ML030340172
| ML030340172 | |
| Person / Time | |
|---|---|
| Site: | Cooper  |
| Issue date: | 11/25/2002 |
| From: | Coyle M Nebraska Public Power District (NPPD) |
| To: | Merschoff E NRC Region 4 |
| References | |
| IR-02-007, NLS2002141 | |
| Download: ML030340172 (107) | |
Text
NEBRASKA PUBLIC POWER DISTRICT COOPER NUCLEAR STATION INFORMATION ONLY THE STRATEGIC IMPROVEMENT PLAN (TIP)
Revision 2 NOVEMBER 25, 2002
THE STRATEGIC IMPROVEMENT PLAN TABLE OF CONTENTS Table of Contents TIP Revision Log Affirmation Signatures Iii 1.0 OVERVIEW I
1.1 INTRODUCTION
1.2 PURPOSE 1.3 CNS MISSION STATEMENT 1.4 PILLARS OF EXCELLENCE 1.5 ROADMAP TO EXCELLENCE 2.0 FOCUS AREAS 10 2.1
SUMMARY
OF FOCUS AREAS 2.2 STREAMING ANALYSIS OF FOCUS AREAS 3.0 ACTION PLANS 17 3.1 ACTION PLAN FORMAT AND CONTENT 3.2 LIST OF ACTION PLANS 3 3 ACTION PLAN IMPLEMENTATION RESPONSIBILITIES 3.4 ACTION PLAN SCHEDULING AND TRACKING 3.5 ACTION PLAN CLOSURE PROCESS 3.6 ACTION PLAN REVISIONS 4.0 MANAGEMENT OVERSIGHT OF TIP IMPLEMENTATION 25 4.1 SENIOR MANAGEMENT OVERSIGHT 4.2 QUALITY ASSURANCE ASSESSMENTS 4.3 TIP PERFORMANCE MONITORING APPENDICES A-1 ACTION PLAN MATRIX A-2 ORGANIZATIONAL EXCELLENCE PILLAR - ACTION PLANS A-3 OPERATIONAL EXCELLENCE PILLAR - ACTION PLANS A-4 EQUIPMENT EXCELLENCE PILLAR - ACTION PLANS A-5 TRAINING EXCELLENCE PILLAR - ACTION PLANS i
TIP REVISION LOG 0
4/8/2002 Initial issuance of the TIP. Designed to be an integrated, evolutionary improvement document created to address CNS performance issues. Included a '3-phased' (Tactical, Strategic, and Transition) approach. Contained an initial set of priorities and focus areas established by site management team.
6/10/2002 Revision 1 included further identification and scope determination of CNS performance issues. A review of significant internal and external assessments, NRC inspection reports, previous improvement plans, and data from the Corrective Action Program identified a total of eighteen focus areas.
The action plans were organized into 4 areas of improvement referred to as 'Pillars of Excellence' and titled, as follows:
"* Organizational Excellence
"* Operational Excellence
"* Equipment Excellence
"* Training Excellence Revision 2 includes enhancements that were primarily 2
11/22/2002 formulated based upon experiences associated with implementation of Revision 1 and from insights from the NRC 95003 inspection process. Revision 2 includes the further development and refinement of the action plans. Actions plans were revised to address results of NRC 95003 inspection, management reviews and lessons-learned, and QA surveillance results.
Additional action plans were developed to address issues associated with:
"* Teamwork
"* Internal Communications
"* Quality Assurance
"* Industrial Safety
"* Procedure Management
"* Radiation Control Practices
"* Materials Management
"* Equipment Issue
"* Design Modification Process The action plans have been resource loaded, I
prioritized, and scheduled.
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AFFIRMATION The following NPPD and CNS leaders commit to the individual, team and organizational behaviors necessary to ensure successful results with both the The Strategic Improvement Plan (TIP) and the longer-term transition to Excellence.
D. Wilson Vice President - Nuclear and Chief Nuclear Officer M. Coyle Site ice Pre ident J./ lutton antMana 7 J. Christensen Nuclear Tra' ing an er Operations Manager N. Wetherell Maintenance Manager cOý- nrole R. Estrada Performance Anoysts Manager T. Chard Radiological Manager K. R. Jones Design Engineering Manager IýL-aC4--
iv D. Kunsemiller Senior an e Quality Assurance P/Flemi'ng Nuclear Licensing fety Managee D. Cook Senior Mana Emerge9 reparedness G. Casto
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Emergency Pr parednE~s Manager Senior Manager Continuous Improvement Programs - Acting D. Christensen Manger Organizational Development V. Roppel Senior Manager Engineering - Acting R. Wulf P~at Engineern M aer - Acting L. Schilling n
l Administrative Services Mang Senior Manager-Finance, Strategic Business Planning
" Ergine=,z[
Support ManagLr FuI andReacto neering Manager R. Dewhirst Director of Nuclear Projects D. Meyers Senior Manager Site S pport C. Kir~ffand Nuclear Information Tec
_ yManager Security Manager A
H. kLnassian Material Services Manager S. Brown Business Services Manager D. Blythe S/ ior Projct ger-TIP B. oline CAP Implementation Manager OutaýManager V
1.0 OVERVIEW
1.1 INTRODUCTION
Cooper Nuclear Station (CNS) continues to be operated in a manner that protects the public health and safety. In recent years, however, overall station performance has not consistently met management expectations and industry standards. Nebraska Public Power District (NPPD) management and employees, the NPPD Board of Directors, and the Nuclear Regulatory Commission (NRC) have acknowledged the need to improve performance at CNS. As a result, NPPD management has taken action to achieve this result.
