with significant diversity among their graduating engineers and scientists. Women and minority professional employees serve a members of recruitment teams, Recruitment visits include attendance at career fak 'vell as networking with engineering and science faculty and societies on campus.

Oak Ridge Institute for Science and Education (ORISE) sent NRC Graduate Fellowship Program information to students and faculty from the NRC liBCU Facuhy/ Student Research Participation Program. Included in this list are students who may have an interest in health physics and nuclear engineering. Additionally, a direct national mailing was made to more than 600 science and engineering faculty at liBCUs and IISis. Program announcements were sent to the campus newspapers and placement offices. Presentations, including discussion of the NRC Graduate Fellowship Program, were made to the N clear Engineering Department lieads and to Academic Directors of Health Physics Programs.

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2. EXPANDING Tile POOL OF WOMEN AND MINORITIES ELIGlHLE FOR l

SUPERVISORV. MANAGEMENT. EXECUTIVE. AND SENIOR LEVEL POSITIONS The pool of women and minority employees eligible for supervisory, management, executive, and Senior Level positions decreased from October 1,1996 to June 30,1997, The number of -

women in grades GG-13 through GG 15 decreased from 431 to 425, but minorities at the same grade levels increased from 345 to 346.

As of June 30,1997, the number of women in the Senior Executive Senice (SES) increased 13%

to 17 and the number of minorities in the SES increased 25% to 15. Also as of June 30,1997, the total number of employees in Senior Level Senice (SLS) positions was 40, including 29 white men,4 white women,1 African American man,1 African American woman,3 Asian / Pacific American men,1 Asian / Pacific American woman and 1 Hispanic woman.

The Executive Resources Board Group continued its nctivities during FY 1997, reviewing Best

-Qualified Lists for 11 GG 15 positions, one SLS position, and 12 SES positions and bringing to the attention of Office Directors and Regional Administrators their responsibility to ensure that selecting officials provide appropriate consideration to well-qualified minority and women applicants.

3. ENilANCING OPPORTUNITIES FOR NTTRACTING. DEVELOPING. ANQ RETAINING DISAHLED EMPLOVEES We continue to recruit for persons with disabilities. During this fiscal year, contacts were made with potential applicant sources including the President's Committee on Employment of People With Disabilities (Internet), Job Ready Disabled Veterans Connection, "Able Beneficiaries' Link to Employees," Job Accommodation Network, National Association of the Deaf, National Information Center on Deafness, American Foundation for the Blind and the Lighthouse,Inc.

Advertisements were placed in professional magazines and newspapers. Several applications were received from various sources. These applications are referred to appropriate program offices for consideration as vacancies occur.

NRC continues to participate injob fairs and attend conferences for persons with disabilities, Vacancy announcements are sent to colleges and universities and state rehabilitation senice offices. We continue to provide developmental opportunities for persons with disabilities by facilitating their participation in technical and management training. Individual Development Plans are developed for persons with disabilities as part of the Agency's career counseling program.

The Program Coordinator who serves as the primary contact for employees with disabilities also serves as liaison with other NRC offices to provide reasonable accommodation senices when 13

required by persons with disabilities. During FY 1997, the Agency undertook a variety of actions which directly benefitted employees with disabilities. These actions include:

o Installation of automatic door opening devices in OWFN and TWFN o Modification of bathrooms in TWFN o Purchase of 7 ergonomic chairs,6 ergonomic keyboards,8 ergonomic wrist pads, three 17" computer monitors for visually impaired employees, and 1 TTY service for a hearing impaired employee.

I L. IMPROVING COMhiUNICATION ABDUT EEO AND AFFIRMATIVE ACTION OBJECTIVES. lMPROVING MANAGEMENT RESPONSIVENESS. AND EVALUATING PROGRESS The Deputy Executive Director for Management Services accompanied by the Director of SBCR, the Director ofIIR, and the Director of Administration visited Region Ill which was the first of four planned visits to the Regional offices. The purpose of the visit was to discuss goals and objectives of the three offices. Meetings were held with the Regional Administrator and principal staff and with all emuloyees.

The Director, SBCR, met with all office directors and has started meeting with division directors to discuss the goals and objectives of the Agency's EEO program, and ways to support the specific goals. The Director, SBCR, also visited Region 1 and discussed EEO initiatives / goals and ways to achieve these goals.

During the first six months of FY 1997, SBCR and the EEO Advisory Committees sponsored several special events and exhibits to communicate and publicize contributions made by women and minorities. Speakers included Dr. Carolyna Smiley Marquez to celebrate the heritage and rich culture of the Native Americans during Native American Heritage Month; Dr. Dennis Kimbro to commemorate the life of Dr. Martin Luther King, Jr.; Ms. Gwendolyn Boyd to celebrate national Black llistory Month; Dr. Audrey Nelson Schneidner along with a dramatic presentation of Sojoumer Truth's speech by Ms. Janie Taylor to commemorate national Women's liistory Month; and Dr. Susan Bean along with the Manipuri Dancers to celebrate Asian Pacific American lieritage Month. Poster exhibits were featured for each of these events as well as for National 11ispanic lieritage Month, Women's Equality Day, and National Disability Awareness Month.

Career awareness seminars were sponsored in December 1996, and in April 1997. SBCR, the llispanic Employment Program Advisory Committee, and the Office of Nuclear Materials Safety and Safeguards jointly sponsored " Career Strategies" seminars, which provided participants with the tools necessary to " Manage Multiple Priorities." In June 1997, SBCR sponsored a career seminar focusing on the skills needed to " Strive and Sunive"in today's market.

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The Federal Women's Program Advisory Comtnittee held an employee constituency meeting in January 1997 to provide an overview of the Committee's role and responsibilities, to introduce the committee members, and to identify employee concems. The regions participated in this meeting via conference call. As a result, all Advisory Conunittees are soliciting input from and interacting on a regular basis with regional liaisons. Three EE0 subcommittees were formed to address specific areas of concemsjointly identified by the seven EEO Advisory committees. The specific concems are merit stafung, performance monitoring, and managing diversity. The three subcommittees ha' 9 worked closely with SBCR and HR to gain a better m.derstanding of the Agency's human ruources/EEO/ Affirmative Action programs, policies, and procedures; to gain consensus in addressing issues; and to provide management with recommendations in support of the Agency's goals. Recommendations from the three subcommittees are included in Attachment 4 l

along with the staff responses to these reconunendations. To ensure understanding and sufficient communication of the subcommittee issues and subsequent recommendations, the EE0 subcommittees will host an employee meeting to share the results of theirjoint efrons later this fiscal year.

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Attacimient 2 i

r MARCH 7,1997, STAFF REQUIREMENTS MEMORANDUM 1

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%/ 5 e . . . + ,o March 7, 1997 0FFICE OF THE SECRETARY MEMORANDUM TO: L. Joseph Callan Exe ie Te tor for Operations l

FROM: Jol C. H y1*, Secretary

SUBJECT:

ST F REQUIREMENTS - BRIEFING ON EEO PROGRAM (SECY-97-021), 10:00 A.M., TIRTRSDAY, FEBRUARY 20, 1997, COMMISSIONERS' CONFERENCE ROOM, ONE WHITE FLINT NORTH, ROCKVILLE, MARYLAND (OPEN TO PUBLIC ATTENDANCE)

The Commission was briefed on the EEO program by the NRC staff .

l and representative members of NRC's EEO advisory committees. The Commission requested that the next EEO briefing be expanded to iriclude a panel of office directors t,o brief the commission on their implementation of EEO program policies, including topics concerning pre-selection, development of management skills, and evaluation of those skills as a part of job performance. The commission also suggested that consideration be given to implementing the SES development and supelvisory development programs on a more systematic basis in concert with work force needs.

(EDO) (OP/SBCR) (SECY Suspense: 8/29/97) 9700046 cc: Cnairman Jackson Commissioner Rogers Commissioner Dicus Commissioner Diaz Commissioner McGaffigan OGC CIO CFO OCA OIG Office Directors, Regions, ACRS, ACNW, ASLBP (via E-Mail)

PDR - Advance DCS - P1-24

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STATEMENTS BY CARL J PAPERIELLO, DIRECTOR, OFFICE OF NUCLEAR l MATERIALS SAFETY AND SAFEGUARDS; KAREN CYR, GENERAL COUNSEL; AND i

ARTHUR W BEACH,IEOlONAL ADMINISTRATOR, REGION 111 t

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( Statement by: Carl J. Paperiello June 12,1997 IMPLEMENTATION OF EEO PROGRAM POLICIES WITIIIN NUCLEAR MATERIAL SAFETY AND SAFEGUARDS My managemeat philosophy is, "Since the essence of a manager's job is to achieve results through the efforts of others, staffing is one of the highest priorities for a manager." The staffing process involves both the hiring and training of the most capable staff resources will permit.

Currently, about 25 percent of the Nuclear Material Safety and Safeguard (NMSS) staff have Ph.D.'s and about another 25 percent have master's degrees.

1 require any employee who inspects or conducts licensing activities with signature authority to be trained and qualified in accordance with MC 1245 and 1246. I have had these manual chapters revised to ensure they adequately encompass NMSS activities. I require section chiefs to put in place a training plan for all new employees, even if the employee's activities are not specifically covered by the inspection and licensing manual chipters. I personally meet with i

new employees, dming which time I emphasize the importance of the training plan.

All NMSS managers are required to take managerial training as a priority in accordance with the NRC's Mandatory Basic Supenisory Core program. I track completion of all training, managerial and staff, in the NMSS operating plan. Except for those becoming supenisors in the past year, NMSS managers have completed virtually all the required managerial training. New supenisors are completing their training at an acceptable rate. Additionally, in FY 1997 all NMSS managers and supenisors will be required to attend refresher training in the performance appraisal process. I expect that if the results warrant, I will require this refresher training on an annual basis. NMSS is working with the Office of Personnel to develop this training.

Last year standards and elemen" of all NMSS Section Chiefs were revised to place increased emphasis on management by spt ting the standard management element into two elements: one for human resource management and a second for financial and contractor resource management.

The practical result is that two of the usual five elements in a Section Chief's appraisal deal with resource management rather than the one in five.

NMSS has initiated a program with the Office of Personnel and the Office of Small Business and Civil Rights to establish liaison with colleges and universities in the Washington, D.C. area to focus on entry level recruiting. This serves to belance the Office with respect to grade level and also recruit well-qualified women and minorities who are well represented in area schools.

To help deal with issues concernirig potential preselection, selecting officials are required to discuss with me all GG-14 and GG-15 promotions. All "A" or "best qualified" candidates are inteniewed by the selecting official and I require the selecting official to show me an analysis to 3-1 k

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support the particular selection. My goal is not to second guess the selecting official but rather to ensure the selection was made in accordance with merit principles C.iearly, more needs to be done. Standardizing and reducing the number of position descriptions, develd went of standard vacancy announcements and rating factors, and development of performan. oht. : d rating criteria are steps needed in this direction.

Finally,I would note that four SES managers in NMSS are women, two are minority males. Of the two senior level positions, one is filled by a woman.

