ML21160A235

Leadership Model Appendix (Public)

ML21160A235
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Issue date:	06/10/2021
From:	Figueroa G NRC/OE
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AppendixSpecific NRC Programs and Activities That Contribute to the NRC Leadership Model At the U.S. Nuclear Regulatory Commission (NRC), we use several formal and informal programs and activities to help achieve our mission. As we conduct these programs and activities, it is important to (1) practice the behaviors of the NRCs Leadership Model, and (2) share an understanding of why we do a particular program and activity and why we do it in a particular way.

This appendix describes the who, what, when, where, how, and why of NRC programs and activities that play a part in the Leadership Model.

As described in Part III of The Leadership Model, to positively influence an activity or group of people, leaders at the NRC are expected to apply conscious, balanced effort and behaviors across three core categoriespeople, processes, and partnerships. This appendixs narratives are arranged according to these categories:

PeopleDevelop and Maintain Our Workforce

1. Learning and Development

2. Nurturing Diversity of Viewpoints and Backgrounds

3. Individual Performance Management and Performance Appraisal System

4. Recognition and Appreciation ProcessesEstablish Goals and Systems To Execute Plans

5. Strategic Planning

6. Management System

7. Organizational Performance Management and Quarterly Performance Reviews

8. Strategic Workforce Planning

9. Corporate Support PartnershipsEngage Stakeholders To Inform Our Plan of Work and Decisionmaking

10. Communications and Information Sharing

11. Partnerships, Collaborations, Networks, and Councils

12. Safety Culture To help readers understand and use the narratives, this appendix includes definitions to support shared understanding of several commonly used terms. The Leadership Model and many other NRC programs and activities use these terms, though not always consistently. The following definitions were developed based on feedback from the Federal Employee Viewpoint Survey:

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Agility means the ability to anticipate, respond to, and adapt to change in a timely manner. At the individual level, agility means demonstrating resilience and openness to changes in the work environment and adopting the changes promptly and effectively. At the organizational level, agility means recognizing and anticipating the need for change and making timely modifications to the work environment as needed.

Climate of Trust means a positive environment where confidence and assurance are easily placed in someone or something and where individuals feel open to sharing their ideas and experiences. At the individual level, it means belief that the character of someone or something is trustworthy, reliable, and honest. At the organizational level, a greater climate of trust is shaped by creating a positive environment for raising concerns; promoting a culture of fairness, empowerment, and respect; and establishing clear expectations and accountability.

Collaboration means working with colleagues and other stakeholders towards a common goal. Collaboration entails employees working together with others, including internal and external stakeholders, toward a shared goal. It involves collective brainstorming, debating, and developing possible solutions to inform a decision.

Consensus means shared understanding with at least general agreement. Consensus exists when a group reaches a position, agreement, or decision that is at least generally accepted. The position is then no longer attributable to any single individual but is shared by the group.

Decisionmaking means the process of gathering information, evaluating options, making an informed choice, and committing to a course of action. Decisionmaking at the NRC entails gathering facts and soliciting diverse viewpoints of those involved in the process.

The decisionmaker(s) should consider as many viewpoints as practical and critically assess the merits of each position to make the most informed and sound decision. Once the person or organizational unit responsible makes a decision, it should be explained and implemented accordingly. Leadership retains final decisionmaking authority and accountability.

Effectiveness means the degree to which the outcome of an activity, process, or program contributes to achieving the agencys strategic goals, objectives, and strategies. We are effective when we succeed in providing a desired or intended result to fulfill the mission or goal.

Efficiency means the degree to which the resources needed to produce an outcome can be minimized without reducing the outcomes effectiveness. When several viable options are available that will result in an effective and timely outcome, decisionmakers should adopt the one that minimizes the use of resources.

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Empowerment means having the support, information, and autonomy to perform ones job consistent with assigned roles and responsibilities. Empowerment begins when an employee is encouraged and assisted to make or influence decisions that affect his or her work and work environment. It involves having clear expectations, information, resources, and opportunity to perform a job. It also means being held accountable for the outcomes of actions and behaviors.

Environment for Raising Concerns means a positive work environment in which all employees and contractors are encouraged to raise concerns and differing views promptly, without fear of retaliation, intimidation, harassment, or discrimination. A positive environment for raising concerns is well established when leaders encourage, recognize, and value diverse views, alternative approaches, critical thinking, collaborative problem-solving, unbiased evaluations, and honest feedback; individuals readily and appropriately express opinions and alternative viewpoints and use the agencys available mechanisms to express these beliefs; individuals encourage others to do the same without fear of negative consequences (reprisal); and individuals understand that retaliation, intimidation, harassment, or discrimination for raising concerns is not tolerated.

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PeopleDevelop and Maintain Our Workforce

1. Learning and Development We place a priority on learning and development initiatives to ensure that the agency is well equipped to establish effective employee development programs to achieve agency goals.

Through extensive investments in learning and development, we strive to ensure that our people are prepared to effectively perform their current jobs and to meet the future needs of the agency.