An initiative began in early 2002 to develop a performance improvement strategy which resulted in development of a broad-based improvement plan - The Strategic Improvement Plan (TIP). This document comprises Revision 2 of TIP. Corrective actions and performance enhancements contained in TIP Revision 1 continued to be executed during the development of TIP Revision 2. The issuance of this TIP Revision 2 document, supercedes TIP Revision 1 in its entirety.
TIP Revision 2 is organized as follows:
"* Section 1 - provides an overview of TIP Revision 2 by summarizing the TIP's Purpose, CNS Mission Statement, CNS Pillars of Excellence and CNS Roadmap to Excellence.
"* Section 2 - summarizes the Focus Area performance issues.
"* Section 3 - summarizes the TIP Action Plans.
"* Section 4 - summarizes management oversight of TIP implementation.
"* Appendices A.1-A.5 - provide a matrix of the Action Plans and copies of TIP Action Plans categorized by Pillars of Excellence.
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1.2 PURPOSE The purpose of TIP is to provide a roadmap for successful performance improvement at CNS. TIP aligns NPPD, the CNS organization, site programs, and initiatives toward the consistent objective of excellent performance. TIP aligns the CNS organization around a common mission and focuses on four Pillars of Excellence for improving station performance. TIP identifies specific focus areas for improvements and provides action plans, and associated action steps, required for implementing and sustaining improved performance. The hierarchal relationship of the elements of TIP are illustrated in the following diagram:
MISSION I
PILLARS OF EXCELLENCE l
I FOCUS AREAS I
ACTION PLANS The primary work involved in developing TIP included; 1) identification of focus areas in need of performance improvement, 2) development of action plans and associated action steps leading to the necessary focus area improvements, and 3) development of management oversight and TIP performance monitoring processes to ensure effective implementation of the action plans and sustained performance improvement.
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In summary, TIP Revision 2 is the product of an integrated, evolutionary improvement planning process. As such, it continues to be a living document that will be revised and
"'-updated as dictated by future evaluations, assessments, and issues.
1.3 CNS MISSION STATEMENT The highest CNS priority is the protection of the public health and safety. Due to the volume and complexity of actions necessary to improve performance at CNS, consistent and persistent NPPD management attention is necessary to improve performance, to sustain those improvements, and to prevent or mitigate emergent issues from having safety significance. This station priority and management's commitment to excellence are reinforced by the following CNS Mission Statement:
ACHIEVE EXCELLENCE IN SAFE, RELIABLE, AND COST-EFFECTIVE OPERATION 3
1.4 CNS PILLARS OF EXCELLENCE The Strategic Improvement Plan is focused on four key elements, or pillars, for improving station performance: 1) Organizational Excellence, 2) Operational Excellence, 3) Equipment Excellence, and 4) Training Excellence. CNS Pillars of Excellence are illustrated below.
These Pillars of Excellence represent fundamental areas of plant operation that must be present at CNS to sustain top-level performance. The Pillars of Excellence also were selected as the preferred method for organizing CNS performance management and monitoring activities. TIP is organized to promote a transition to a long-range plan also centered on the four Pillars of Excellence.
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1.5 ROADMAP TO EXCELLENCE The CNS "Roadmap to Excellence" is depicted in Figure 1-1. The "Roadmap to Excellence" identifies a number of major ongoing objectives that must be successfully completed over the next three to four years as the CNS organization strives for excellent performance.
Major ongoing objectives are summarized in the following paragraphs.
- FOCUS AREA PERFORMANCE IMPROVEMENTS As explained above, TIP Revision 2 sets forth corrective actions that address longstanding organizational performance, programmatic, and equipment reliability issues.
TIP Revision 2 includes eighteen specific focus areas targeted for improved performance.
The issues associated with the eighteen focus areas are broad in scope and form the foundation for comprehensive improvement actions defined in TIP Revision 2. The eighteen focus areas are summarized in Section 2.0. Specific action plans, and associated action steps, have been formulated to address performance issues identified in the focus areas.
The action plans are summarized in Section 3.0.
Timely and effective completion of the TIP action plans is required to implement and sustain improved performance. Accomplishing the performance improvements expected in each of the focus areas is a critical objective as CNS strives for excellent performance.
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INSPECTION PROCEDURE 95003 ISSUE RESOLUTION A key CNS objective is the satisfactory resolution of issues associated with the NRC 95003 Inspection and removal of CNS from the Multiple/Repetitive Degraded status of the NRC Reactor Oversight Process Action Matrix. In this regard, it is critical that CNS sustain ongoing improvements in the Emergency Preparedness area in order to close associated "white findings."
9 CONFIRMATORY ACTION LETTER (CAL) CLOSURE Another critical action will be the identification and closure of commitments which will be set forth in a future Confirmatory Action Letter (CAL). The NRC will issue a CAL that will confirm appropriate commitments made by CNS. An analysis of the focus areas, conducted during the development of TIP Revision 2, was used to formulate a perspective on those focus areas which are potentially appropriate for inclusion in the CAL. Commitments made by CNS will include a subset of the action plans, and associated action steps, identified by the analysis of the TIP Revision 2 focus areas. Closure of the CAL is an important milestone and a key confirmation step to move forward on the road to excellence.
On the regulatory front, the overall objectives are to return CNS to the Licensee Response Status of the NRC Reactor Oversight Process Action Matrix, close the CAL, and demonstrate sustained improvements resulting from successful execution of TIP Revision 2.