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COhihilSSION EEO BRIEFINO OFFICE OF THE GENERAL COUNSEL Recent Commission papers on the NRC EEO Program have focused on (a) Agency efforts to enhance career opportunities for women, minorities and those with disabilities. In addition, at the EEO Commission briefing in February of this year there was specific focus on (b) what can be done to avoid preselection concerns and (c) the development of management skills with the i goal of evaluating those skills as part ofjob performance. OGC is continuing a number of I programs and practices that are consistent with the overall Agency effort in these areas.

Enhancing Career Opportunities for Women. Minorities and Those With Disabilities OGC believes that rotational assignments are a useful means of enhancing career development.

We have encouraged stafTmembers to seek rotational assignments to enhance their knowledge of the Agency's functions and to provide opportunities to interact more frequently with NRC officials outside of OGC. Many women and minority employees in our Office have participated in this program, including those who in recent years served in rotational assignments in NRR, IRM, OP, OC, OE and Offices of Commissioners. Last year, one of our attomeys served on a rotational assignment to the Office of Chairman Jackson. One of the Regional Counsels panicipated in a rotational assignment with Chairman Jackson and was selected to serve as the Chairman's Legal Assistant. An OGC attomey served a three month rotational assignment to the White House. Two OGC staff members recently participated in the Women's Executive Leadership Program under the auspices of OPM. Among the rotational assignments arranged as part of this program were details to the Department of Justice, an NRC Region and other offices within the Agency. One OGC attorney is currently on rotational assignment to the Office of Small Business and Civil Rights.

The reason we encourage staff members to participate in rotational assignments is to broaden their professional background and enable them to better appreciate the regulatory mission of the Agency in which they serve. Moreover, rotational assignments enhance the ability of the staff to network within and outside the Agency, and to demonstrate their skills to those outside of OGC.

The importance of rotational assignments to employee career development is demonstrated by the fact that in the past year three OGC staff members have accepted permanent positions in offices in which they had served on rotation. We are pleased that women and minority staff members are well represented among those who have participated in the rotational assignment program.

Similarly, OGC has accepted on rotation a number of employees from other offices who can contribute to its mission or learn from serving in the Agency's legal office. A staff member from NRR and from OCAA rotated into OGC and contributed significantly to legal support for the 3-3

NRC enforcement program. Another employee rotated into OGC and competed successfully for a promotion to a permanent position within the Office.

OGC continues to offer employees a variety of developmental training programs that are designed to enhance their skills and facilitate career advancement. These programs have included paralegal training that provides an opportunity for those in clerical or administrative positions to become certified paralegal specialists. Many women and minority staff members have participated in this program and as a result have become more effective in their current positions. Several have competed successfully at the NRC and elsewhere for paralegal positions.

One of our paralegal specialists enrolled in law school. With the Agency paying for certain courses, as appropriate, the employee graduated from law school and is now a licensed attomey qualified to compete for the next appropriate Attomey vacancy in the Agency.

Attomeys in OGC are encouraged to maintain their legal expertise and skills by panicipating in off-site seminars and conferences. These include courses presented by the Department of Justice, the American Bar Association, the Federal Bar Association and the Office of Personnel Management. Women and minorities are well represented among the staff attending these courses.

l Similarly, women and minority attomeys are among those who recently have availed themselves of the opportunity to take Agency funded post graduate courses at local law schools in the areas of environmental law and employment law. One of our attomeys participated in a highly acclaimed trial advocacy program sponsored by the National Institute of Trial Advocacy (NITA).

The hallmark of OGC reemitment through the years has been the honor law graduate program.

Until this year, the program recently has been "on hold" because of FTE limitations. However, women and minorities are very well repres:nted among the most recent honor law graduates who joined the Agency. These attorneys have performed admirably and contributed significantly to the mission of OGC. As they are promoted to higher grades, it is important that they be provided career opportunities in senior positions in an attempt to encourage them to continue their careers at the NRC While OGC has reduced the number of supervisory positions in the Office, there remain executive positions as well as several senior level positions to which these attomeys can aspire. To prepare them to compete for these career opportunities in the future, attomeys-including women and minorities--are provided training not only in substanth e legal areas but in management and supervision through participation in programs such as the Agency's SES Candidate Development Program, Supervisory Development Program and OPM's Women's Executive Leadership Program.

OGC has a number of attomeys who have disabilities. Through the years, the Office has provided these talented staff members the accommodation needed to allow them to function very effectively in their positions. Whether it be specially designed office space or the purchaae of state-of-the-art equipment, the Office's investment in accommodating the special needs of these 3-4

employees was a sound one since the Agency continues to benefit from their substantial skill and expertise. Most recently, a senior OGC staff member has suffered from an illness that temporarily made it difficult for him to travel to work. As a result, we were fortunate to be able to set up a state-of- the-art videoconferencing system that in effect enabled him to personally attend meetings with senior OGC management and staff.

OGC takes seriously the goal of the NRC, as re-enforced by President Clinton's formal policy on the subject, to establish a " family friendly" work environment for its employees. Through the years, as permitted by workload in various segments of the Office, OGC has accommodated those whose family responsibilities require that they convert from full-time to part time schedules temporarily or, in some cases, permanently. The primary beneficiaries of these fiexible approaches have been women. Moreover, on a number of occasions, staff members with pregnancy-related difliculties or particular personal situations have participated in the " work at home" program. We believe that the family-friendly approach OGC has taken through the years has enabled several valuable staff members to remain with the NRC.

Avoiding Concerns About Pre-selection OGC is well aware of concems that have been expressed recently about pre-selection of staff in the Agency, especially in the context of competitive promotions. We believe that to avoid these concerns, management must cast a broad net in soliciting applicants for competitive promotions.

The goal should be a selection process that permits a broad range of applicants to participate.

Vacancy announcements and rating criteria should not be crafted so narrowly as to create the appearance that the position is being established for a particular individual.

Last year, OGC posted several Senior Attorney positions at the Grade 15 level. We knew that competition for these positions would be intense. To ensure that the process would not only BE fair, but would be PERCElVED as fair, we wrote vacancy announcements that were not unduly restrictive and did not unnecessarily require experience in narrow, specific subject areas of the law. The use of well-crafted vacancy announcements, and selection criteria that were substantially related to the day-to-day duties of the position, were instrumental in enabling us to select outstanding applicants for competitive promotion.

All NRC attomeys at the Grade 14 level were provided an opportunity to qualify and compete for these positions-without regard to the specific area oflegal expertise each person had developed with the Agency. This is because we have generally found that attomeys with strong legal skills can perform at an outstanding level in many different substantive areas of the law. As a result, we had a broad array of highly qualified candidates from which to select.

We maintain that as a result of our approach to this selection process, each applicant believed 3-5

that he or she had a fair opportunity to compete for a Senior Attorney position--an opportunity which has grown increasingly rare in recent years.

We pursued a similar approach with selections for two Grade 14 Attomeys and two selections for positions in the program support area within OGC We crafted vacancy announcements that focused not simply on what the job required in the past, or what rating factors might apply in i other offices or other agencies for this position, but on qualifications and rating factors that are l

related to the day-to-day duties of the position as they are currently within the General Counsel's office of the NRC.

We are pleased that women and minorities were well represented in the group of applicants who were selected competitively for positions within OGC during the past year.

In sum, with respect to avoiding pre selection concems, experience has shown that the use of out-dated or marginally relevant decision criteria have the effect of screening out well-qualified candidates. There are two unfortunate results from this. First, the Agency loses an opportunity to select someone who in reality is highly qualified for the position. Second, those who are not selected based on reasons that are only marginally relevant to the duties of the position may have reason to conclude that the outcome of the selection process was tainted by management's desire to pre select a particular applicant.

Develonment of Management Skills and Evaluating Those Skills As Part of Job Performance OGC encourages 'ts managers and supenisors to maintain the skills necessary to effectively lead a modern, comput:r-assisted Govermnent legal office. Consistent with NRC policy and practice, those currently in SES positions are required to complete 24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br /> of training that is designed to hone their management skills. This training is in the form ofin-house seminars sponsored by the Office of Personnel, management .=eminars outside the Agency or self-study at the individual training center maintained by OP OGC management staff has attended executive training at the highly acclaimed Federal Executive Institute (FEI), the Executive Decision making Program at the National Defense University and leadership seminars at George Washington University. A number of our staff members have attended training in alternative dispute resolution at the Federal Mediation and Conciliation Senice and OPM's Management Development Center.

OGC attorneys have participated successfully in the NRC's most recent SES Candidate Development Program and Supervisory Development Program. One of those attorneys serves in a Senior Level position; another is now in a Senior Supenisory Attomey position.

OGC educates its managers about EEO and human resources issues through participation in Agency training and development courses. This includes participation in workshops on sexual harassment prevention, the course entitled "EEO for Managers and Supenisors" and town 3-6

meetings on EEO that have been presented by the Office of Small Business and Civil Rights.

l . Managers and supervisors in our office are expected to implement the principles they learn in formal training. liow do we determine whether this is happening? In a word, the answer is communication--communication between managers both horizontally and vertically in the OGC l

organization as well as communication between management and the staff. Through ongoing l conununication of both an informal and formal nature, we can assess the effectiveness of our management skills. For example, weekly meetings attended by all OGC managers facilitate I effective management planning for the future and allow for evaluation of how effective we have been in the past. These meetings, and more frequent interaction among smaller groups of OGC managers, present invaluable opportunities for collegial discussion and resolution of management and human resources issues.

We are attentive to feedback from our staff about how management perfonnance can be improved. This feedback results from staff management interaction that is both informal and ongoing or may be more fomial such as the Labor-Management Pannership process. An example of productive input from employees was a recent suggestion from the OGC Labor-Management Partnership Committee. The Committee suggested a core group of training courses designed to ensure that attomeys are as proficient as possible in performing legal research on-il As a result, both management and staff are currently taking specially designed mandatory traimng courses which will enhance attomey efficiency and contain the cost of computerized legal research.

Managers and supervisors are accountable for the quality of their management effectiveness, as reflected in the quality oflegal senices provided to the Agency by their legal staff. Feedback to managers and supervisors regarding their performance is provided in a number of ways, in addition to ongoing informal feedback as issues arise, performance evaluation of a more fomial nature is provided during the mid-year performance review, the annual performance appraisal, the performance awards program and the triennial SES re-certification program.

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IMPLEMENTATION OF EEO PROGRAM POLICIES IN REGION Ill EEO COMMISSION BRIEFING - SEPTEMBER 19,1997 By A. Bill Beach, Regional Administrator First and foremost, Region III is committed to equal employment opportunity (EEO) for all our employees mi for all applicants for employment. We fully support the agency's affirmative action objectives and initiatives.

Demographics Currently, Region III has 240 full and part-time employees. The following table depicts the workforce demographics by ethnicity and gender. Thirty-four percent of the staff are women and 12% are minorities. Sixty-four percent are between the ages of 40-68 and less than 2% are disabled.