Why is learning and development part of the Leadership Model?

Learning and development is the foundation on which we build our human capital and continue to grow skills, experience, and knowledge throughout our careers. As an agency, the NRC strives to maintain a highly skilled workforce and to create an environment that values continuous learning and improvement. As leaders in the organization, it is important for us to become active participants in our continuous learning environment.

How does the NRC provide learning and development opportunities?

The NRCs learning and development initiatives offer appropriate learning opportunities to fill both individual and organizational skill gaps. By focusing on employee learning and development, the NRC can maintain a highly technically qualified staff and build strong supervisors and managers. Most types of learning are through informal and unstructured means.

At the NRC, we can engage in many types of formal or informal activities to reach our learning objectives. These activities include, but are not limited to, the following:

NRC Employee Development Programs

• individual development planning

• career counseling

• mentoring

• rotational opportunities

• executive coaching

• Graduate Fellowship Program

• Nuclear Safety Professional Development Program

• Aspiring Leaders Certificate Program

• Leaders at All Levels Certificate Program

• Supervisor Development Program

• Executive Leadership Seminars A-4

• Senior Executive Service Candidate Development Program

• Knowledge Management Program Training Offerings

• technical training courses

• professional development courses

• external training (request via Standard Form 182, Authorization, Agreement, and Certification of Training)

Additional Learning and Development Opportunities

• professional certifications

• webinars

• brown bag or Lunch N Learn sessions

• communities of practice

• individual and organizational development assessments

• membership in or volunteering for Equal Employment Opportunity (EEO) Advisory Committees, Affinity, or Resource Groups

• participation in the diversity DIALOGUE initiative The NRC provides many of the resources listed here at the Technical Training Center, at the Professional Development Center, or through contracted or external entities.

How can I demonstrate leadership as I participate in learning and development?

Learning and development throughout our careers play a key role in the manifestation and mastery of all six fundamental leadership characteristics (PREDICT). The Leadership Model highlights the need for us to partner with our supervisors to identify the necessary learning and development activities that will equip us with the knowledge and skills required to effectively perform our work and prepare for the future. Through participation in various programs and courses, we can all explore new ideas and ways of doing work. Participation in skill and talent development activities opens us to a range of viewpoints, alternative approaches, and different ways of expressing critical thinking, collaborative problem-solving, and honest feedbackall of which are integral to advancing the agencys mission.

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Where can I find more information?

• Training and Development Catalog (internal site)

• Office of the Chief Human Capital Officer (OCHCO) SharePoint site (internal site)

• Technical Training Center (internal site)

• Professional Development Center (internal site)

• NUREG/BR-0316, Comprehensive Diversity Management Plan A-6

PeopleDevelop and Maintain Our Workforce

2. Nurturing Diversity of Viewpoints and Backgrounds Ensuring workplace diversity is a critical component of the NRCs operations. We are committed to nurturing diversitywhich includes differences in backgrounds, cultures, professions, and viewpointsand recognize its importance to our organizational fabric. The ability to draw from a wide range of perspectives contributes significantly to the NRCs effectiveness as a regulatory agency. Additionally, nurturing diversity may result in stronger relationships with one another and with NRC stakeholders and also improve our ability to adapt to significant changes.

Why is nurturing diversity of viewpoints and backgrounds part of the Leadership Model?

Respect is one of the NRCs organizational values and is necessary for the NRC to carry out its mission efficiently and effectively. Our greatest resource is our people, and to best harness the varied skills, specialized competencies, and unique capabilities of employees, we must cultivate respect for those differences. When done effectively, the result is innovative solutions to addressing problems and overall increased organizational productivity. Creating a culture that embraces differences and celebrates our individual and distinctive capabilities can boost morale and create a better work environment with increased employee retention.

How does the NRC nurture diverse viewpoints and backgrounds?

The NRC takes the opportunity to reiterate its commitment to nurturing diversity through various means. In addition to a routine, annual evaluation of the agencys Comprehensive Diversity Management Plan, the NRC also conducts periodic training and workshops on topics to enhance and embrace diversity in the workplace. Through partnership with OCHCO and the Office of Small Business and Civil Rights, NRC leaders identify and leverage factors of diversity that may be commonly overlooked, such as generational differences. The NRC actively supports Equal Employment Opportunity Advisory Committees, cultural events, and special emphasis observances and embraces community outreach activities throughout the agency. In addition, each of us at the NRC brings a unique background, set of experiences, and perspectives. These differences are assets to the agency. Awareness of our biases, the willingness to acknowledge and embrace both our similarities and differences, and mutual respect and understanding for one another are vital to our agencys productivity.

Respect for our differences is always necessary. Inclusion and diversity management are part of the NRCs culture, and all employees and contractors who work at the agency are expected to behave in a manner consistent with the NRCs values every day.

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The NRCs DIALOGUE initiative facilitates participants increased self-awareness, expanded perceptions, and capacity for empathy. DIALOGUE serves to increase awareness of biases and assumptions that may create blind spots, block innovations, and derail communications.