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0 TRAINING ACCREDITATION TIP Revision 2 includes actions to sustain and strengthen the CNS training programs. A critical parameter to the successful operation of the plant is to retain effective and fully accredited training programs. Obtaining accreditation renewal for the Operations Training Programs is an important, near-term objective.
0 REFUELING OUTAGES (RFOs 21 & 22)
Although not a regulatory compliance matter, the successful implementation of the refueling outages scheduled for the spring of 2003 (RFO 21) and the fall of 2004 (RFO 22) are also critical station priorities. The objective is to meet outage performance goals. Performance of the scheduled refueling outages will provide management with key performance indications on the success of the TIP actions taken for outage and work planning. The refueling outages also provide management with the opportunity to recalibrate actions mid course because the 2003 or 2004 refueling activities will provide lessons-learned in many key areas.
PERFORMANCE MEASURES & EFFECTIVENESS REVIEWS An on-going effort on the road to excellence will be the continuing administration of an effective performance review and oversight process. The performance initiatives in TIP will be measured to ensure the actions are achieving the desired performance improvements.
This will be accomplished through indicators that are measurable, achievable, and reinforced by management on a regular basis. These indicators will allow management to recognize substantial improvements and to take immediate action should there be a negative trend or improvements are not meeting established goals. A summary of the oversight processes that will be used to monitor performance is included in Section 4.0.
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0 TIP/BUSINESS PLANNING TRANSITION TIP is a performance improvement plan which focuses on a defined set of performance issues. Consequently, as the issues are resolved and closed to the satisfaction of management, CNS will transition back to a traditional Business Planning mode of operation.
As the TIP actions cumulatively approach completion and sustained performance improvements are demonstrated, a transition from TIP to a traditional Business Planning process will occur.
0 TIP CLOSURE TIP closure is the culmination of: 1) actions taken to resolve the long-standing performance issues at CNS, 2) satisfactory closure of the associated regulatory issues, and 3) the achievement of performance improvements in the organizational, operational, equipment, and training Pillars of Excellence. TIP closure confirmation will be achieved through satisfactory results reflected in performance indicators, effectiveness reviews, action plan closure documentation, regulatory inspections, accreditation reviews, and effective im plem entation of actions that support transition to an effective, traditional Business Planning mode of operation.
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FIGURE 1-1 CNS ROADMAP TO EXCELLENCE 2005 Return to traditional Business Plannina 2005 - 2006 TIP rlo-ijirp 2004-2005 TIP Focus Area performance improvements sustained 2003 IP 95003 Issue Resolution Closure of NRC "white findings" 2003-4 TIP Focus Area performance improvements evident 2003 High priority TIP Focus Area Actions implemented 1993-4 Performance decline identified 2002 TIP REV 2 issued 2002 CNS enters NRC multiple/repetitive degraded status 9
2.0 FOCUS AREAS 2.1
SUMMARY
OF FOCUS AREAS An important step in developing TIP was to identify and understand the scope of performance issues that exist at CNS.
TIP Revision 0 resulted from an improvement initiative begun in early 2002. TIP Revision 0, issued on April 8, 2002, contained an initial set of priorities and focus areas established by the site management team.
Development of TIP Revision 1 emphasized the identification of additional performance issues and their scope. CNS conducted a review of significant internal and external assessments of performance at CNS, NRC inspection reports, previous improvement plans, and data from the Corrective Action Program. A review of these documents resulted in the identification of additional focus areas where improvements were required which had not previously been identified in TIP Revision 0. A total of eighteen focus areas were identified.
S 1 of the TIP was issued on June 10, 2002.
Revision 1 was issued with the understanding that Revision 2 would be submitted after completion of the NRC 95003 Inspection. At the time of the inspection, the NRC and CNS were aware that TIP was a work-in-progress and that there would be areas requiring further details and additional focus.
Experiences and observations associated with the NRC 95003 Inspection, along with lessons-learned from implementation of TIP Revision 1, contributed to a further refinement in the identification and scoping of CNS performance issues in the eighteen focus areas.
As part of TIP Revision 2, a total of fifty-five action plans have been developed to correct the performance issues associated with the eighteen focus areas. The process used to formulate the focus areas resulted in action plans that include problem statements, causal 10
factors, and objectives. Action steps included in each action plan are intended to address the causal factors which contributed to the identified performance issue.
As a summary overview, the following paragraphs identify the eighteen focus areas and provide a brief characterization of the improvements and desired outcomes expected from successful implementation of TIP Revision 2. Details regarding specific improvement objectives and planned improvement actions are contained in the TIP action plans attached in Appendices A-2 through A-5.
0 MANAGEMENT EFFECTIVENESS Improvement initiatives will correct long-standing organizational issues which have impacted station performance. The CNS organization will align around station objectives and priorities. CNS will consistently communicate and reinforcement standards and expectations that will result in behaviors that improve CNS performance and promote an engaged workforce. Improvements to the succession planning, change management, program management, performance monitoring, and management observation process will improve management effectiveness.
9 COMMUNICATIONS Actions are expected to improve the timeliness, accuracy, and consistency of internal and external regulatory communications.
Better communications is expected to improve credibility with stakeholders, improve trust between management and the workforce, and improve coordination between work groups.
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0 HUMAN PERFORMANCE Improvements will be made to the CNS Human Performance program resulting in a decrease in the number of human performance errors.
OVERSIGHT AND ASSESSMENT Quality Assurance (QA) will be more successful in assuring CNS management more effectively responds appropriately to QA findings. Self-assessments will be more effectively used to proactively identify station problems and improve station performance.