R1GION IU PROFILE A5 OF Jt:NE 30.1997 ETHNICITY M OMEN MEN TO1AL Africas Amencas 5% (13) 1% (3) 7% (16)

Asme Factfic 1% (3) 2% (5) 3% (8)

Hupmer 0.4% (1) 2% (5) 2.5% (6) hative Amer,cae 0 0 0

% hite 27 % (64) 60 % (146) 87.5 % (210)

[sunAL J4% (51) 65 % (159) 100% G40) l During the past year,21 new employees were hired to work in Region III, including 12 white men,5 white women,2 African American men,1 African American woman, and 1 Hispanic man. During this same period, we promoted 16 employees, including 8 white men,4 white women,1 African American man,1 African American woman,1 Hispanic man and 1 Hispanic woman. Positions filled by women and minorities include 3 Senior Resident Inspectors. In addition, an African American woman was promoted to the position of Secretary to the Regional Administrator. The region supported 37 rotational assignments to enhance the career development ofits managers and staff. Women and minorities were assigned to positions such as Acting Deputy Regional Administrator, Acting Director of the Division of Resource Management and Administration, Acting Chief of the Materials Licensing Branch and Enforcement Specialist.

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Oneolne EEO Initiatives During the 12 months of my tenure as Regional Administrator,I have communicated the agency's EEO policy and my expectations for implementing this policy to all managers, supenisors and staff. At my request, the Director of the Office of Small Business and Civil Rights met with my management team and staff to discuss EEO status and objectives, in support of this initiative, the Deputy Executive Director for Management Services and her management team, including the Director of the Office of Human Resources and the Director of the Office of Administration came to Region Ill to discuss EEO and other administrative issues. My plan is to establish this as an annual meeting. To enhance I communications further,I require managers and supervisors to discuss EEO issues and initiatives during quarterly performance reviews. This is essential since annual appraisals address the performance of managers and supervisors on the fulfillment of their responsibilities in achieving EEO objectives. We have developed an EEO reference manual for managers and supervisors which consolidates EEO policies, guidance, initiatives and regional demographics.

To systematically enhance career development for regional staff, we are revitalizing the IDP and mentoring programs. I am requiring supervisors and managers to encourage staff to develop IDPs and to ensure that new employees are assigned mentors. To assist them in facilitating these efforts, I am expanding the duties of our Employee Development Specialist to include provisions forindividualized advice and assistance to staff on developmental opportunities, including cross training and skill building activities.

Additionally, she will be required to monitor the progress of employees in achieving career development objectives. Our support of rotational developmental assignments will continue to be a key factor in this initiative.

With assistance from the Region III EEO Advisory Committee, we are identifying additional recruitment sources for attracting women and minority applicants, including those at the entry level. Our plan is to develop ongoing relationships with faculties, career counselors and professional societies at educationalinstitutions having significant minority representation, to emphasize the NRC's interest in recruiting and hiring women and minorities. Additionally, women and minorities will continue to be included on recruitment teams.

Finally, I am meeting on a regular basis with our personnel staff and on a quarterly basis with members of the regional EEO Advisory Committee to discuss employee concerns and ways to improve the working environment in the region.

Actions to Reduce the Perception of Preselection We fully support the initiative launched by the Office of Human Resources to review and update position descriptions to accurately reflect current duties and responsibilities of the 3-9

positions. Additionally, to avoid the appearance of a Rating Panel that may favor a certain candidate, Region III established a process for an annual rating panel several years ago.

On an annual basis the Regional Administrator appoints five " permanent" panel members to serve for a period of one year. In an effort to increase women and minority representation we will extend our panel membership to other regions and NRC headquarters. I am requiring selecting officials to interview all"A" or"best qualified" candidates. I, in turn, review all selections for new hires, promotions, and competitive reassignments before offers are extended to ensure fair and equitable implementation of the agency's merit selection process.

Development and Evaluation of Manancment Skills Twenty-eight of the regions 29 managers and supervisors have completed the formal training requirements outlined in Management Directive 10.77, Employee Development and Training. Additionally, new managers and r1pervisors are provided a Supervisor Training Syllabus that includes references of all management procedures, including EEO policies and objectives. We require the new manager / supervisor to review these references within six months of being appointed to a supervisory position. Progress on completing the Syllabus is tracked and reviewed monthly to ensure successful and timely completion.

In an effort to focus the 24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br /> management training requirements on the needs of regional staff, we provide hour courses in the regional office such as "Providing Positive Reinforcement," and " Coaching for Improving Performance." Furthermore, to emphasize the importance ofinitial and continuing education and to provide a forum for discussion and evaluation of training courses,I have revitalized the regional training council. The council meets on a monthly basis and is chaired by 'ne Deputy Regional Administrator.

To provide individual broadening experiences, and to enhance communications and fairness, Division Directors and Branch Chiefs are rotated between divisions. I have also initiated semiannual management retreats for senior managers and an annual management retreat for Branch Chiefs as additional forums to enhance communication and teamwork.

Finally, we are striving to provide more honest and realistic performance appraisals. I have implemented quarterly performance reviews for all managers / supervisors and staff to improve communication between the groups. The reviews are intended to provide more frequent interactions for discussion of performance strengths and weaknesses, training needs, career development options and EEO initiatives. The result should be greater awareness ofindividual needs and fewer surprises at the end of the performance rating period.

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Attachment 4-l JOINT STATEMENT BY THE EQUAL EMPLOYMENT OPPORTUNITY ADVISORY- l COMMITTEES AND THEIR THREE SUBCOMMITTEES i STATEMENT BY THE JOINT LABOR MANAGEMENT EQUAL EMPLOYMENT OPPORTUNITY COMMITTEE j

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EEO ADVISORY COMMITTEES JOINT STATEMENT Chairman Jackson, Commissioner Dieus, Commissioner Diaz, and Commissioner McOaffigan, Executive Director for Operations, and the Office of Small Business and Civil Rights, the Equal Employment Opportunity Advisory Committees (the Committees) sincerely appreciate the opportunity to express our views and concerns regarding the Nuclear Regulatory Commission's (NRC's) Equal Employment Opportunity (EEO) program. The advisory committees are:

Affirmative Action Advisory Committee (AAAC), Advisory Committee for African Americans (ACAA), Asian Pacific American Advisory Committee (APAAC), Committee on Age Discrimination (CAD), Federal Women's Program Advisory Committee (FWPAC), and Hispanic Employment Program Advisory Committee (HEPAC).

On January 27,1997. the Committees reported in SECY-97-021 on the status of the issues of common interest to all the Committees. The Committees, in consultation with the Office of i

Small Business and Civil Rights (SBCR) and the Office of Human Resources (HR), have continued to work together to address and resolve the open Joint Statement issues and questions raised by the Committees. In 1996 three Subcommittees were established comprised of members l

from each of the EEO Committees as well as SBCR and HR. The Subcommittees created were:

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1) Performance Monitoring,2) Managing Diversity, and 3) Selection. A report on each Subcommittee's activities is included in this statement. Specific issues representing the additional concerns ofindividual committees outside the scope of the Subcommittee efforts are included as attachments to this statement.

Performance Monitoring Subcommittee Report Since the last EEO Commission Briefing, the Performance Monitoring Subcommittee has been working actively on the issue of" Monitoring and Evaluation of Affirmative Action Programs" (Issue No. 2 of Joint Statemem in SECY-96-157). While the programs / initiatives reviewed were not specifically established to address EEO, and statistics have not been kept regarding the career progression of employees who have participated in these activities, recruiting women and minorities is routinely stressed. As a result of this effort, a diverse group of participants is often identified. The Subcommittee is collecting and evaluating specific data associated with the Agency's programs and initiatives described in SECY-97-021. Review and evaluation of 18 of 34 initiatives are included in this report (Attachment 1). Each evaluation includes a brief descrip-tion of the program / initiative, and a review of relevant data and demographics. Where appropriate, recommendations are offered.

During the next six months, the Subcommittee will continue to work with SBCR and the Office of Human Resources (HR) to address and evaluate the remaining programs / initiatives and provide recommendations as appropriate.

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July 1,1997 MEMORANDUM TO: Irene P. Little, Director Office of Small Business and Civil Rights FROM: EEO A dvisory Committee Chairpersons

SUBJECT:

EEO ADVISORY COMMITTEES' JOINT COMMISSION BRIEFING STATEMENT The Equal Employment Opportunity Advisory Committees jointly conduct biannual Commission meetings with the Office of Small Business and Civil Rights (SBCR), Office of Human Resources (HR), and the Commission to discuss progress in implementing the Agency's EEO program.

Sir.ce the last Equal Employment Opportunity (EEO) Briefing (SECY-97-021), the EEO Advisory Committees have continued to work with SBCR and HR on the joint strategic plan which established three Subcommittees (composed of members of the Advisory Committees, SBCR, and HR) to address the open Joint Statement Issues (and associated questions) as well as other important issues. To date, progress has been made in the deliberations of these Subcommittees. A report from each of the Subcommittees is included in the attached EEO Advisory Committees' Joint Commission Briefing Statement. Specific issues representing the additional concerns ofindividual committees are included in Attachment 5.

The mutual cooperation, hard work and improved communications established last year continues among the EEO Advisory Committees, SBCR, and HR. These efforts have resulted in a positive approach to seeking resolution to long-standing issues. We believe a constructive framework has been established to develop policy alternatives that are effective and that address the concems and interests of all the EEO Advisory Committees.

If you have any questions, please contact Jos6 Ibarra at (301) 415-6345.

Attachments: As stated 4-1

Managing Diversity Subcommittee Report The objective of the Managing Diversity Subcommittee is to encourage senior level management to strategically support and lead the implementation of a Managing Diversity Process at the I NRC. The goal of this process would be to ensure that the NRC manages change effectively and efficiently, and to create an environment that maximizes the potential of every employee to do his or her best work. We believe the NRC employee is one of the Agency's most valuable assets.

Employees who are valued, who believe they are contributing, and who feel good about the organization are more productive. Therefore, Agency objectives should be met without giving unfair advantage or disadvantage to any person or group of persons.

In today's environment of downsizing and streamlining, Federal managers, especially NRC managers, are faced with tremendous challenges to do more with fewer and fewer people and with lower budgets. As a result, it has become more imperative to seek and maintain a highly skilled and competent workforce that enables the Agency to accomplish its mission. Change, as we know, is inevitable and we must take a hard look at the NRC human resource and managerial systems and ask tough questions conceming NRC's ability to maintain its competitive advantage in the workforce. Some questions could be:

Why don't NRC's human resources and managerial systems work naturally to meet the goals of MD?

Given the diverse workforce we have, are we getting the highest level of productivity?

What is the current morale of the NRC and how do employees feel about the Agency? .

To address these concems and assist the transition of the organization into one that is more empowering, we recommend that the NRC support a comprehensive and strategic managerial process to develop a natural capability that taps the potential of all employees. Af11rmative action initiatives and cultural diversity awareness should continue to be valued and maintained by the organization. However, we believe a Managing Diversity Process would assist in bringing about long-term organizational changes that support the changing goals and objectives of the Agency, create an environment that maximizes the potential of all employees, and support regulatory excellence.