How can I demonstrate leadership as I participate in nurturing diversity of viewpoints and backgrounds?

Environments where people with different backgrounds and viewpoints are working together can foster a better understanding of differences and a higher level of mutual respect. However, we all harbor unconscious biases and may not be aware of how these biases can influence us. We should all make it a priority to become more aware of and break down our biases as part of an effort to cultivate a more respectful work environment. Doing this strengthens our ability to integrate our individual talents, supports diversity in our expertise and experience, and, in turn, enhances teamwork and collaborationall of which make the NRC more proficient.

Where can I find out more?

The following NRC Web sites are valuable sources of announcements and information:

• NRC Announcement Program (NRC@Work, includes NRC announcements and Yellow Announcements) (internal site)

• NUREG/BR-0316, Comprehensive Diversity Management Plan

• Equal Employment Opportunity Advisory Committees (internal site)

• cultural events sponsored by the Affirmative Employment and Diversity Management Program (internal site)

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PeopleDevelop and Maintain Our Workforce

3. Individual Performance Management and Performance Appraisal System The NRCs performance management system seeks to promote excellence and accountability through a focus on results and directly linking organizational mission and program goals, individual contributions, and performance results. The performance appraisal system provides a formal process to facilitate communication about agency goals, expectations, and accomplishments. It is also a means to discuss individual developmental needs and desires and to make meaningful distinctions in levels of employee performance.

Why is individual performance management and the performance appraisal system part of the Leadership Model?

Establishing a performance management system is an integral element in both individual success and organizational capacity. Through timely, transparent, and accurate feedback, we receive information that connects our work to the organizations goals; to leadership behaviors that are vital to promoting and sustaining a culture of effectiveness, efficiency, and agility; and to activities that help us achieve our professional goals.

What are individual performance management and the performance appraisal system?

The Individual Performance Management process helps ensure a continuous dialogue between supervisors and employees. This process promotes clarity, accountability, and alignment of personal accomplishments and opportunities for improvement and development. The Performance Appraisal System ensures that each of us is periodically assessed against the key elements of our position and given constructive feedback to maximize performance. The process is also intended to prompt a dialogue with employees about training needs, career goals, and development needs and desires. Other agency processes such as performance awards, pay adjustments, training and development, and addressing poor performance also use performance appraisal ratings.

How does the NRC conduct individual performance management and performance appraisal?

Performance is assessed against elements and standards established by the supervisor for the employees specific position. The performance elements describe what is to be done by the employee during the period and represent the duties and responsibilities that are primary, regular, recurring, and necessary to accomplish the work of the position. Each element is then accompanied by a set of standards that describe how the duties are to be performed and A-9

measured. Performance standards must be established at the Fully Satisfactory rating level and may be established at other levels. The NRCs General Grade performance program has a five-tiered scale including Outstanding, Excellent, Fully Satisfactory, Minimally Satisfactory, and Unsatisfactory.

At the midyear assessment, the supervisor provides an oral progress review and discusses the employees performance. At the end-of-year assessment, the supervisor provides an oral and written assessment of the persons performance for the entire year, including an individual rating level for each element and an overall summary rating. In general, each performance element is assessed for quality of work, quantity of work, timeliness, and level of supervision required.

The individuals supervisor normally prepares end-of-year performance appraisals. A reviewing official (usually the second-level supervisor) also evaluates these appraisals for accuracy and consistency across the organization. The employee signs the year-end appraisal and acknowledges its receipt. The employee and management then review and sign the performance plan for the new performance year.

Notwithstanding the formal midyear and end-of-year appraisal process, performance feedback discussions should be ongoing throughout the year as a regular part of supervisory and employee interactions. If at any time you feel that you are not getting direct feedback as promptly as you would like, you should ask your supervisor for a meeting to discuss performance.

Consistent with the NRCs organizational values of excellence and respect, all employees should receive performance feedback throughout the year. The performance appraisal cycle extends from October 1 to September 30 of the following year. At a minimum, the program provides for a formal midyear discussion, no later than April 30, and an end-of-year written appraisal (i.e., rating of record), no later than October 31, for each employee who has worked under a performance plan (i.e., elements and standards) for at least 120 days or more during the rating period. Interim or closeout ratings may also be warranted during the performance year.

OCHCO develops, implements, and evaluates the NRCs performance management system for executives, managers and supervisors, and employees. Notwithstanding OCHCOs role, all NRC supervisors and staff are essential to effective program implementation and a shared understanding of assessed performance and feedback.

How can I demonstrate leadership as I participate in performance management?

The keys to effective performance feedback are strong communications and shared upfront expectations about work activities. Ways to show leadership include proactively participating in your appraisal (e.g., offering a written self-assessment based on the elements and standards),

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being open and self-reflective about feedback, asking questions, sharing your career goals and priorities, having candid conversations using active listening techniques, and seeking continuous feedback throughout the year.