0 FISCAL RESPONSIBILITY CNS will consistently adhere to its O&M and Capital budgets. Controls will be established which assure resources are more effectively managed. CNS will be viewed by stakeholders as a fiscally responsible organization.
OPERATIONAL FOCUS The organization will perform in a manner that places the primary focus of its resources on meeting the operational needs and demands of the plant. An operationally focused culture will permeate the site-wide organization.
OPERATIONALLY FOCUSED & ALIGNED ORGANIZATION The conduct of operations at CNS will meet industry standards and consistently demonstrate high standards. Performance standards will be effectively communicated and enforced by Operations Management. To support the conduct of operations, improvements will be made to the operability determination process, procedure management process, and industrial safety practices.
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EMERGENCY PREPAREDNESS The CNS Emergency Preparedness Program will continue to be strengthened to assure protection of the health and safety of the public. The CNS corrective action program will be more effectively used to resolve program issues. The CNS Emergency Preparedness Program will be supported by an effective performance monitoring program which will contribute to management's ability to assure the ongoing health of the Emergency Preparedness Program.
OUTAGE PLAN DEVELOPMENT Management expectations and standards for the preparation of outages will be effectively established and adhered to. Outage support personnel will be in place to ensure that necessary outage preparations have been completed and outage performance objectives are met. Scoping, planning and scheduling activities will be executed to the degree required to support the development of a comprehensive and credible outage schedule.
0 OUTAGE IMPLEMENTATION Outage implementation improvements will be made by improving contractor support.
Management oversight will be effective in monitoring and controlling performance of outage contractors.
0 WORK PACKAGE DEVELOPMENT Improvements will be made in prioritizing, planning, scheduling, and executing work.
Consistent organizational ownership, commitment, and support of the 12-Week Schedule will be evident. Expectations for the work management process will be established and reinforced by management.
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0 WORK IMPLEMENTATION Work practices at CNS will be improved because management will provide greater oversight of work activities and will reinforce performance standards. In turn, this will assure adherence to industrial safety standards, procedure use standards, and radiation control practices, and will improve maintenance work practices.
0 CORRECTIVE ACTION, OPERATING EXPERIENCE, SELF-ASSESSMENT High standards and expectations related to all aspects of the Corrective Action Program (CAP), including root cause evaluations and the use of operating experience, will be consistently provided and reinforced to ensure that CAP is effectively utilized to improve station performance.
a FUNCTIONS & SERVICES Business critical support functions and administrative services, including the vendor manual program, procedure management process, and materials management will be maintained and administered at a standard that sufficiently accommodates the needs of plant organizations.
- MATERIAL CONDITION & EQUIPMENT RELIABILITY An integrated equipment reliability process will anticipate and prevent system and equipment problems. Long-standing, specific equipment performance and reliability problems will be resolved for selected high priority systems and components.
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0 PROGRAMS Improvements to CNS Engineering Programs, which are at various stages along a trend of cyclical programmatic performance, will be made. Engineering Programs will be aligned with industry standards and consistent management oversight will sustain performance.
KEY MODIFICATIONS, PROJECTS, CONFIGURATION Design modifications, operability determinations, safety analyses and other engineering products will be timely and of sufficient quality to support the operational needs of the station.
TRAINING PROGRAM The CNS training programs will be used to effectively contribute to resolving long-standing performance issues. CNS work groups will effectively use training to improve and correct problems and to communicate performance standards. Improved line management ownership of training will assure CNS training programs are maintained at current industry standards for training excellence.
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2.2 STREAMING ANALYIS OF FOCUS AREAS 2.2.1 OVERVIEW OF THE STREAMING ANALYSIS PROCESS The eighteen focus areas characterize the volume and breadth of performance issues at CNS. Based upon experience with the implementation of TIP Revision 1, CNS recognized the need to better prioritize the actions required to resolve the focus area performance issues. A process called "streaming analysis," a form of cause and effect analysis, was selected to identify the higher priority focus areas and associated action plans within TIP Revision 2. In addition to aiding in prioritization of the focus area performance issues, the "streaming analysis" was also used by CNS to formulate a perspective on those focus areas which are potentially appropriate for inclusion in a Confirmatory Action Letter.
2.2.2 RESULTS OF THE STREAMING ANALYSIS From the results of the "streaming analysis," CNS has determined that the issues and planned corrective actions associated with five focus areas are appropriate to consider for inclusion in a Confirmatory Action Letter:
"* Key Modifications, Projects and Configuration
"* Corrective Action Program
"* Human Performance
"* Material Condition and Equipment Reliability The corrective actions completed to date in the Emergency Preparedness (EP) area and the performance of the Emergency Response Organization demonstrate that the issues identified in the White findings have been satisfactorily resolved. Therefore, there are no remaining EP corrective actions considered for inclusion in the Confirmatory Action Letter.
However, NPPD recognizes that closure of the White findings in EP needs to be accomplished.
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Although not identified as a high priority area through the "streaming analysis," CNS has determined that, due to long-standing cyclical performance in engineering programs, the Programs Focus Area should also be considered for inclusion in the Confirmatory Action Letter.
3.0 ACTION PLANS 3.1 ACTION PLAN FORMAT AND CONTENT The TIP action plans are the primary tool for documenting and tracking performance improvement progress and closure. These plans have defined owners with clear and concise problem statements. The actions are assigned to individuals and have start and end dates and expected deliverables.