In the recent past, senior management began to explore the viability ofimplementing a Managing Diversity Process at the NRC. On March 1,1996, Dr. Roosevelt Thomas briefed a select group of top Agency officials and some members of the Strategic Assessment and Rebaselining Steering Committee on the concept of managing diversity. Since this briefing, there have been significant changes in the Commission, in top management, and in the Office of Small Business and Civil Rights. Sustaining the Agency's co'mmitment to ensure equal opportunity for our culturally diverse workforce while promoting support of the Agency's vision and carrying out its mission is essential. A long-term conanitment to this goal should be emphasized, and a process identified that symbolizes the level of accountability of the leadership and management at the 4-3

NRC. We therefore recommend that further consideration be given to implementing this process at the NRC.

To assist in developing our perspectives, the Subcommittee has been collecting and will be considering information from the National Institutes of Health, the National Aeronautics and Space Administration, Hughes Network Systems, and Hewlett Packard regarding steps they have taken to manage a diverse workforce. Although the process varies in each organization, they believe they have been successful at different stages of the process in emphasizing the imperative nature of maximizing employee potential in a supportive organizational environment.

Our specific recommendations include the following:

l 1. Conduct a briefing and discussion (by Dr. Roosevelt Thomas) on the concept of managing diversity for top Agency officials and the EEO Advisory Committee and Subcommittee chairpersons.

2. Link the Managing Diversity process to the Strategic Assessment and Rebaselining Steering Committee initiative. (Reference the Multi-Year Implementation Plan)

3. Conduct awareness sessions on the Managing Diversity concept for all supeivisors and managers (including executives) and determine if an organizational assessment is needed.

4. Develop strategic steps and follow-through.

We thank the committee members for theirjoint effort in developing this statement, especially l the support from the Office of Small Business and Civil Rights and the Office of Human Resources, and for presenting diverse perspectives in understanding and developing our recommendations.

Selection Subcommittee Report During the February 20,1997 EEO Briefmg, the Selection Subcommittee discussed with the Commission the employees' concem with preselection and the action items the Subcommittee planned to pursue. The Subcommittee members then formed Review Groups, which included SBCR and HR representatives, to study the issues and develop recommendations. We are pleased to inform the Commission on our progress to date.

The first action hem we undertook was to establish the magnitude and nature of preselection prevalent at NRC. The Review Group formed for this purpose gathered information on recent instances where preselection seemed to have occurred. These instances occurred in vacancy announcements (restrictive rating factors, bia. sed rating criteria, restrictive qualifications, improper series or title of position), in the formation of rating panels, and in the decisions by Selecting Officials. Based on this resiew, we concluded that preselection does occur.

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A second Review Group studied the merit selection processes in comparable organizations, including Federal agencies, private organizations, and universities, in some organizations, the selection process is made by a panel and the final few candidates are inteniewed by three or more individuals, from different offices, to ensure that the best candidate is selected without undue bias from the Selecting Official. We recommend that NRC consider the use of such selection panels, particulativ for higher graded positions. However, we are still in the process of collecting and evaluating data from outside companies on the panel selection process. Creating an absolutely fair selection process is extremely difficult. Some of the organizations used consultants to study and revise their selection policy. We believe that the NRC could benefit from additional information on selection processes from comparable outside organizations, and recommend that such an effort be pursued.

I The third Review Group reviewed NRC policies, procedures, and practices related to the merit selection process included in Management Directive 10.15, " Merit Staffing Program," as well as applicable OPM policies and procedures. We concluded that the l Management Directive had been carafully written and was adequate to ensure fair l selection if followed as intended. We observed, however, that, in certain cases, the Management Directive could be misunderstood or incorrectly applied. We made a number of recommendations on the Management Directive and current selection process.

The Review Group, comprised of EEO volunteers and of employees of HR and SBCR with experience in this area, then considered how to modify procedures in order to assure that they comply with the goal of having an effective merit selection process. We are ca nced thet these modifications would significantly improve both the selection process and employee morale. Among the modifications that we recommend and have set forth in Attachment 2, are that there be a new NRC policy statement conceming preselection, periodic audits of merit selection cases, regular channels for redressing problems, a variety of training improvements, increased management experience in working with diverse groups of employees, more effective career planning, less use of noncompetitive assignments, creation of a standing group from which rating panels would be chosen, and enhanced communication. A proposed Policy Statement on Preselection is included in Attachment 3.

In addition, we developed a Checklist for the HR Specialist to use as a guide in discussions with Selecting Officials prior to posting a vacancy announcement. In order to identify problems, we met with a group of Selecting Officials wk reviewed the Checklist and provided input. The Checklist is included as Attachment 4. The Subcommittee believes that these recommendations would significantly improve both the selection process and employee morale.

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Summary Statement In 1996, the EEO Committees fonned a working relationship with SBCR and liR and -

have continued to work cooperatively on the three Subcommittees. During this period, we have made some progress on the three issues. However, in gathering the data for the analyses and in talking to our constituents, we continue to sense that NRC employees are skeptical as to the fairness of the system intended to provide equal opportunity for all.

We are confident the recommendations that we propose to resolve the issues, if implemented, will bring the NRC to a more equitable position. In conclusion, the EEO .

Advisory Committees appreciate the attention the Commission has given to our concerns.

Jacob Philip, Chairperson, Affirmative Action Advisory Committee (AAAC)

Reginald Mitchell, Chairperson, Advisory Committee for African Americans -

. (ACAA)

- Sudhamay Basu, Chairperson, Asian Pacific American Advisory Committee (APAAC)

Sharon Connelly, Chairperson, Committee on AB Discrimination (CAD)

Roxanne Summers, Chairperson, Federal Women's Program Advisory Committee (FWPAC)

Jose Ibarra, Chairperson, Hispanic Employment Program Advisory Committee (liEPAC) i 4-6

Attachment 1 PERFORMANCE MONITORING SUBCOMMITTEE Individualized Learning Center i The Individualized Learning Center offers employees access to training aids designed to enhance their knowledge and skills in a variety of functional areas. The Individualized Learning Center (ILC) has a wide variety of materials that headquarters and regional employees can use for self improvement. Examples of self-paced material include video and audio tapes, computer-based instruction. multiple media training in computer skills, secretarial skills, management / supervision techniques, communication, and more. The Center allows employees to obtain training needed in support of the Agency's mission at a pace conducive to their l schedules. The Subcommittee recommends that the Commission instruct the l staff to make usage data available for the purpose of future monitoring.

Graduate Fellowship Program The Graduate Fellowship Program supports employees who are recent engineering and science college graduates seeking to obtain advance study and practical work experience in health physics, and specialty engineering disciplines such as nuclear engineering, electrical engineering, criticality engineering, and probabilistic risk assessment.

The opportunity to participate in this program is available to these employees based on their academic record and satisfactory performance during the first six to nine months with the NRC. Recruitment efforts to attract interest to this program have been extensive. However, a limited number of minority applicants have requested enrollment in the program. For FY 1995 and FY 1996, 15 employees have participated in the program of which 8 (53%) were white men. 4 (27%) were white women, and 3 (2%) were Asian men. This program enables the Agency to develop advanced skills of technical employees. The Subcommittee recommends the Agency maintain its aggressive recruitment effort to attract minorities and women into the program.

Technical Management The Technical Management Program prepares employees trained and experienced in science or engineering to be proficient in managing technical projects and organizing and supervising technical personnel.

4-7

i Attachment 1 Often technical employees continue to meet additional educational and training goals only in technical areas. This program offers technical staff the opportunity to gain managerial expertise. It is sponsored and managed by Johns Hopkins University, and is made available to all technical staff. For FY 1995 and FY 1996. 25 employees have participated in the program of which 14 (56%) were white men. 2 (8%)

were white women. 5 (20%) were African American men, and 4 (16%) were African American women. The Subcommittee recommends the Agency continue-to offer this program and enhance advertising and recruitment efforts to attract employees, especially women and minorities.

NRC Senior Fellowship Program The Senior Fellowship Program is designed to fill the Agency's critical need for specialized skills for which expertise cannot be readily obtained. Since FY 1995, two requests have been made and two white men were competitively selected: one in FY 1995 for advanced expertise in instrumentation and control: and one in FY 1996 for advanced expertise in fracture mechanics (nondestructive examination). The Subcommittee recommends the Agency enhance employee awareness of the program and make a list available to all employees of disciplines critically needed in support of the mission.

SES Candidate Development Program The SES Candidate Development Program is designed to create an available pool of certified graduates to fill SES vacancies. It was last offered in FY 1994 and 23 participants were selected. To date. 14 (61% - 10 white men.1 African American man. 2 white women, and 1 Asian man) graduates have been placed in senior executive positions and 9 (39%)

have not been placed (1 Asian man,1 African American woman. 2 white women, and 4 white men). Note that 71% of those graduates placed were white men. This program enables a diverse group of employees to develop managerial skills in preparation for assignments to senior executive positions. The Subcommittee recommends a systematic approach to determine when this program should be activated, and enhance recruitment efforts to attract minorities when advertised.

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Attachment 1 Supervisory Development Program The Supervisory Development Program is designed to create a pool of graduates to compete for supervisory positions. Completion of this program does not guarantee the participant will receive or be selected for a supervisory position. Graduates will receive a presumptive "A' for supervisory / management knowledge and skill rating factors. This program was last offered in FY 1995 and 27 participants were selected (12 white men 9 white women. 2 African American women.1 African American man 1 Hispanic man. 1 Asian man, and 1 Asian woman), To date. 7 graduates I (26%) have been selected for supervisory positions, and 20 (74%) have not been selected. This program enables the Agency to enhance supervisory skills for a diverse group of employees. The Subcommittee supports this program and recommends a systematic approach to determine when this program should be activated and maintain recruitment efforts to attract women and minorities.

Intern Program The Intern Program is designed to provide structured training and developmental assignments to recent engineering graduates who have limited nuclear-related, industrial, and regulatory experience. This was a 2-year program for recent engineering graduates. During FY 1995 and FY 1996. 38 interns (5 African American women. 4 African American men. 2 Asian / Pacific American women. 3 Asian / Pacific American men. 2 Hispanic women. 2 Hispanic men. 8 white women. 12 white men) were competitively selected to participate in the program. This program provides an excellent opportunity to hire diverse groups of interns, especially minorities and women, and train them in nuclear regulatory / licensee methodology not readily available to the academic community. While selection for participation in this program is merit based, recruiting of women and minorities is stressed, and therefore it is supportive of EE0 goals. However, support for this important program has fallen to disturbing levels. This is one of the few tools that have traditionally been used to recruit women and minorities into technical areas. The Subcommittee recommends that support for this program be fully restored.

49 i

Attachment 1 Women's Executive Leadership Program The Women's Executive Leadership Program is a 12-month developmental program that provides supervisory / managerial training and developmental opportunities for high potential GG-11/12 employees, both men and women.

This program is under the direction of the USDA's Graduate School. For FY 1995 and FY 1996. nine (3 Hispanic women. 1 Asian woman. I white man, and 4 white women) employees have participated in the program. This program may enhance the career potential of mid-level employees and recruiting of women and minorities is stressed. The Subcommittee recommends that this program continue to be offered to enhance the career potential of mid-level employees and that it encourage more minority participation.