Where can I find out more?

• Performance Management and Employee Engagement Web site (internal site)

• National Treasury Employees Union Collective Bargaining Agreement, Article 25 A-11

PeopleDevelop and Maintain Our Workforce

4. Recognition and Appreciation Recognition and appreciation are a way to show that our people, teams, and organizations are appreciated for their performance, results, productivity, dedication, commitment, innovation, teamwork, and overall contribution to agency operations, values, and mission.

Why are recognition and appreciation part of the Leadership Model?

We are committed to promoting and sustaining a culture that strives for organizational excellence, effectiveness, and agility. Recognition and appreciation can motivate individuals, teams, and organizations to excel, enhance, or improve performance; increase engagement; increase trust; and help attract and retain agency talent.

How does the NRC show recognition and appreciation?

A wide range of tools is available for showing recognition and appreciation. These tools include annual performance appraisal process and performance awards; semiannual external training call, distinguished and meritorious service awards and Senior Executive Service Presidential Rank awards; special act and group special act awards; external awards; office quarterly and monthly employee accomplishment awards; employee suggestion awards; Most Valuable Player Awards; letters, e-mails, or certificates of appreciation; handwritten notes; in-person verbal expressions of appreciation; and incentives (e.g., retention incentives).

Specific types of recognition such as annual performance awards and distinguished or meritorious awards normally occur in the winter (December-February), depending on the agency process and availability of funds. Other awards such as special act awards or recurring accomplishment awards depend on the office and frequency. OCHCOs Web site and specific management directives (MDs) provide details on timing.

How can I demonstrate leadership as I participate in recognition and appreciation?

All of us, regardless of position, are responsible and accountable for displaying behaviors and actions that support and encourage recognition, incentives, and appreciation both formally and informally.

Supervisors and Managers Supervisors demonstrate that they value performance, results, and contributions by using the tools, processes, and practices available in the NRC to recognize and appreciate employees and A-12

teams. For example, supervisors use the annual performance appraisal process to meet with their people individually at least two times a year to discuss work, accomplishments, and challenges or areas for improvement; they meet with their staff individually at least semiannually to understand employee short- and long-term career interests and training and development needs and to plan for development and training opportunities.

Several reward tools are available for supervisors and managers on an ongoing basis (some based on availability of funds) such as individual and office group special act awards. Supervisors and managers (with the approval of Office Directors) can use other tools to show appreciation and recognition for significant accomplishments such as the annual Distinguished and Meritorious Service Awards, agency group awards, NRC Commendation Award, and nominations for external awards. Lastly, supervisors and managers show recognition and appreciation by regularly interacting with their team as they model behaviors consistent with the six characteristics in the Leadership Model.

Individuals Individuals demonstrate that they value recognition and appreciation by using available policies, practices, and tools such as office monthly and quarterly employee accomplishment awards, or the agency Most Valuable Player Award to nominate and recognize their peers.

Where can I find more information?

• Human Capital Tools Awards and Recognition Web site (internal site)

• NRC Awards and Incentives Web site (internal site)

• NRC Most Valuable Player award (internal site)

• U.S. Nuclear Regulatory Commission and National Treasury Employees Union Collective Bargaining Agreement, Article 22

• Office of Personnel Management Web site (internal site)

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ProcessesEstablish Goals and Systems To Execute Plans

5. Strategic Planning Strategic plans are frameworks that define an agencys vision, mission, goals, objectives, and approaches or strategies to achieve and monitor its progress. The plans help guide decisionmaking and should be used to align resources to achieve goals. Strategic planning is a process and tool used to communicate an agencys vision for the future internally to employees and externally to Congress, stakeholders, and the public.

Why is the Strategic Plan part of the Leadership Model?

Strategic planning creates unity of effortall of the NRCs people and organizations working towards a common purpose, as identified by the Strategic Plans goals and strategies. To continually refresh our focus, every 4 years, the agency initiates development of a new Strategic Plan. Setting clear goals and understanding how our own work contributes to the plan help us to plan and influence our work products, prevent us from working at cross purposes, and minimize inconsistencies and duplication of effort.

How does the NRC conduct strategic planning?

Every Federal agency, including the NRC, is required to produce a new strategic plan and submit it to Congress by the first Monday in February following the year in which the term of the President begins. The Government Performance and Results Act Modernization Act of 2010 requires these agency strategic plans. Led by the agencys Performance Improvement Officer, the NRC begins its strategic planning process at least 1 year before the plan is to be submitted to Congress. The Strategic Plan covers a 4-year period and describes how the NRC plans to achieve its two strategic goals: (1) ensure the safe use of radioactive materials and (2) ensure the secure use of radioactive materials.

The NRCs Strategic Plan provides a blueprint for the agency to plan, implement, and monitor the work needed to achieve its mission. Specifically, the plan does the following:

• establishes the agencys strategic goals and performance expectations

• identifies long-term strategies to guide the agency

• provides the basis for agency budget and performance plans The NRC goes through a systematic process to develop the plan, which includes obtaining input and feedback from internal stakeholders (all NRC employees and the Commission), as well as external stakeholder input and comment.