The action plans in TIP have been resource loaded. Additionally, baseline and outage work has been resource loaded and integrated with the resource requirements of TIP. The resource requirements were then levelized over the duration of the TIP to the extent practical. Change management steps required to implement TIP are also included in K-*'
appropriate action plans.
Performance management processes and practices will be used to oversee and monitor implementation and closure of each action plan and respective groupings of action plans to ensure success in improving performance. These processes and practices are necessary for achieving targeted levels of improved performance and maintaining those levels for a sustained period. This is an integral part of confirming successful completion and closure of the action plans. Section 4.0 provides additional details on the management oversight and monitoring practices that will be used to monitor execution of TIP and performance results.
3.2 LIST OF ACTION PLANS The TIP action plans are categorized into the four CNS Pillars of Excellence. Appendix A-1 provides a matrix that depicts the categorization of each action plan by Pillar of Excellence and focus area. The TIP action plans are attached in Appendices A-2 through A-5.
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A list of the TIP action plans, categorized by Pillars of Excellence, follows:
Management Effectiveness Focus Area 5.1.3.1 External Regulatory Communications 5.1.3.2 Internal Communications Human Performance Focus Area 5.1.4.1 Human Performance Oversight and Assessment Focus Area 5.1.5.1 Self Assessment 5.1.5.2 Quality Assurance Effectiveness Fiscal Responsibility Focus Area 5.1.6.1 Fiscal Policy Improvement Operational Focus Focus Area 5.1.7.1 Operationally Focused Organization 18 5.1.1.1 Organizational Effectiveness 5.1.1.3 Integrated Work Management Process 5.1.1.5 Management Observation Program 5.1.1.6 Performance Monitoring 5.1.1.7 Succession Planning 5.1.1.8 Learning Organization & Industry Participation 5.1.1.9 Program Management 5.1.1.10 Change Management Communications Focus Area
Operationally Focused and Aligned Organization Focus Area 5.2.1.1 Operational Department Excellence 5.2.1.2 Operability Determinations 5.2.1.3 Industrial Safety 5.2.1.4 Procedure Management Emergency Preparedness Focus Area 5.2.2.1 Improve/Maintain Emergency Preparedness Outage Plan Development Focus Area 5.2.3.1 Outage Management & Monitoring 5.2.3.2 Planning/Timeliness 5.2.3.3 Scheduling/Monitoring Outage Implementation Focus Area 5.2.4.4 Contract Management Work Package Development Focus Area 5.2.5.1 Work Control Process Improvements (T-12 Process) 5.2.5.2 Work Package Planning Improvements Work Implementation Focus Area 5.2.6.1 Work Practices 5.2.6.2 First Line Supervision 5.2.6.4 Radiation Control Practices Corrective Action, Operating Experience, Self-Assessment Focus Area 5.2.7.1 Improve Use of CAP to Effectively Resolve Station Problems 5.2.7.2 Root Cause Investigation & Corrective Action Effectiveness 5.2.7.3 Improve Utilization of OER Functions & Services Focus Area 5.2.8.1 Vendor Manual Upgrade Program 5.2.8.3 Independent Qualified Reviewer Process 5.2.8.4 Materials Management 19
Material Condition & Equipment Reliability Focus Area 5.3.1.1 Equipment Reliability Improvement Plan Long Standing Equipment Issues:
5.3.1.2.a Service Water 5.3.1.2.b Feedwater Check Valves 5.3.1.2.c Offsite Power /Switchyard Reliability Improvement 5.3.1.2.d Feedwater Controls Improvement 5.3.1.2.e Water Sulfates 5.3.1.2.f Heating Ventilation and Air Conditioning (HVAC) 5.3.1.2.g Primary Containment Vacuum Breakers 5.3.1.2.h Control Room Recorders Obsolescence 5.3.1.2.i Air Systems 5.3.1.2.j KAMAN Radiation Monitors 5.3.1.2.k Optimum Water Chemistry Programs Focus Area 5.3.2.1 Engineering Programs Key Modifications, Projects, Configuration Focus Area 5.3.3.1 Design Basis Information/ Licensing Basis Information (DBI/LBI)
Translation Project 5.3.3.3 Unauthorized Modifications Follow-up Project Completion 5.3.3.4 Design Modification Process 20
Training Program Focus Area 5.4.1.1 Line Ownership of Training 5.4.1.2 Evaluation and Qualification 5.4.1.3 Training Organizational Effectiveness 5.4.1.4 Training Program and Process Enhancements 21
3.3 ACTION PLAN IMPLEMENTATION RESPONSIBILITIES The Site Vice President is responsible for the overall implementation of TIP and will review all completed action plans for closure following completion and evaluation of the action plan for effectiveness. At the implementation level, each TIP action plan has an action plan owner and a focus area owner. Each action plan step has a specific individual who has been assigned responsibility for its implementation. Responsibilities of these individuals are summarized below:
The action step owner is responsible for completing the assigned action step by the specified completion date.
The action plan owner is responsible for ensuring the on-time completion of all action steps, as approved. The owner is also responsible for associated performance monitoring activities, and the execution of effectiveness evaluations. The action plan owner must ensure that the action steps achieve the defined action plan objective.
The focus area owner is responsible for ensuring on-time and effective implementation and completion of all action plans in the assigned focus area. As a result, the focus area owner must stay apprised of the progress made by action plan owners in the implementation of individual action steps.
3.4 ACTION PLAN SCHEDULING AND TRACKING The actions outlined in TIP are included in an integrated project schedule. The integrated project schedule contains the actions in TIP and also includes other site outage and baseload work. TIP action plan owners are responsible for updating the project schedule.