Rotational Process The Rotational Process offers employees the opportunity to gain experience that may enhance their career potential, and provides managers with additional resources to meet organizational objectives for a specified period of time. During FY 1996 and FY 1997, approximately 400 employees participated in rotational assignments. The Subcommittee recommends that this process continue to be offered to enhance the career potential of employees, and that backfills for rotations be advertised to assist in identifying potential replacements.

Certified Professional Secretary Program The purpose of the Certified Professional Secretary Program is to provide an opportunity for administrative staff to take college-level course work in support of professional advancement and to prepare participants for certification examination. Since FY 95. only 4 of 36 (11%) participants have completed the program and attained certification. Programs targeting administrative staff have the potential of supporting EE0 goals, as persons filling these positions are more likely to be women and minorities than the professional staff.

Given the changing nature of the job of administrative staff at NRC it is not clear that this program is an effective means of providing appropriate training end experiential opportunities for administrative 4-10

1 Attachment 1 staff. Therefore, the Subcommittee recommends that the staff reassess the program to determine if it continues to meet the needs for which it was designed.

Administrative Skills Enhancement Program The purpose of the Administrative Skills Enhancement Program initiatives is to provide opportunities for administrative staff to receive specialized training in accounting, budget and finance contract procurement, personnel, and paralegal. Since FY 95, only 6 of 41 (150 participants have successfully completed this program. Nearly all of the participants during the monitoring period were women, and about half were minorities. Given the changing nature of the job of the administrative staff at NRC. it is not clear that this program is an l effective means of providing appropriate training and experiential i opportunities for administrative staff. Therefore, the Subcommittee l recommends that the staff reassess the program to determine if it continues to meet the needs for which it was designed.

Computer Science Development Program The Computer Science Program offers employees the opportunity to complete college level training in computer technology and provides another source of applicants for computer-related vacancies. During FY 95 and FY 96. 35 participants have enrolled in the program and completed courses at their own pace. All of these participants were women and over half were minorities. This program may provide another source of applicants for computer-related vacancies and offer employees an opportunity to achieve their goals. The Subcommittee recommends that this program continue to be offered to enhance the career potential of employees, especially women and minorities.

Mentoring Program The Mentoring Program is designed to pair a more experienced employee who volunteers to assist a less experienced employee with his or her career goals and aspirations. Program objectives include improving the staff member's productivity and potential for advancement, supporting upward mobility and human resource development, improving staff morale.

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Attachment 1 and helping the Agency meet equal employment opportunity goals. Since FY 1995, approximately 100 participants have volunteered for the program. This program offers another approach to employee training and development. The Subcommittee recommends that this program continue to be offered employees to enhance their career potential.

Career Counseling Career Counseling offers employees the opportunity to obtain professional career advice in developing personal and professional strategies to achieve career goals. This program is closely linked to the Agency's Individual Development Plan and is conducted ili a confidential manner. Since FY 1996, 75 employees have received career counseling. This program assists employees in exploring and focusing on career goals and strategies in support of the Agency's mission. The Subcomittee recomends that the Agency continue to offer this service l to help employees focus their careers and enhance their career l potential.

I Student Career Experience Program (former Coop Program)

Student Temporary Employment Program (former Stay in School Program)

Sumer Employment Program:

The three programs listed above provide students the opportunity to gain experience that is directly related to their educational ar.d potential career goals. Currently, participation in these programs is maintained at low levels due to budget constraints and the overall impacts of downsizing. The program provides a significant source of potential employees, especially women and minorities. Since FY 1995, six students have participated in the Student Career-Experience Program and were assigned to technical duties. Since FY 1995. 18 students have participated in the Summer School Program and were assigned to technical and administrative duties. These programs provide significant sources of potential employees, especially women and minorities. The Subcomittee recommends that the Agency continue to offer these programs to attract student interest for employment considerations in the future and that participants be encouraged to consider full-time employment with the NRC.

4 12 i

Attachment 1 Individual Development Plan j

The IDP serves as a tool for employees to use in defining short- and long-term career goals and strategies. The IDP serves as one mechanism to use in the employee development process. Anecdotal evidence suggests j that the program is not valued by management and therefore is of little '

value to employees. The Subcommittee believes some managers sitpport the IDP but many others do not encourage employees to develop their full potential or skills in support of the Agency's mission. Employee l initiative and supervisory approval are not enough to make the process effective. Strong management support for the entire process is essential for the success of this program. The Subcommittee recommends that the IDP not only be established, but implemented and maintained on an ongoing basis. The Subcommittee recommends also the Agency continue to offer this process and enhance staff awareness of IDP training sessions made available to offices upon request.

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Attachment 2 SELECTION SUBCOMMITTEE RECOMMENDATIONS

1. Issue a policy statement by the Commission on the Merit Selection Process, listing those activities that are specifically prohibited.

2. Establish an independent body consisting of representatives from the EE0 Advisory Committees and Senior Management to conduct a periodic review of some of the merit selection cases and ensure that Office Directors and the Regional Administrators provide active leadership in the Merit Selection Process.

3. Communicate to all employees the name, telephone number, and E-mail address of the person or group that employees may contact.

either informally or anonymously, to register cases of possible discriminatory selection, and ensure that SBCR follows up on these cases.

4. Conduct workshops to inform employees about the Merit Selection Process and the recourse open to employees who have questions about the process.

5. Reinforce the message that the Office of Human Resources has a dual role: both to help the Selecting Official get the best qualified person for the vacancy and to ensure that merit principles are followed.

6. Communicate the importance of several aspects of the Merit Selection Process that do not seem to have been given adequate attention by upper management: up-to-date position descriptions and elements and standards (a situation made worse by constant reorganizations); annual management training requirements:

management responsibility for employee career planning and advancement, for example through the use of IDPs: managers who clearly demonstrate good managerial or communications skills: and performance awards based on good managerial and communications skills. Consistent enforcement of these measures would send a signal to both managers and employees that career development for 4-14 l

1

Attachment 2 employees and managerial and communications skills are as important as technical skills.

7. Strongly encourage managers to work with a wider selection of employees, on teams or task forces, as mentors, etc. Special I efforts could be made to ensure that managers and supervisors interact more frequently with diverse groups of employees. (The real basis for much of the preselection problem stems from th natural tendency to select a known quantity: someone who has a similar background, who has done similar work. or who has l previously worked for or is otherwise known to the rating panel or the selecting official).

8. Consider modifying the Merit Selection Process to encourage more

" career planning" for all employees, while maintaining competition as much as possible in the overall process. Use of IDPs is encouraged and used for training but they are not used often enough to help employees move from one job to another.

9. Issue guidance to improve timely communication between management l and employees, particularly concerning planned reorganizations.

l For example, employees who expect to apply for an open position j may suddenly discover that it has been abolished.

10. Enforce the limit of 90 days for noncompetitive assignments to higher graded positions. If the position is eventually going to be filled through the competitive process, the vacancy announcement should be posted promptly (not delayed until the 90 days have elapsed). If the position cannot reasonably be expected to be filled in 90 days, supervisors should consider the following to ensure the fair use of temporary promotions: a) rotate several people in the position before posting it, giving each person equal time; b) use a competitive process to decide who should be given the temporary promotion; or c) assign someone at the same grade level,

11. Train Selecting Officials in ways to become informed about and '

evaluate " nontechnical" skills (e.g. , communications, managerial skills) and reinforce the importance of those skills in choosing

-supervisors and managers.

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Attachment 2

12. Strongly encourage Selecting Officials to interview all candidates on the Best Qualified List whenever feasible, especially if some of the candidates are unknown to them, or if there are other indications that perception of preselection might be a problem (e.g., one of the Best Qualified candidates has been in the position on a temporary basis while others are unknown to the Selecting Official). Training to enhance interviewing techniques should be encouraged.

13. Require a Selecting Official to choose one of the candidates from the Best Qualified List, unless there are extenuating i

circumstances for which the Selecting Official has received prior

, approval from the Director. Office of Human Resources. In that case, the extenuating circumstances should be explained in writing to each candidate on the Best Qualified List.

14. Consider establishing a roster of Rating Panel members to avoid Rating Panels that might favor a certain candidate. These members could be chosen in advance and trained in the Merit Selection Process. Rating Panel members and Rating Officials would be chosen from the roster, according to the grade and technical expertise of the position being filled. Efforts would be made to choose Panel Members who would not give the appearance of preselection in favor of any known top candidates for the job.

The Selecting Official should be prohibited from being the Rating Official. '

15. Require that Senior Level Service jobs be reserved for their original purpose: to give recognition to outstanding technical (as opposed to managerial) expertise and talent. They have been used extensively to shelter the jobs of managers whose positions were abolished due to downsizing. There is very little competition for these high-level jobs.

16. Communicate to employees the rules for granting extensions beyond the closing date for vacancies.

17. Track the use of all waivers and exceptions from the Merit Selection Process granted under M.D.10.15. in addition to making the exception part of the selection record.

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Attachment 2

18. Address the issue that arises in the climate of downsizing, where there is an important FTE advantage to choosing an employee from within the Office posting the position rather than one from outside that Office. In cases where the Merit Selection Process reveals a better candidate from outside the Office. FTE considerations can discourage supervisors from choosing the better candidate.

E 19. Permit use of " accretion of duties" promotions on a limited basis to support the reevaluation or reclassification of work that has occurred as a natural outgrowth of on-going assignments. This may minimize the perception of preselection that now occurs when a position is competed that is actually an " accretion of duties" promotion.

20. Conduct periodic surveys to determine employees' opinions on the fairness of the selection process, make the survey results  :

available.to the staff, and brief the Commission on the survey results.

The Subcannittee believes that these recommendations would significantly improve both the selection process and employee morale.  ;

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- i ..

t t

Attachment 3 .

DRAFT POLICY aTATEMENT ON PRESELECTION ,

The NRC supports merit selection of employees pursuant to Managernent Directive 10.15. Nevertheless, the perception is widespread that '

managers engage in

• preselection

• for some positions, defeating the Agenc,i s comitment to merit select 1on.

Improper preselection should be avoided and may be subject to appropriate sanctions. Any person with specific reasons to believe this  :

practice has occurred is encouraged to provide a detailed, factual.

report of their observations to the Office of Human Resources. including i the Regional Personnel Officer, or to the Office of Small Business and '

Civil Rights.

Included among improper practices are unfairly favoring a particular indivial by including overly restrictive requirements in a joo vacancy annot :ent, unfairly influencing a rating panel, unfairly providing incret I duties or experience to a favored person in order to help them to qualify for an open position, and choosing someone for a position when they are not the best qualified.

9 4-18

Attachment 4 i

MERIT STAFFING CHECKLIST Puroose To assist the manager in successfully implementing the Agency's merit selection process fairly and equitably and in such a ma .ner as will promote employee confidence in the syste,n.

Questions to be discussed by the HR $9ecialist and the Acoroorf, ale Management Officials:

1, is the position description for the position current and accurate?

if no, please explain. Has tN position description recently been changed? If so, why? Discuss the classification and ensure that there is a mutual understanding of the position.