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How can I demonstrate leadership and participate in strategic planning?

All of us have opportunities to participate during the planning and development process and are encouraged to provide comments and perspectives on what should be considered and included in the plan. Once the NRC Strategic Plan is developed and sent to Congress, managers use it as a guide and tool to plan and implement work and associated resources.

All employees can use the NRC Strategic Plan to understand the vision for the future of the agency, the mission and strategic objectives, and how their individual functions connect and support that vision.

All of us at the NRC should see our work as contributing to an important mission. If you do not see your specific work reflected in and supporting achievement of the Strategic Plan goals and strategies, please discuss this with your manager.

Where can I find out more?

• NUREG-1614, the updated NRC Strategic Plan

• OMB Circular A-11, Section 230Agency Strategic Planning A-15

ProcessesEstablish Goals and Systems To Execute Plans

6. Management System The NRC uses a management system comprising processes and procedures to ensure efficient, effective, and consistent employee actions that lead to predictable administrative and regulatory outcomes. The management system includes a range of controlled documents such as agency policies contained in MDs, program activities in the Inspection Manual and the Enforcement Manual, and a range of implementing guidance in office, regional, or other procedures.

Why is the management system part of the Leadership Model?

Establishing and maintaining a management system ensures that our people have the appropriate guidance for conducting the day-to-day business of the agency in an effective, efficient, and predictable manner.

How does the NRC develop and use the management system?

Each office responsible for particular functions develops and maintains a management system.

For example, MDs describe the most important agency functions and provide the process and guidance for implementing agency policy decisions. The MDs not only contain the what and the how, but also identify who is responsible for each action so you know where to get more information about actions you need to complete.

All NRC offices establish the processes and procedures that form the NRC management system, as well as determine any changes needed in response to internal and external factors to maintain office effectiveness.

The NRC management system helps each of us understand what needs to be done in a particular area and how to get it done. This system includes the policy and guidance on everything from entering our work and leave hours to the licensing and inspection required for the use of nuclear materials. While training is typically provided on NRC processes and procedures, a periodic or just-in-time review of processes and procedures by individuals as they go about their daily activities can help ensure we are working in accordance with the pertinent requirements.

Management system components are established and modified to meet the needs of the agency.

Many of the changes are made in response to feedback from individual employees and not necessarily from those employees who are part of the organization responsible for a particular process or procedure.

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How can I demonstrate leadership while participating in the management system?

We are all responsible for implementing the NRCs policies and procedures to the best of our ability. An important related concept is knowing that the procedures are expected to be effective in the vast majority of situations, but not necessarily in every possible case. Part of being a leader is identifying and communicating when procedures are not sufficient to address a particular situation. When this happens, we must work to identify the most appropriate action in a manner consistent with our values and the leadership behaviors that are central to the Leadership Model.

Where can I find out more?

• NRC Management Directives Web site (note that almost all of the narratives in this Appendix have an associated management directive as the highest-level agency procedure for that function) (internal site)

• NRC Inspection Manual and the Enforcement Manual Web sites

• office instructions, guides, and other key documents on the responsible offices intranet site (many are also linked to the intranet site titled Information Resources Topics)

(internal site)

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ProcessesEstablish Goals and Systems To Execute Plans

7. Organizational Performance Management and Quarterly Performance Reviews The NRC uses organizational performance management to ensure that the activities that support the agencys Strategic Plan objectives and goals are identified, communicated, given resources, and monitored. The NRC operates more effectively and achieves better outcomes when leaders at all levels of the organization set clear and measurable goals. It is also vital that leaders regularly engage within their organization and with their partners to critically review progress toward these goals. This process leads to the discovery of what works and what does not and any necessary adjustments.

Why is organizational performance management part of the Leadership Model?

Establishing organizational goals and objectives, along with meaningful, data-driven performance indicators (PIs) to support them, helps communicate priorities and shape our behaviors.

How does the NRC conduct organizational performance management?

The NRCs Performance Management Working Group comprises personnel from Headquarters and regional offices. The Working Group supports a Performance Improvement Panel, which consists of agency Deputy Office Directors. The NRC Performance Improvement Officer in the Office of the Executive Director of Operations serves as the agency lead for the performance management program by chairing the Performance Improvement Panel and leading the development, tracking, and reporting of PIs. The NRC reviews PIs each year and revises them as necessary to measure performance in key areas and track progress toward meeting the goals and objectives identified in the Strategic Plan.

Senior leadership reviews the PIs each quarter to ensure that NRC offices are meeting the goals and objectives while operating effectively and efficiently. Discussions at the QPRs cover the most important risks identified by senior leadership so that they can each be discussed, mitigation strategies assessed, and the impact of the risks reduced or minimized in the future.