Each TIP scheduled activity is expected to be updated on a monthly basis.
Action plan steps are also included in and tracked by the CNS Corrective Action Program (CAP) database system. As such, CNS employees assigned responsibility for TIP actions steps will manage their assigned action steps in accordance with CNS Administrative Procedure 0.5.NAIT, "Corrective Action Implementation and Nuclear Action Item Tracking."
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CAP is used to help status the TIP action plans and is integral to the action plan closure process.
3.5 ACTION PLAN CLOSURE PROCESS A closure process, in CNS Procedure O-CNS-63, "The Strategic Improvement Plan (TIP)
Progress Monitoring and Action Plan Closure," describes the reviews involved in the closure of the TIP action plans. The closure process for the action steps and action plans are summarized in the following paragraphs.
3.5.1 ACTION STEP CLOSURE The closure of each action step in an action plan will require a Closure Report using a standard closure format. The action plan owner and the focus area owner are responsible for ensuring that the completion of an action step is documented and preparing the closure report package. An independent review of the action steps closure documentation is also performed. The CAP item for the action step is reviewed and closed.
3.5.2 ACTION PLAN CLOSURE Following completion of the action steps in an action plan, an appropriate effectiveness review will be performed pursuant to guidance in CNS procedure O-CNS-63. The effectiveness review will focus on ensuring achievement of the defined action plan objectives, effective resolution of the action plan problem statement, and causal factors addressed. A final closure report is then prepared which documents the results of the effectiveness review and appropriate justification for closure of the plan. The package is then reviewed and signed by the Action Plan Owner and Focus Area Owner. A closure review meeting is scheduled with the Site Vice President for his final review and approval.
The CAP item for the action plan is reviewed and closed.
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3.6 ACTION PLAN REVISIONS Any revision to an action plan will be managed through the CAP. Revisions that affect the scope, intent, or basis for previously approved revisions (e.g., deletion of actions, addition of actions, change in end dates) require review and approval by the Action Plan Owner, Focus Area owner, and the Site Vice President. Revisions that may impact NRC commitments will be reviewed by Licensing to evaluate the potential commitment impact.
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4.0 MANAGEMENT OVERSIGHT OF TIP IMPLEMENATION Performance management processes and practices are used to monitor implementation and closure of each action plan and respective groupings of action plans to ensure success in improving performance. These processes and practices are necessary for achieving targeted levels of improved performance and maintaining those levels for a sustained period. This is an integral part of confirming successful completion and closure of the action plans. This section also describes the oversight process through which performance is monitored.
Active and sustained monitoring of performance and clear assignment of responsibility and accountability will be applied to ensure effective implementation of TIP action plans. CNS management is committed to sustained monitoring and frequent reinforcement of performance expectations.
4.1 SENIOR MANAGEMENT OVERSIGHT The Site Vice President monitors the overall performance for accomplishing TIP actions and is responsible for the overall implementation of the TIP. Oversight is accomplished through performance review meetings, as described in the following paragraphs.
4.1.1 TIP PROGRESS REVIEW MEETINGS Overall progress toward completing TIP action plans will be reviewed monthly, at a minimum, in a regularly scheduled TIP Progress Review Meeting. This meeting will be chaired by the Site Vice President and attended by members of the management team.
Action plan owners and focus area owners will participate in these TIP Progress Review Meetings. The purpose of the meeting will be to review the completion progress of TIP action plans and the effectiveness of actions being completed and to hold focus area owners accountable for both their progress in completing TIP and for achieving performance improvements.
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4.1.2 MANAGEMENT PERFORMANCE REVIEW MEETINGS In addition to TIP Progress Review Meetings, CNS senior management conducts monthly Management Performance Review Meetings (MPRM) to review overall plant and organizational performance based on associated sets of performance indicators. An overview of TIP implementation and effectiveness will be reviewed during the MPRM meetings.
4.1.3 SENIOR MANAGEMENT - NPPD REPORTING The Vice President-Nuclear and Chief Nuclear Officer will report TIP progress and station performance to the NPPD President and CEO and the NPPD Board Nuclear Committee on a monthly basis.
4.2 QUALITY ASSURANCE ASSESSMENTS Quality Assurance (QA) has developed a scoping plan for the oversight of activities associated with the TIP. This scoping plan contains guidance for developing QA evaluations of TIP. Specifically, the scoping plan ensures that QA activities are documented and performed in accordance with written procedures or checklists to verify, by examination and evaluation of evidence, that applicable elements of the TIP have been developed, documented, effectively implemented, appropriately measured, and supported by management. During these evaluations, QA will use existing processes for oversight of and for response to emergent issues.
QA will provide periodic reports to the CNO and CNS senior management regarding progress and quality of action plan activities.
4.3 TIP PERFORMANCE MONITORING 4.3.1 TIP PERFORMANCE INDICATORS
SUMMARY
Performance management at CNS is the process by which station objectives are attained.
It involves the assimilation and analysis of available performance data, including performance indicators, and leads to the development and/or adjustment of plans and 26
processes for monitoring progress and achieving those objectives. Performance management is controlled through procedural requirements of 0-PI-01, "Performance Indicator Program." This procedure provides guidance and establishes controls for the development, implementation, and management of Performance Indicators (PI) systems for CNS.
4.3.2 APPROACH TO TIP PERFORMANCE MONITORING The TIP performance monitoring process, as delineated in this document, is a reflection of the following principles.
It provides for monitoring of both TIP implementation - CNS progress in meeting its commitments to take specific actions, and TIP effectiveness - the degree to which those actions are yielding measurable improvement. These are separate and distinct, and both are necessary.