2. What are the major duties / responsibilities of this position?

e Time spent on each activity

• Criticality of each activity (#1 being the most critical)

3. Can this position be classified as multi-disciplinary (e.g. duties cover more than one occupational series)?

4. Can this position be filled at a lower level? Should this be posted as a career ladder position?

5. Can this position be filled on a part time basis (requirement of part-time career regulations)?

6. What knowledge, skills, or abilities (KSAs) are requirrd to perform the duties of the position? Which KSAs must the selectee bring to the position to perform the basic duties and responsibilities? Would a demnstrated ability to learn or " equivalent experience" be acceptable?

) Identify specialized experience or selective factors, if any. These

)

must be included in the minimum qualifications required by the Job Vacancy Announcement.

7. Do the rating factors corrt idte with the position description? What rating factors will be effective in distinguishing superior from basically eligible candidates? Should any of the factors be weighted?

4 19

i Attachment 4 i

(Supervisory / managerial positions must use standardized rating factors described in MD 10.15 -- emphasize to manager that managerial skills are critical to effective supervisory / managerial performance.) DESCRIBE RATING FACTORS USING EXAMPLES. There should be no more than 5 rating factors (2 factors related to the occupation. I related to comunications 1 interpersonal skill factor and 1 leadership factor).

8. Develop rating criteria. Rating criteria must be directly related to the rating factors. (Encourage / assist manager in developing rating criteria prior to posting the vacancy.)

9. Identify possible panel members (assist manager in identifying members that can bring a broad and objective perspective to the rating process). Inform manager that you will work with the panel members to arrange for the panel meeting. If panel members have questions. the HR Specialist will arrange for a meeting of the parties. Mention some of the indications of a " stacked" panel.

10. Do you plan to interview the highest rated candidates? Would you like guidance on interviewing techniques? Inform HR senior management if internal candidates will not be interviewed.

11. Has this position been filled on a temporary basis? If so, for how long by the same person? Was the temporary position filled without competition? If answer is yes to these questions, selecting official should assure that he/she will carefully consider all candidates in the highest qualifications category.

12. Are there accurate elements and standards in place for this position? (if no recomend that the process be started to put them in place.)

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_. J

Attachment 5 As M Pacific American Advisory Committee (APAAC)

Equal Employment Opportunity Advisory Comittee Briefing Statement The Asian Pacific American Advisory Comittee (APAAC) appreciates the opportunity to address the Comission on the state of affairs of the Asian Pacific American (APA) employees. In the last EE0 Comission Brief dated February 20.19?' (SECY 97 021), APAAC identified three concerns: (1) Lack of Asians in SF.5/SLS positions: (2) Impact of time in grade, and (3)  ;

impact of office reorganizations. APAAC notes that the Comission recognized these concerns during this meeting. All three concerns relate to limited oreer advancement opportw; ties of APA employees at NRC. The APAAC reported that it would seek resolution of these concerns via the Selection Subcomittee,- the Office of Small Business and Civil Rights (SBCR) and the Office of Human Resources (HR);

While the Selection Subcomittee did not address these specific concerns.

their final statement included recommendations to improve the merit selection process and ensure a fair and equal opportunity for all employees.

The SBCR and the HR have developed a generic and aggressive approach to address these concerns. This generic approach supports affirmative action initiatives designed to enhance career opportunities for all underrepresented groups including Asian employees. Further progress will be made in this direction through a continued team approach, and such progress will be-reported on in the future at EE0 briefings.

Comittee on Age Discrimination (CAD)

Equal Employment Opportunity Advisory Comittee Briefing Statement The Committee on Age Discrimination (CAD) is pleased with the cooperation of the advisory comittees in their joint efforts to support the three joint subcommittees tasked with working with the Offices of Human Resources (HR) and Small Business and Civil Rights (SBCR) to address the 4-21

Attachment 5 issues of merit selection, performance monitoring, and managing diversity.

CAD members participate on two of these Subcomittees.

CAD's Data Analysis Subcomittee continues to review EE0 statistical information to identify indications of age discrimination within the NRC.

Any such findings will be provided to the Director SBCR, for review and action she believes to be appropriate.

Advisory Comittee for African Americans (ACAA)

Equal Employment Opportunity Advisory Comittee Briefing Statement The Advisory Comittee for African Americans (ACAA) would like to thank the Comission for the opportunity to address it on the state of Equal Employment Opportunity (EE0) for African Americans. ACAA fully supports the EE0 Committees Joint Statement and the work of the Subcomittees.

Office of Small Business and Civil Rights, and the Office of Human Resources, in addition to our participation on the Subcomittees, ACAA l will continue to monitor activities in the Agency that may result in adverse impacts affecting women and minorities--especially African-Americans. These activities include but are not limited to office reorganizations, promotion opportunities, and placement of senior managers.

Hispanic Employment Program Advisory Comittee (HEPAC)

Equal Employment Opportunity Advisory Committee Briefing Statement The Hispanic Employment Program Advisory Comittee (HEPAC) is grateful for the opportunity to address the Comission. HEPAC supports the EE0 Comittees Joint Statement. Hispanics continue to be more visible in the Agency, and a selected few Hispanics have advanced but still the majority of the Hispanics remain static in their careers and have little faith in the merit selection process and the opportunities for advancement.

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Attachment 5 HEPAC supports the efforts to recruit more Hispanics. HEPAC members are a valuable resource able and willing to assist the Office of Small Business and Civil Rights and the Office of Human Resources in recruiting and developing new strategies to attract more Hispanics to the NRC. HEPAC believes that ther needs to be more focus placed on the veteran NRC Hispanics. More attention needs to t,e paid to the areas of training, development opportunities, and rotational assignments in order to prepare Hispanics for advancement.

Federal Women's Program Advisory Committee (FWPAC)

Briefing Statement Members of the FWPAC have participated actively in the three Subcommittees described in the Joint Statement. The Subcomittees have allowed all of the EE0 comittees to leverage their assets in addressing issues of great concern to the agency. Without this cooperation.

efforts by individual comittees on these issues of necessity would have been only superficial. The diverse perspectives of Subcomittee members. NTEU representatives, as well as HR and SBCR, have resulted in well thought out positions for consideration by NRC management. We applaud these efforts and will continue to support then.

A remaining issue of concern to FWPAC is the rapid change in the jobs of administrative staff. -People who were hired years ago to type and answer phones must today be more than computer literate. They develop databases, spreadsheets, as well as work with word processors. While we recognize that the primary mission of the agency remains technical, some emphasis on redefining these critical positions is needed. This important issue will be an area of focus for FWPAC in the coming year.

Affirmative Action Advisory Comittee (AAAC)

Briefing Statement The Affirmative Action Advisory Comittee (AAAC) appreciates the opportunity to address the Commission. We have worked cooperatively with the other EE0 Advisory Comittees in formulating this joint statement to the Commission and stand firmly behind the positions taken.

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l Attachment 5 During the past year, the AAAC had been involved closely with the other EE0 Comittees in the work of the three Subcomittees. The Subcomittees. composed of members of the Advisory Comittees. SBCR. and HR. have the task to discuss and report to the Comission on serious issues related to the effectiveness of EE0 programs in the agency.

These issues concern selection to various job openings in the agency, performance monitoring of agency initiatives to assure EE0 compliance and the management of a diverse work place. Substantial progress has been made to date in the deliberations of these Subcommittees and which will be reported to the Comission in this briefing.

For the coming year, the AAAC will discuss and focus on issues concerning the potential redefining of the job functions of secretarial and other administrative support personnel in the technological age.

Discussions will be held with the other EE0 comittees to come up with a common approach. Of special interest is the effectiveness of agency programs relating to upward mobility potential for affected lower graded individuals in a climate of downsizing and changes in priorities. AAAC will continue to provide assistance to SBCR and HR in identifying and analyzing issues of employee concern and recomend appropriate steps to mitigate these concerns.

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JOINT LABOR MANAGEMENT E0 VAL EMPLOYMENT OPPORTUNITY COMMITTEE PRESENTATION TO THE UNITED STATES NUCLEAR REGULATORY COMMISSION The Joint Labor Management Equal Employment Opportunity Comittee (JLMEE0C) was established by the huclear Regulatory Commission and the National Treasury Employees Union (NRC/NTEU) Collective Bargaining Agreement to advise the NRC on matters about equal employment opportunity (EEO). The Comittee is currently chaired by Michael Weber and co chaired by Clayton Pittiglio. The i current members are Cynthia Carpenter. Doris Foster-Curseen. Rateb Abu Eid.

David B. Matthews Clayton L. Pittiglio. Lisa A. Shea. Ronald B. Uleck, and Michael F. Weber. We thank you for this opportunity to discuss EEO related matters and welcome any coments you or your staffs may have. The JLMEE0C's major initiatives since the last briefing are listed below.

Avoiding Pre-Selection Concerns about pre selection of candidates emerged as a major focus of the February 1997 Comission meeting on EE0. In response to this concern, the JLMEE0C developed two sets of recommendations on how the agency can improve the merit selection process to enhance current procedures that cause concerns about pre selection.

In developing the recommendations, the Comittee coordinated with the Director of the Office of Small Business and Civil Rights and the Selection Subcomittee. The Comittee was particularly pleased with the willingness of all participants to engage in a ennstructive review of the issue and identification of practical approaches to eliminate pre-selection and minimize perceptions of pre selection in the selection process. Ms. Irene Little has been especially supportive of the Comittee's activities and deserves special recognition.

4 25

Other initiatives The JLMEEOC is continuing to evaluate the selection process for Resident Inspectors and Conmissioner Assistants. The Committee has requested information on these programs from the Office of Human Resources and anticipates bringing recommendations to the Commission after this information has been received and assessed. Progress continues on developing recommendations on effective communications.

The Committee continues to follow with interest the Office of Human Resource's efforts to conduct a Sexual Harassment Awareness week at NRC and looks forward to reporting favorably about *this effort at the next Commission briefing on EEO.

Sunmary The JLMEE0C believes that substantial progress continues to be made by NRC in developing and implementing EEO related programs and to help resolve several specific concerns in the EE0 area. The JLMEEOC anticipates continued progress in the EE0 area, with the support of management and staff.