The tool that the NRC uses in the QPR is called enterprise risk management, which is a systematic way to identify risks (an event or situation that may negatively affect NRC assets, activities, or operations). Once identified, each risk is assessed (what can happen, how likely is it, and what are the consequences), and internal controls are discussed. Internal controls are the agreed-on methods (for example, a working group or a procedure) by which we mitigate, prevent, or prepare for the risk. Risks discussed at QPRs using enterprise risk management A-18

include safety and security issues, new initiatives, financial issues, workplace issues, agency reputational issues, and legal issues.

How can I demonstrate leadership while participating in organizational performance management?

To demonstrate leadership, all of us can identify risks by raising concerns to our supervisors related to (1) meeting the agencys mission or other organizational priorities, (2) internal and external stakeholder expectations or needs, (3) new initiatives that can impact other planned activities, (4) significant cost increases or other financial management issues, (5) issues that could challenge the credibility or reputation of the NRC, or (6) legal issues. If identified early, many risks can be adequately controlled. It is important to remember that identifying a risk to management, or rating red on a PI, does not mean that someone has failed; rather, it means we have a key issue that merits management attention, strategy, teamwork, and collaboration to ensure we meet our goals. The key to our success as a regulatory safety agency is to identify the important issues and resolve them before they become problems.

Where can I find out more?

• The NRCs Performance Management Web site (internal site)

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ProcessesEstablish Goals and Systems To Execute Plans

8. Strategic Workforce Planning Strategic workforce planning (SWP) at the NRC enables the agency to have the right people with the right skills in the right place at the right time to accomplish the goals and objectives outlined in the agencys Strategic Plan. It supports the NRCs ability to recruit, retain, and develop a skilled, diverse, technical, and agile workforce to address emerging needs and workload changes to accomplish the agencys mission. SWP is also used to inform the NRCs budget formulation process and to structure the organization.

Why is strategic workforce planning part of the Leadership Model?

SWP helps the agency be more agile as the workload and workforce need to change, and it gives all of us information on the expected future mission needs of the NRC, which allows us to lead by more effectively planning career goals and development.

How does the NRC conduct strategic workforce planning?

The NRCs SWP process applies a structured approach and data-driven techniques to establish agencywide goals for workforce size and to develop strategies to address workforce gaps, overages, and employee development as the agencys needs change. By strategically managing our workforce, we will be able to reduce staff overages or shortfalls in critical skill sets and build an agile workforce that enables the NRC to shift qualified employees or their work assignments to meet the demands of a changing environment with speed and flexibility. The information collected helps us understand the future direction of the agencys work, and we are empowered to use this information to plan our professional development and career.

Organizations and managers participate annually in the NRCs SWP process by conducting a forward-looking environmental scan; forecasting the associated workload; and identifying the number of people and competencies, both existing and new, needed to prepare for and accomplish the future work of the agency. Managers and organizations use the data from this strategic view of the future to conduct a gap analysis that identifies anticipated short- and long-term shortages and surpluses. The information from the gap analysis helps them develop and implement strategies to align and adjust workload, skills, staff, and organizational structure to meet short- and long-term objectives. The SWP process is integrated with existing agency processes for strategic planning, staffing, budget formulation, performance management, and training and development. Strategies are continuously monitored, evaluated, and revised based on significant changes in the internal and external environment.

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How can I demonstrate leadership and participate in strategic workforce planning?

Everyone can use the information collected to better understand the future direction of the work of the agency and the skills that will be needed to support that work. We can proactively use this information to plan our development and careers.

In addition, we can help the NRC have quality SWP information by ensuring that our supervisor has a working understanding of our background, key skills, and abilities (including those gained from previous work).

Where can I find out more?

• the NRCs SWP SharePoint site (internal site)

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ProcessesEstablish Goals and Systems To Execute Plans

9. Corporate Support To achieve its important mission, the NRC relies on centrally managed corporate support functions to produce effective and efficient mission-related outcomes. These corporate support functions include financial management, information technology, information management, human resource management, training, outreach (including EEO or Small Business program),

security, safety, facility, acquisition, and administrative support services for NRC employees.

These functions also include services provided to members of the public, such as visitors to NRC facilities or users of the NRCs public Web site. Program/technical offices and regions align with corporate support functions by providing mission support activities and resources, which are carried out within their respective offices and complement the work of the corporate support offices.

Why is corporate support a part of the Leadership Model?

Standardized and centralized corporate support functions enable all of us to effectively apply our specialized knowledge, skills, and experience to our specific work assignments. All NRC employees are expected to demonstrate leadership with respect to items such as property stewardship, time and attendance management, fiscal responsibility, and completion of mandatory training.

How does the NRC conduct its corporate support activities?