It is important to treat TIP as a single, comprehensive, integrated program, rather than a disconnected set of actions. To that end, PIs look at composite effectiveness (e.g., at a Focus Area level, or higher) where it is meaningful to do so.
A compilation of TIP performance indicators is identified in Sections 4.3.4 and 4.3.5. This compilation was performed to eliminate redundant and overlapping performance indicators that resulted from developing the performance indicators at the individual action plan level.
The performance indicators are organized by Pillars of Excellence and then by focus area.
The performance indicators will measure both implementation progress and performance within a focus area.
The TIP performance indicators will be reviewed monthly by senior management during the TIP Progress Review Meetings. It is also anticipated that the appropriate TIP performance indicators will be discussed during routine, progress update meetings with the NRC.
27
As described in the previous paragraphs, performance improvements in each focus area will be monitored through a set of performance indicators.
However, effectiveness reviews, self-assessments, or surveys may be utilized as an alternative or a supplement to the performance indicators to further determine effectiveness of TIP related actions.
Procedure O-CNS-25, "Self Assessments" provides guidance to Focus Area Owners on the performance of self-assessments of progress and performance improvements. These assessments will provide assurance that improvements in performance are effective as a result of actions taken to date.
4.3.3 TIP PERFORMANCE INDICATOR STRUCTURE TIP PIs are structured as follows:
TIP Effectiveness TIP effectiveness will be manifested as improvement in overall station performance and in performance at'the Focus Area level, as measured by the PIs currently used by management. The set of specific PIs used by station management at the monthly Management Performance Review Meeting has been used as the basic framework for ongoing management assessment of TIP effectiveness, with additional PIs added to provide focus in TIP-important areas.
The composite set of Pis to be used in monitoring TIP effectiveness is summarized later in this section. Nearly all of these are PIs that have been in use at the station, although several are being modified to permit better assessment relative to TIP.
TIP Implementation This set of PIs shows the station's performance in implementing TIP actions as planned.
It focuses only on progress against schedule, not on effectiveness of those actions.
28
The implementation PIs tabulate how many TIP action items have been completed on or ahead of schedule. The information is compiled at the focus area level and then as a single figure of merit for the entire TIP implementation. This top tier PI is essentially the "TIP Schedule Adherence" station PI currently in use.
4.3.4 OVERALL STATION PERFORMANCE INDICATORS OSHA Recordable Injury Rate (18 Month)
Reactor Oversight Program Index INPO Performance Index Production Cost (year-to-date)
Forced Loss Rate (18 Month)
Unit Capacity Factor (18 Month)
Reactivity Management Performance Reactor Coolant System Specific Activity Unplanned Power Changes per 7000 Critical Hours Unplanned (Automatic and Manual) Scrams per 7000 Critical Hours TIP Plan Schedule Adherence sq 29
4.3.5 CNS PILLARS OF EXCELLENCE PERFORMANCE INDICATORS ORGANIZATIONAL EXCELLENCE PILLAR Management Effectiveness Focus Area
"* CNS Turnover
"* OSHA Recordable Injury Rate (18 Month)
"* Production Cost (year-to-date)
"* Unit Capacity Factor (18 Month)
"* Monthly Training Absences
"* Management Ownership
"* CAP Performance Index
"* Overtime (year-to-date)
"* Licensee Event Reports
"* Management Effectiveness Focus Area TIP Implementation Communications Focus Area Communications Focus Area TIP Implementation Human Performance Focus Area
"* Qualification Matrix Adherence
"* Overtime (year-to-date)
"* Human Performance Event Frequency
"* Configuration Control Events
"* Human Performance Focus Area TIP Implementation Oversight and Assessment Focus Area
"* Training Observation Program Effectiveness
"* On-schedule Completion of Adverse Findings
"* Oversight and Assessment Focus Area TIP Implementation Fiscal Responsibility Focus Area
"* Cost Center Budget Variance
"* Work Breakdown Structure (WBS) Budget Variance Fiscal Responsibility Focus Area TIP Implementation 30
31 ORGANIZATIONAL EXCELLENCE PILLAR - CONTINUED Operational Focus Focus Area Unplanned Limiting Condition for Operation (LCO) - All Unit Capacity Factor (18 Month)
- System Health
- Reactor Oversight Program Index Reactivity Management Performance
- Thermal Performance Licensee Event Reports
- Procedure Change Backlog Operational Focus Focus Area TIP Implementation
OPERATIONAL EXCELLENCE PILLAR Operationally Focused and Aligned Organization Focus Area Unplanned Limiting Condition for Operation (LCO) - All Unplanned Safety System Actuations
- System Health Industrial Safety Event Precursor Rate
- Reactor Oversight Process Index
- Forced Loss Rate (18 Month)
- Unit Capacity Factor (18 Month)
Deficiencies Outside Control Room
- Control Room Deficiencies
- Configuration Control Events Long Term Caution Orders
- Gaseous Effluent
- Temporary Modifications/Leak Repairs Reactivity Management Performance