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Appendix A j

l l

l l

l STAFF RESPONSES TO COMMITTEE AND SUBCOMMITTEE RECOMMENDATIONS

June 11, 1997 n hilihiORANDUht TO: l'eter 11. Illoch, Chair j' /

hianaging Diversity SubcommitteeI .g)

FROM: Irene P, Little, Director / 10/'

OHice of Small Business & CiviNgits' SUIDECT: MANAGING DIVERSITY SUllC 3MhilTTEE RECGhihiENDAT10NS ' i

)

I received your subcommittee recommendations, and appreciate the time and effort the subcommittee devoted to the Managing Diversity (MD) issue identified by the EEO Advisory l Comtnittees. The background information provided along with infomtation from both public and

! private sector organizations enhances the relative merit in support of your committee's recornmendation to establish a hianaging Diversity process at the NRC. As indicated, tids process would be designed to manage change effectively and efliciently, and create an l

environment to maximize the potential of all employees.

l You are aware that in FY 1996, NRC senior management began to review recommendations for implementing a MD process at the NRC. As a follow on, the Strategic Planning Group factored

. .,; into its review, consideration of a Managing Diversity process. And tne Strategic Assessment and Rebaselining Steering Conunittee's Phase I Report identifies as an open item, "How can the NRC

! optimize opportunities to sustain its commitment to a culturally diverse workforce as it adjusts to mission and resource changes during the planning periods?" The OfIice of Small Business and Civil Rights responded to tids open item in May of this year indicating plans to fund an MD process at the NRC, beginning in FY 1998.The four recommendations you have identified support implementation of such a process agency wide. And, our plan is to incorporate these recommendations, to the extent feasible as we proceed with implementation.

As you know, managing a diverse workforce is an ongo*mg process. Gaining support from -

management and staffwill be critical to the success of this effort. Subconunittee interest hi this initiative, as well as the input you have pmvided, enhances awareness of the need to have Agency commitment for growth and opportunity to its culturally diverse workforce.

I want to thark the subcommittee for its commitment and effort in researching the facts, and developing sound recommendations for our consideration. .

4-Al

July 9,1997 h I hiEh10RANDUhi TO: Subinoy hiazumdar, Chaisman f/

hierit Selection SubcommMtee s <d FROht: Irene P. Little, Director d Omce of Small Businesad 'ivil Rig ts l

SUBJECT:

hiERIT SELECTION SUBCOhihillTEE IECOhihiENDATIONS 1 received your subcommittee recommendations, and ap?reciate the time and effort the subcommittee devoted to the pre selection issue identified by the EEO Advisory Committees.1 i agree that this issue is dimcult to address because it is based, in large part, on a perception of l pre-selection as opposed to clear evidence of pre selection. However, the subcommittee was able l to gather merit selection data from other Federal agencies, private compardes, and educational institutions and subcommittee members were required to review and digest numerous details of the merit promotion process included in hianagement Directive 10.15. You researched several facts, considered several perspectives and worked together to gain consensus on a large volume ofinformation.

I agree with the subcommittee's overall philosophy that improving implementation of the merit selection process, and communicating to the staff abc,at the process, could significantly diminish or eliminate the perception of pre-selection.

I especially appreciate your collabomtive efforts with staff from the Omce of Personnel (OP), a small number of selecting omcials, and my staffin developing a merit staff'mg checklist that integrates the perspectives of both management and employees. The 12 items on the check list are intended to enhance consistency in the vacancy announcement and rating process. I believe this checklist can be a useful tool, and the OP has agreed to use this checklist as a guide in their discussions with managers.

I also believe the 17 recommendations to improve the merit selection process have merit. Some of them are easily adoptable within our current merit selection process. However, others may require modification, change in policy or procedures, and some may require partnering or negotiations with the union before final decisions can be made.

Over the next six months, OP and SBCR will carefully consider and respond to each recommendation submitted. Again, I want to thank the members of the subcommittee for the extensive time and effort expended in developing sound recommendations for our consideration.

4 -M

go%

p i" utarco STATcs fJUCLEAR REGULATORY COMMISSlot4 3

}, I WA$mt4GTOf4, D.C. POSSSAm 4

\...../ July 9,1997 MEMORANDUM TO: Larry Vick, Chairperson Perfonnance Monitoring ubcommittee /

FROM: Irene P. Little, Director ,

Office of Small Businos! Civih gh .

SUDJECT: PERFORMANCE MOI ORING -PORT i

. I have received your Subconunittee recommendations, and appreciate the time and effort devoted

' to the subcommittee's assessment of 18 of the 34 initiatives which you iderStied. These

~

initiatives were designed to train and develop staff and to enhance their cmuer potential in

.i

'. support of the Agency's mission. You researched the facts to determine the level ofemployee participation in these activities, and their potential impact on EEO goals and objectives.

I agree that while these initiatives were not specifically designed to address EEO, many of

them (i.e., Technical Management Program, SES Candidate Development Program, Supervisory

, Development Program, A<irnintentive Skills Enhancement Program, Certified Professional Secretary' Program, Computer Science Program, Women's Executive Leadership Program), ,

reflect participation of a significant number of women and minorities. I support your

, recommcodations that the Agency should . enhance and co'atinue operation of these programs to the extent possible. We will continue to work with you as the Subcommittee compleies its evaluation of the remaining programs /mitiatives.

1 The Subcommittee also indicated review plans for Issues 3,4, 5, and 9 of the Joint Committee Statement (SECY-96-157). As you know, these issues were addressed, in some detali, In a memorandum to EEO Advisory Chairpersons on April 25,1996 and included in the July 10, 1996 EEO Commission Briefing package.

As stated in the April 25,1996 memorandum, EEO and amnnative action are incorporated in the -

strategic planning process (Issue 3). The Strategic Planning Gmup factored into its review, the need to maximire the potential of all employees while smtaining a culturally diverse workforce.

SBCR is following through on this initiative with plans to fund a Managing Diversity process in IT 1998. The second part ofIssue 3, Impact on Women and Minorities due to Recent Reorganizations, will continue to be reviewed by the Labor Management partnership Committee and should be addressed through that fomm. Issue 4, Management Accountability, is part ofthe SES and non-SES supervisory appraisal process. Elements and standards of both systenis

. inchide assessment ofEEO. Additionally, SBCR has provided managers written guidance on i appraising managers and supervisors in this area. Issue 5, increased Representation of Women l .

4-A3

July 9, 1997 .

and Minorities, will continue to be one of the principal focus areas in falling technical, supervisory, management, executive, and where possible, upward mobility positions Issue 9, relates to root causes of EEO complaints. In the last briefing (February 20,1997), we provided five yearr, of data on the bases for EEO complaints within the NRC. We will continue to analyze this data and whenever possible establish strategies for correcting issues that lead to complaints.

I believe the expanded responses provided to you in the April 25,1996 memorandum address the concems raised by the Joint Committees. Ilowever, if further clarification is needed, please call me. Again,I appreciate the effort of the Subcommittee and the recommendations submitted.

9 1

4-A4

Jp* * * %<<>

[aq ->\ UNITED STATES j

l j* ~

f4UCLEAR REGULATORY COMMISSIOlJ 2 WA&HINGTON. D.C. 20hnesot h' ..... /

l August 5, 1997 MEMORANDUM TO: Sudhamay Basu, Chairperson

-Asian /I ci ic American Advisory Committec 4 l

' 66 2 /

FROM: A rene P. Little, Director Office of Small Business and Civil Rights

SUBJECT:

Pending Issues This memorandum responds to the Asian / Pacific American Advisory Committee section of the joint statement submitted to me on July 1,1997.

Your section of the paper states three issues of concem to your committee: (1) Lack of Asians in SES/SLS positions;(2) Impact of time-in gmde, and (3) Impact of ofIice reorganizations. These issues were reviewed by the Selection Subcommittee and I agree that these issues were addressed as part of the generic recorrmendations for making the merit process more equitable.

We will continue to assess the impact of these issues on equal opportunity for your constituents and all employees.

I appreciate your continued support in maintaining a " level playing field" for all NRC employees.

4-A5

I j

+#

\ Ul41TED STATES

. S NUCLEAR REGULATORY COMMISSION 8 I wAsuinoton, o.c. anwar;oi July 10,1997

\...h..[

MEMORANDUM TO: Michael F. Weber, Co Chairperson Joint Labor-Management Equal Employment Opportunity Committee Clayton L Pittiglio, Co-Chairperson Joint Labor-Management Equal Emplo nent Opportunity Committee FROM: Irene P. Little, Director hv Office of Small Business d Civfl igh

SUBJECT:

RECOMMENDATIONS REGARI THE PERCEPTION OF PRE SELECTI N This responds to the two sets of recommendations st bmitted to me on May 8,1997 regarding

^

the perception of pre-selection in filling vacancies within the Nuclear Regulatory Commission (NRC).

As you are aware, a subcommittee (Selecuon Subcommittee) has.boen in place since December 1996, to review the perception of pre-selection within the NRC and provide recommendations to address the bases for such a perception. That Subcommittee has done extensive review of the Merit Soledion Management Direcove (10.15); has discussed merit

seledion with other Federal agencies,' private companies and educational insututions for the purpose of cemparing NRC's merit promotion process with others; and has also reviewed your ,

recommendations. Staff from the Office of Small Business and Civil Rights (SBCR) and the

- Office of Human Resources (HR) have been heavily involved in this initiative and several recommendations (attached) have been submitted for management consideration. As appropriate, your recommendations will be considered for implementation along with those frors the SMion Subcommittee.

You offered up six distind recommendations--

1. Ensure that crediting plans are developed a't the same time as the corresponding vacancy announcement to improve consistency between the rating fadors induded on the vacancy announcement and the rating criteria used to evaluate applicants. Also ,

indude enough detallin the vacancy announcement to assist applicants in addressing rating factors.

4-A6 1

Ju ly 10, 199/ 2

2. Put>hsh a pamphlet on the merit staffing process, including specific examples on addressing rating criteria.

3. Conduct workshops for staff on the merit staffing process and include tips for addressing rating factors.

4. Establish a proceduro and communicato it to all managers in Management Directive 10.15 that requires the selecting official and his/her supervisor to avoid contact with the rating panel (once a vacancy announcement is posted) until the rating process is complete.

5. Provide some flexibility to rating pancis to identify greater than 5 'A' candidates on the Best Oualified List, in the event that top scores are clustered and the diiference in scores are not considered significant by the rating panel.

G. Establish a standing review panel to audit the integrity of vacancy announcements, rating factors, and crediting plans by reviewing a specific portion (e.g.,20-25%) of vacancy announcements throughout the year. 4 Your first three recommendations relate to rating process criteria and the need for employees to better understand the merit selection process especially how to address rating factors. Your fourth recommendation relates to line management involvement in the rating process. These four recommendations are conceptually similar to the recommendations from the Selection Subcommittes, which HR is planning to implement, with some modifications. Specifically, HR intends to develop crediting plans and vacancy announcements concurrently although thero may be instances whero this is not practical, in addition HR plans to develop and disseminato information on the merit staffing proocss to all NRC employees. This information will include names of HR staff at headquarters and the regional offices that employees may meet with for clarification and/or additionallnformation on the selection process. As you 'may know, HR staff can provide feedback to unsuccessful applicants to assist them in understanding how to improve their opportunities for advancement.

Your fifth and sixth recommendations would nood to be addressed through labor management partnership or negotiations.

During the next sbc months, wo will be working through numerous recommendations submitted by the vnrious EEO committees and cubcommittees. We will koop your Committoo and the other EEO Advisory Committoos advised as wo procood. I appreciate the efforts of your Committeo in suggesting ways to assure equal employment opportunities at the NRC.

Attachrnent: . .,

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SELECTION SUBCOMMITTEE RECOMMENDATIONS

1. Issue a policy statement by the Commission on the Merit Selection Process, listing those activities that are specifically prohibited.

2. Establish an independent body consisting of representatives from the EE0 Advisory Committees and Senior Management to conduct a periodic review of some of the merit selection cases end ensure that Office Directors and the Regional Administrators provide active leadership in the Merit Selection Process.

3. Communicate to all employees the name. telephone number, and email address of the person or group that employees may contact, either l

informally or anonymously, to register cases of possible discriminatory selection, and ensure that SBCR follows up on these cases.

4. Conduct workshops to inform employees about the Merit Selection Process and the recourse open to employees who have questions about the process.

5. Reinforce the message that the Office of Human Resources has a dual role:

both to help the Selecting Official get the best qualified person for the vacancy and to ensure that merit principles are followed.

6. Communicate the importance of several aspects of the Merit Selection Process that do not seem to have been given adequate attention by upper management: up-to-date position descriptions and elements and standards (a situation made worse by constant reorganizations); annual management training requirements: management responsibility for employee career planning and advancement, for example through the use of IDPs: managers who clearly demonstrate good managerial or comunications skills; and performance awards based on good managerial and communications skills. Consistent enforcement of these measures would send a signal to both managers and employees that career development for employees and managerial and communications skills are as important as technical skills.

7. Strongly encourage managers to work with a wider selection of employees, on teams or task forces, as mentors, etc. Special efforts could be made to ensure that managers and supervisors interact more frequently with diverse groups of employees. (The real basis for much of the 4-A8

l' l'

l preselection problem stems from the natural tendency to select a known

quantity

someone who has a similar background, who has done similar work, or who has previously worked for or is otherwise known to the rating panel or the selecting official).

8. Consider modifying the Merit Selection Process to encourage more " career l planning" for all employees, while maintaining competition as much as possible in the overall process. Use of IDps is encouraged and used for training but they are not used often enough to help employees move from one job to another.

9. Issue guidance to improve timely comunication between management and employees, particularly concerning planned reorganizations. For example, employees who expect to apply for an open po:1 tion may suddenly discover that it has been abolished.

10. Enforce the limit of 90 days for noncompetitive assignments to higher graded positions. If the position is eventually going to be filled through the competitive process, the vacancy announcement should be posted promptly (not delayed until the 90 days have elapsed). If the position cannot reasonably be expected to be filled in 90 days, supervisors should consider the following to ensure the fair use of temporary promotions: a) rotate several people in the position before posting it, giving each person equal time; b) use a competitive process to decide who should be given the temporary promotion: or c) assign someone at the same grade level,

11. Train Selecting Officials in ways to become informed about and evaluate

" nontechnical" skills (e.g., communications, managerial skills) and reinforce the importance of those skills in choosing supervisors and managers.

12. Strongly encourage Selecting Officials to interview all candidates on the Best Qualified List whenever feasible, especially if some of the .

candidates are unknown to them, or if there are other indications that perception of preselection might be a problem (e.g., one of the Best Qualified candidates has been in the position on a temporary basis while others are unknown to the Selecting Official). Training to enhance interviewing techniques should be encouraged.

13. Require a Selecting Official to choose one of the candidates from the Best Qualified List, unless there are extenuating circumstances for 4-A9

1 which the Selecting Official has received prior approval from the Director, Office of Human Resources. In that case. the extenuating

! circumstances should be explained in writing to each candidate on the l Best Qualified List.

14. Consider establishing a roster of Rating Panel members to avoid Rating Panels that might favor a certain candidate. These members could be I

chosen in advance and trained in the Merit Selection Process. Rating Panel members and Rating Officials would be chosen from the roster, according to the grade and technical expertise of the position being filled. Efforts would be made to choose Panel Members who would not give the appearance of preselection in favor of any known top candidates for the job. The Selecting Official should be prohibited from being the Rating Official.

15. Require that Senior Level Service jobs be reserved for their original purpose: to give recognition to outstanding technical (as opposed to managerial) expertise and talent. They have been used extensively to shelter the jobs of mana w ,, whose positions were abolished due to downsizing. There is very httle competition for these high level i jobs.

16. Communicate to employees the rules for granting extensions beyond the closing date for vacancies.

17. Track the use of all waivers and exceptions from the Merit Selection Process granted under M.D.10.15 in addition to making the exception part of the selection record.

18. Address the issue that arises in the climate of downsizing, where there is an important FTE advantage to choosing an employee from within the Office posting the position rather than one from outside that Office.

In cases where the Merit Selection Process reveals a better candidate from outside the Office, FTE considerations can discourage supervisors from choosing the better candidate.

19. Permit use of " accretion of duties" promotions on a limited basis to support the reevaluation or reclassification of work that has occurred as a natural outgrowth of on-going assignments. This may minimize the perception of preselection that now occurs when a position is competed that is actually an " accretion of duties" promotion.

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i  !

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20. Conduct periodic surveys to determine employees' opinions on the fairness of the selection process. make _the survey results available to the staff. and brief the Comission on the survey results.

The Subcomittee believes that these recommendations would significantly

-improve both the selection process and employee morale.

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DRAFT POLICY STATEMENT ON PRESELECTION .

The NRC supports merit selection of employees pursuant to Management Directive 10.15. Nevertheless the perception is widespread that managers engage in

• preselection

• for some positions, defeating the Agency's commitment to merit selection.

Improper preselection should be avoided and may be subject-to appropriate sanctions. Any person with specific reasons to believe this practice has occurred is encouraged to provide a detailed, factual report of their observations to the Office of Human Resources, including the Regional Personnel Officer, or to the Office of Small Business and Civil Rights.

Included anong improper practices are unfairly favoring a particular individual by including overly restrictive requirements in a job vacancy announcement, unfairly influencing a rating panel, unfairly providing increased duties or experience to a favored person in order to help them to qualify for an open position, and choosing someone for a position when they are not the best qualified.

4-A12

l MERIT STAFflNG CHECKLIST Purnose To assist the manager in successfully implementing the Agency's merit i

selection process fairly and equitably and in such a manner as will promote employee confidence in the system.

l l

Ouestions to be discussed by the HR Snecialist and the Anorooriate Manaaement Officials:

1. Is the position description for the position current and accurate? If no, please explain. Has the position description recently been changed? If so, why? Discuss the classification and ensure that there is a mutual understanding of the position.

2. What are the major duties / responsibilities of this position?

e Time spent on each activity e Criticality of each activity (#1 being the most critical)

3. Can this position be classified as multi disciplinary (e.g. duties cover more than one occupational series)?

4. Can this position be filled at a lower level? Should this be posted as a career ladder position?

5. Can this position be filled on a part-time basis (requirement of part-time career regulations)?

6. What knowledge, skills, or abilities (KSAs) are required to perform the duties of the position? Which KSAs must the selectee bring to the position to perform the basic duties and responsibilities? Would a demonstrated ability to learn or " equivalent experience" be acceptable? Identify specialized experience or selective factors, if any. These must be included in the minimum qualifications recuired by the Job Vacancy Announcement.

7. Do the rating factors correlate with the position description? What rating factors will be effective in distinguishing superior from basically eligible candidates? Should any of the factors be weighted?

(Supervisory / managerial positions must use standardized rating factors described in HD 10.15 -- emphasize to manager that managerial skills are critical to effective supervisory / managerial performance.) DESCRIBE RATING FACTORS USING EXAMPLES. There should be no more than 5 rating factors (2 4-A13

i factors related to the occupation, 1 related to communications, 1 .

interpersonal skill factor and I leadership factor). .

8. Develop rating criteria. Rating criteria must be directly related to the rating factors. (Encourage / assist manager in developing rating criteria prior to posting the vacancy.-) '

9. Identify possible panel members (assist manager in identifying members r that can bring a broad and objective perspective to the rating process).

Inform manager that you will work with the panel members to arrange for the panel meeting, if panel nembers have questions, the HR Specialist will '

arrange for a meeting of the parties. Mention some of the indications of a

" stacked" panel. '

10. Do you plan to interview the highest rated candidates? Would you like guidance on interviewing techniques? Inform HR senior management if internal candidates will not be interviewed, i

11. Has this position been filled on a temporary basis? If so, for how long  ;

by the sane person? Was the temporary position filled without competition?

If answer is yes to these questions, selecting official should assure that he/she will carefully consider all candidates in the highest qualifications category.

12. Are there accurate elements and sti+dards in place for this position?

(If no. recommend that the process be s',eted to put them in place.)

4 i

4 A14

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i h k (JNi1ED STATES

E tJUCLEAR REGULATORY COMMISSION

{ E w AsmNOT ON. D.C. 20555-@d

\...../ Lany Campbell May 30, 1997 MEMORANDUM TO:

Reactor Engineer ,

Omce ofNuclear Reactor Regulation Irene P. Little, Director /f,rJ, ,

1. M[

FROM:

Omce of Small Businds CivilI}i his SUIUECT: RECRUITMENT OF ATIVE Ah RICANS I appreciate your efforts to assist the Agency in ider ifying sou.ces for recruiting Native Americans. The report you provided from the Nati nal Education Resource Center which identifies colleges and universities that have recently graduated Native Americans with bachelors and masters degrees in engineering will enable us to target additional schools to attract potential

, candidates for employment. The Omcc of Personnel will examine this report and consider additional schools for potential recmitment targets for the next fiscal year.

The Agency is also scheduled to participate in the upcoming American Indian Science and Engineering Society Conference in November 1997 and supports your recommendation to attend the special session for recruiters ofNative Americans at the beginning of the conference. We have contacted Mr. Chuck McAfee, Deputy Director, American Indian Science and Engineering Society (AISES), to obtain additional information regarding the conference and career fair activities.

Regarding the establishment of a " Summer Hire" Program for Native Americans, the NRC has a limited summer program for FY 1997. However, the NRC is not authorized to establish and fund programs managed through AISES. I am not sure what would be gained by having AISES manage a summer program. Under our procedure, students interested in summer employment with the NRC should submit their application directly to the Omce of Personnel for consideration, llowever, as an alternative, we are taking Mr. McAfee's suggestion that the NRC advertisc vacant positions in AISES' publication, the " Winds of Change" as a means of attracting Native American applicants for all NRC positions. This publication is distributed to approximately 100,000 readers nationwide. In addition to the W'mds of Change, the NRC currently advertises in the Native American Yearbook, and the Annual College Guide for American Indians. The NRC also advertises vacant positions on the Internet via the National Association of Colleges and the Virtual Career Fair, Additional uses of the Intemet are continually being assessed and will be considered by the Omcc ofPersonnel.

The NRC has maintained a substantial Co-op Program in past years, however, due in part to downsizing, the agency currently does not have an active program Individual program omces and regions may identify slots on a case-by-case basis. To reach the widest possible Native American distribution, the Omce of Personnel will advertise these positions via the publications listed above and on the Intemet. ,

4-AIS t

The infortnation and reconunendations you have provided are helpful and will direct the Agency toward additional sources for Native American applicants. I appreciate and encourage your continued support. Of course, if you know qualified persons interested in working for the NRC, please have them forward their resumes to the Office ofPersonnel.

/

4-A16

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