The corporate support offices (Offices of the Chief Financial Officer, Chief Human Capital Officer, Administration, Chief Information Officer, and Small Business and Civil Rights) centrally manage support services. NRC corporate support services include the following activities:

• recruitment and hiring of qualified personnel

• training of employees

• formulation and execution of budgets

• facilitation and coordination of employee official travel

• support for computer and Internet use for effective communications

• coordination of employee and contractor accommodations in secure facilities with environments conducive to the completion of work A-22

• achievement of diversity and upholding of EEO/Equal Opportunity regulations and Special Emphasis Program activities

• procurement of high-quality contract support services

• achievement of small business goals

• management of documents important to accomplishing the NRCs goals and objectives Budgets for corporate support activities are formulated 2 fiscal years in advance, similar to the budgets for other agency activities. Offices providing corporate support activities work closely with partner offices to plan and fund the resources necessary to provide the right support services at the right time and in the right place. Corporate support personnel continue to work closely with partner offices as fiscal year plans are executed to ensure they understand any changes made to the plans. As a result, necessary adjustments are made to the plans in support of the agencys mission. Corporate support personnel also solicit feedback from partner offices to ensure that the services provided continue to meet their needs.

How can I show leadership as I participate in corporate support?

We are all expected to comply with NRC corporate support policies, processes, and rules of behavior.

People in NRC corporate offices work diligently to provide support services so that other employees can focus on pertinent priorities. Corporate support personnel work around the clock to maintain NRC computer systems, facilities, security, and other programs so that employees are well equipped with the resources needed to accomplish the agencys mission. It is quite common at the NRC for those who have worked in both a corporate office and in a programmatic office to come away with a new perspective and appreciation for the scope and pace of the work in the other office. We need to work in concert to ensure that we meet our mission outcomes. Therefore, as we practice the leadership behaviors in this model, each of us should be mindful of our interdependence and work to foster a positive work environment through our interactions across offices.

Where can I find out more?

• On the NRCs internal home page, in the services and support tab, is a key source of information and help for corporate services. The NRC Service Catalog (internal site) found there is a one-stop shop for service requests.

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10. NRC Communications and Information Sharing To gain and maintain trust, leaders at all levels must be effective communicators. The NRC has several vehicles for sharing information internally and externally in a transparent and timely manner. Clear communication and information sharing are critical for the success of any organization and are covered in the fundamental leadership behavior termed Collaboration and Teamwork.

Why are NRC communications and information sharing part of the Leadership Model?

Openness is one of the NRCs Principles of Good Regulation and is also one of its organizational values. Clarity is another Principle of Good Regulation. Leaders must be open and must provide clear and consistent messaging as the foundation for sound regulatory decisionmaking. It is true that in the absence of information, speculation fills the void. This speculation may cause unnecessary stress and waste resources, so leaders have a vested interest in proactive communication.

How does the NRC ensure good communications and information sharing?

From the most senior leaders to our newest coworkers and contractors, information sharing can take various forms. The Commission communicates through, for example, Staff Requirements Memorandums and the annual Commission meeting. The Executive Director for Operations (EDO) communicates through a series of scheduled meetings (e.g., all employees, all supervisors, agency mission meetings), as well as through the Ask the EDO feature. Members of the organization can communicate with each other and network through Yellow Announcements, the NRC Reporter, SharePoint, office and branch all-hands meetings, and lunchtime programs and presentations.

In addition, e-mail, Web, and public address announcements are used to convey information of interest to all of us. Announcements can be used to alert employees to information of an urgent or time-sensitive nature. Announcements posted to the agency intranet are issued through the Office of Administrations NRC Announcement System. The two principal types of Web announcements, NRC Announcements and NRC Yellow Announcements, are posted to the NRC@Work (internal site) home page, distributed via an automated e-mail system, and archived online by month and by category.

Information sharing is most effective when it is done early and often. Frequent, succinct communication minimizes the unsettling effect of information gaps. Even if all details of a A-24

particular initiative or proposed action are unknown, recipients of the information appreciate updates at each step of the process (as opposed to a full report at the end).

We all need accurate and timely information to do our jobs effectively. In recent years, the NRC has significantly improved its information-sharing capabilities (i.e., redesigned the internal Web site, SharePoint, frequent communications from the EDO). Consistent dissemination of information is vitally important for successful daily operations.

How can I demonstrate leadership in my communications and information sharing?

Communications is the lifeblood of all leaders.

Most of the time when we think about our ability to communicate, we focus on technical writing and oral communication skills. These technical skills are critical to being an effective communicator. Seek training and feedback in this area to improve those skills; however, remember that although technical writing and speaking skills are critical, if you concentrate on only these aspects of communication, you may not improve the communication within and outside your group.

Also, much of our daily communication is very informal and does not call for technical precision. Understand and pay attention to your nonverbal communication and habits.

Actively practice the behaviors in this Leadership Model, and proactively and constructively engage in dialogue that encourages good communication.

Finally, your ability to communicate largely depends on whether you are a good listener. If you are not listening, you will miss essential information in a conversation and may be sending a message to the speaker that will discourage future conversations. Failure to communicate is often the result of a failure to listen.

Where can I find out more?