- Chemistry Performance
- Safety System Functional Failures
- RETS/ODCM Radiological Effluent Occurrences
- Reactor Coolant Specific Activity
- Unplanned Power Changes per 7000 Critical Hours
- Operationally Focused and Aligned Organization Focus Area TIP Implementation Emergency Preparedness Focus Area
- Emergency Response Organization (ERO) Drill/Exercise Performance
- ERO Drill Participation
- ERO Position Staffing
- Alert and Notification System Reliability
- Emergency Preparedness Focus Area TIP Implementation Outage Plan Development Focus Area
- Pre-Outage Milestone Schedule Adherence
- Refueling Outage (RFO) Milestones on Time
- Outage Plan Development Focus Area TIP Implementation 32
OPERATIONAL EXCELLENCE PILLAR - CONTINUED Outage Implementation Focus Area
- Pre-Outage Milestone Schedule Adherence RFO Milestones on Time Outage Implementation Focus Area TIP Implementation Work Package Development Focus Area Overdue Preventive Maintenance (PMs)
On-Line Corrective Maintenance Backlog Deficiencies Outside Control Room Control Room Deficiencies 18 Month Collective Dose
- Temporary Modifications/Leak Repairs Collective Radiation Exposure Radioactive Waste Volume
- Work Package Development Focus Area TIP Implementation Work Implementation Focus Area Overdue Preventive Maintenance (PMs)
Maintenance Rework On-Line Corrective Maintenance Backlog 18 Month Collective Dose Contaminated Floor Area Collective Radiation Exposure RCS Leak Rate Radioactive Waste Volume
- Work Implementation Focus Area TIP Implementation Corrective Action, Operating Experience, Self-Assessment Focus Area Corrective Action Program (CAP) Performance Index
- Timeliness of CNS Response to Industry Issues Corrective Action On-Time Completion Significant Operating Experience Report (SOER) Implementation Significant Condition Report (SCR) Recurrence Corrective Action, OE, SA Focus Area TIP Implementation Functions and Services Focus Area Functions and Services Focus Area TIP Implementation 33
EQUIPMENT EXCELLENCE PILLAR Material Condition and Equipment Reliability Focus Area
"* Unplanned Limiting Condition for Operations (LCO) - All
"* Overdue Preventive Maintenance (PMs)
"* On-Line Corrective Maintenance Backlog
"* System Health
"* Forced Loss Rate (18 Month)
"* Long Term Caution Orders
"* Gaseous Effluent
"* Temporary Modifications/Leak Repairs
"* Unplanned Capability Loss Factor
"* Safety System Unavailability - Emergency A/C Power System
"* Safety System Unavailability - High Pressure Coolant Injection System
"* Safety System Unavailability - Reactor Core Isolation Cooling System
"* Safety System Unavailability - Residual Heat Removal System
"* Safety System Functional Failures
"* Risk Significant Functional Failures
"* Reactor Coolant System (RCS) Leak Rate
"* Components in Accelerated Testing
"* Preventive/Corrective Task Ratio
"* Chemistry Performance
"* Material Condition and Equipment Reliability Focus Area TIP Implementation Programs Focus Area
"* Overdue Preventive Maintenance (PMs)
"* Program Health
- Programs Focus Area TIP Implementation Key Modifications, Projects, Configuration Focus Area
- Reactor Oversight Program Index
- Long Term Caution Orders Modification Closeout Backlog
- Drawing Change Notice On-time Completion Drawing and Vendor Manual Change Backlog Key Modifications, Projects, Configuration Focus Area TIP Implementation 34
35 TRAINING EXCELLENCE PILLAR Training Program Focus Area Monthly Training Schedule Changes
- Training Observation Program Effectiveness
- Qualification Matrix Adherence
- Training Effectiveness
- Monthly Training Absences
- Training Programs Focus Area TIP Implementation
APPENDIX A-1 THE STRATEGIC IMPROVEMENT PLAN TIP ACTION PLAN MATRIX
5.1 Organizational Excellence 5.1.1 Management Effectiveness 5.1.1.1 Organizational Effectiveness 5.1.1.3 Integrated Work Management Process 5.1.1.5 Management Observation Program 5 1.1.6 Performance Monitoring 5.1.1.7 Succession Planning 5.1.1.8 Learning Organization & Industry Participation 5.1.1.9 Program Management 5 1.1.10 Change Management 5.1.3 Communications 5.1.3 1 External Regulatory Communications 5 1.3.2 Internal Communications
_5.1.4 Human Performance 5.1 4.1 Human Performance 4-4 4
5.1.5 Oversight & Assessment 5 1.5.1 Self-Assessment 5 1.52 Quality Assurance Effectiveness 5.1.6 Fiscal Responsibility 5.1.6.1 Fiscal Policy Improvement 5.1.7 Operational Focus 5 1.7.1 Operationally Focused Organization
Operational Excellence 5.2.1 Oerationallv Focused & Alianed Organizationi
\\
j 15.2.1.1 Operational Department Excellence 5.2.1.2 Operability Determinations 5.2.1 3 Industrial Safety 52.1 4 Procedure Management 5.2.2 Emergency Preparedness 5 2.2.1 Improve/Maintain Emergency Preparedness 5.2.3 Outage Plan Development 5.2 3.1 Outage Management & Monitoring 5 2.3 2 Planning/Timeliness 523 3 Scheduling/Monitoring 5.2.4 Outage Implementation 52.4.4 Contract Management 5.2.5 Work Package Development Work Control Process Improvements (T-12 5.2.5.1 Process) 5.2.5.2 Work Package Planning Improvements 5.2.6 Work Implementation 5.2.6 1 Work Practices 52.6.2 First Line Supervision 52.6.4 Radiation Control Practices 5.2.7 Corrective Action, OE, SA Improve Use of CAP to Effectively Resolve 52.7.1 Station Problems Root Cause Investigation & Corrective Action 52.7.2 Effectveness 52.7.3 Improve Utilization of OER 5.2.8 Functions & