1. THE Y-12 EXPERIENCE: IMPLEMENTING AND MEASURING A NUCLEAR SAFETY CULTURE Dr. Jeff Miller, Oak Ridge Associated Universities (ORAU) Paul Wasilko, B&W Y-12. LLC June 2, 2014 UNCLASSIFIED This document has been reviewed by a Y-12 DC/UCNI-RO and has been determined to be UNCLASSIFIED and contains no UCNI. This review does not constitute clearance for public release. Name: Paul R. Wasilko Date: May 27, 2014 1

2. DISCLAIMER This work of authorship and those incorporated herein were prepared by Contractor as accounts of work sponsored by an agency of the United States Government. Neither the United States Government nor any agency thereof, nor Contractor, nor any of their employees, makes any warranty, express or implied, or assumes any legal liability or responsibility for the accuracy, completeness, use made, or usefulness of any information, apparatus, product, or process disclosed, or represents that its use would not infringe privately owned rights. Reference herein to any specific commercial product, process, or service by trade name, trademark, manufacturer, or otherwise, does not necessarily constitute or imply its endorsement, recommendation, or favoring by the United States Government or any agency or Contractor thereof. The views and opinions of authors expressed herein do not necessarily state or reflect those of the United States Government or any agency or Contractor thereof. COPYRIGHT NOTICE This document has been authored by a contractor/subcontractor of the U.S. Government under contract DE-AC05-00OR-22800. Accordingly, the U.S. Government retains a paid-up, nonexclusive, irrevocable, worldwide license to publish or reproduce the published form of this contribution, prepare derivative works, distribute copies to the public, and perform publicly and display publicly, or allow others to do so, for U. S. Government purposes. 2

3. Situation Analysis June 2011 Defense Nuclear Facilities Safety Board (DNFSB) Recommendation 2011-1, Safety Culture at the Waste Treatment and Immobilization Plant December 2011 Department of Energy (DOE) Implementation Plan Direction to contractor organizations to complete a self-assessment Y-12 history: ‑ Verification/Validation of Integrated Safety Management Programs in 1998 – 1999 ‑ Graded approach to Conduct of Operations implementation ‑ Voluntary Protection Program (VPP) Star Site status achieved in 2012 ‑ Monitoring Panel established in 2013 ‑ July 2014 contractor change 3

4. Where We’ve Been Employee Concerns Program (2005) Ensures employees can raise issues without fear of retaliation or reprisal YPrYde Program (2010) Encompasses all activities related to cleanliness of facilities and the elimination of unsafe conditions Employee Teams (2008) Comprise groups of employees workgroup or function Identify and resolve ES&H issues specific to work areas INPO CONOPS Assistance Visit (2011) Observed behaviors that were indicative of having a healthy SCWE Identified 8 gaps to excellence UPF HSS Assessment (2012) Highlighted positives and areas for improvement Caused initiation of improvement program Joint UPF policy Self-assessments and surveys Technical Issues Management System HPI training Production Quality of Work Life Improvement (2012) Expanded Production employee teams Applied RTBF budget to prioritized improvements DPO (2012) Added DPO to Employee Concerns Program Joint Implementation Plan (2012) Developed joint NPO/Pantex/Y-12 policy Issued communications plan Supervisors/Manager meetings C. Spencer All Hands meeting Memo Trained senior managers Key Performance Indicators (2012) Established KPI for SCWE 4

5. Feedback and Monitoring Effort: Dashboard Development 5

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7. Safety Culture Assessment Methods Develop the work plan ‑ Scope, schedule, and budget ‑ Multiple sources of data; protocol for each method Survey ‑ Develop and test instrument ‑ Electronic and hard-copy administration Interviews with management ‑ Recorded, One-on-one Focus groups with hourly workers ‑ Small groups with facilitator and scribe Direct observation of work activities ‑ Use of Checklist by trained observers 7

8. Y-12 Survey Results 8

9. Results Indicate the Following Leadership accountability is the dominant trait in determining the perceptions of Safety Culture as indicated from the results of the questionnaire, interviews, and observations “Personal accountability” and “Questioning attitude” were the two highest scoring traits and were repeatedly mentioned in a positive light The complexity of the Work Planning & Execution processes elicited both positive and negative comments. While the processes promote greater discipline, hazard identification and control, and worker feedback, both management and workers recognize that some processes seem to be an “overkill” when applied to certain situations Overall, managers have a more positive perception of our Safety Culture than non-managers Generally speaking, hourly workers have a lower perception of our Safety Culture. Further analysis showed that this is true for some organizations but not others. 9

10. Safety Culture Traits by Payroll Status 10

11. Management Interview Results 22 interviews conducted with members of the management team Participants represented a vertical slice of the organization Primary interview results: ‑ Employees have a strong commitment to Y-12 and accept responsibility for their own safety as well as the safety of their coworkers ‑ While workplace safety has made significant progress over the last few years, future improvements will require overcoming challenges related to resource restraints, balancing production with safety, and implementing safe and effective management processes 11

12. Non-management Interview Results 13 Focus Groups were convened to collect data from non-management personnel for comparison with the results of the survey and other interviews. Participants included a vertical slice from the organization Results distilled into 3 themes ‑ Management behavior with respect to safety communication, decision making, resource allocation, and priorities ‑ Employees have a strong understanding of safety rules and are committed to protecting themselves and each other ‑ Supervisors play a key role in encouraging employee involvement by their trustworthiness and providing feedback on identified issues 12

13. Behavioral Observation Results 33 Safety Culture observations were made by members of the Nuclear Safety Culture Monitoring Panel. Observations were made during pre- job briefings, meetings, plan of the day/week meetings, and team meetings 435 discrete comments were coded and reviewed to identify 3 themes: ‑ Employees are committed to protecting themselves and each other by ensuring that a situation is safe before proceeding ‑ Communications from senior management and meetings reflect safety as a core value ‑ Employees sometimes receive mixed messages regarding leaders’ commitment to safety 13

14. Conclusions Based on the results of this evaluation, it is concluded that the Y-12 Safety Culture has a solid foundation based on personal accountability and a questioning attitude as reported by managers, non-managers, and hourly workers. Participants indicated a high degree of trust in their supervisor and that they are treated with respect They indicated they are willing to report mistakes and safety issues to their supervisor and they generally did not perceive retaliation for reporting safety concerns The aging facilities and funding shortfalls are dynamics that impact the ability to resolve safety issues in a timely manner and may have a negative impact on the Safety Culture perceptions of some workers 14

15. Initial Recommendations Communicate evaluation results to all employees Develop an Improvement Plan based on these results ‑ Dedicate sufficient resources to execute the plan Re-evaluate the effectiveness of changes made in the Safety Culture Program in 1 to 2 years Evaluate the conditions that lead to the higher perception of Safety Culture within the Construction organization for use across other groups Develop/maintain systems to identify any and all potential cases of retaliation for raising a safety concern. Investigate and resolve cases promptly and confidentially. 15

16. Use of Logic Model in the Improvement Plan 16