The following NRC Web sites are valuable sources of announcements and information:

• NRC Announcement Program (NRC@Work includes NRC announcements and Yellow Announcements) (internal site)

• NRCs social media information Web site

• NRCs Ask the EDO Web site (internal site)

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11. Partnerships, Collaborations, Networks, and Councils Partnerships, collaborations, networks, and councils are key mechanisms to work with others on a shared goal or interest. Involvement in such relationships includes both internal and external organizations and spans all levels of the organization.

Creating partnerships and collaborations, developing networks, and participating on councils are key activities that enable the NRC to successfully conduct the work of the agency and promote a team-focused culture.

Why are partnerships, collaborations, networks, and councils part of the Leadership Model?

An essential leadership competency is the ability to build partnerships, foster teamwork and collaboration, and represent the organization in both internal and external agency activities. These characteristics promote the NRC organizational values of cooperation and service and contribute to the agencys ability to effectively accomplish its safety and security mission.

How does the NRC develop and leverage partnerships, collaborations, networks, and councils?

The NRC establishes and cultivates relationships internally and with various industry and governmental organizations to provide effective leadership in fulfilling the agencys safety and security mission. Further, the NRC participates on various U.S. and international councils to ensure that the agency is a key player in the development of regulatory perspectives and approaches not only in the United States but also with the international nuclear community.

Employees at all levels can more effectively and efficiently accomplish work goals and tasks by establishing partnerships with colleagues and participating on collaborative teams.

How can I demonstrate leadership as I develop partnerships, collaborations, networks, and councils?

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NRC employees may serve as representatives for the agency on industry and international boards and councils.

Actively engaging in these activities requires that NRC leaders (1) maintain a collaborative and team-focused mindset when completing tasks and considering changes and improvements, (2) seek input from others and actively look for opportunities to build relationships and networks, (3) gain informed input from those they represent when participating on more formal boards or councils, and (4) look for ways to grow in their partnering, collaborating, and networking skillsets.

As leaders at the NRC, all of us should regularly work to develop partnerships with internal colleagues and external stakeholders. In addition, we should use networking opportunities to enhance our groups and agencys performance.

Where can I find out more?

• Annual Regulatory Information Conference (internal site)

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12. Safety Culture The NRC recognizes the importance of maintaining a healthy safety culture and the need to continuously improve its internal organizational effectiveness by including safety culture, along with the agencys values and Principles of Good Regulation, in the NRCs overall organizational culture. The NRC strives to create a work environment that focuses on safety and security and encourages all employees to raise and listen to concerns.

Why is the NRCs safety culture part of the Leadership Model?

Practicing and promoting the safety culture values and traits in our interactions demonstrates respect and cooperation and sets the tone for good decisionmaking for all NRC activities including safety decisions related to our licensing and oversight mission.

How does NRC establish its safety culture?

The NRCs Safety Culture Policy Statement (SCPS) was developed for our licensees. Because of the universal nature of the definition and traits of the SCPS, its tenets can also be used as a model for the NRCs safety culture. The SCPS included 9 traits; however, a 10th trait, decisionmaking, was added as an area of NRC focus. No one trait is sufficient on its own; rather, it is the combination of these traits that leads to a strong safety culture. Behavioral examples for each of the NRCs safety culture traits were developed from both NUREG-2165, Safety Culture Common Language, issued March 2014, and the NRCs Behavior Matters Initiatives.

How can I demonstrate leadership as I participate in NRCs safety culture activities?

All NRC employees are expected to exhibit behaviors and actions that support the values and traits of a healthy safety culture on a daily basis. In addition, NRC mechanisms for expressing and resolving differing views are available to all employees whenever they need them.

The NRCs safety culture consists of the core values and behaviors resulting from a collective commitment by its leaders and individuals to emphasize safety to ensure the protection of people and the environment. We are all responsible and accountable for exhibiting behaviors and actions that support a healthy safety culture. The characteristics and behaviors of the Leadership Model align with the traits and behaviors of the NRCs safety culture. Therefore, the Leadership Model provides the foundation and support necessary for developing and maintaining a strong safety culture for our work environment.

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In addition, all of us are expected to voice our thoughts, ideas, issues, and concerns and to propose solutions as early as possible in the decisionmaking process. NRC mechanisms for expressing and resolving differing views, including informal discussions, the Open Door Policy, Non-Concurrence Process, and Differing Professional Opinion Program promote and support a positive safety culture. All employees are expected to respect the processes and mechanisms that are in place to enable them to express their concerns or differing opinions.

Moreover, training and development classes offered throughout the year support the NRCs safety culture. The Office of the Inspector General conducts the Safety Culture and Climate Survey on a triennial basis, and the Office of Personnel Management conducts the Federal Employee Viewpoint Survey annually to gather our perspectives on our work experience and environment and to measure the NRCs safety culture and climate.

Where can I find out more?

• Safety Culture Web site

• Organizational Development Web site (internal site)

• Differing Professional Opinion Program Web site (internal site)

• Non-Concurrence Process (internal site)

• Open Door Policy (internal site)

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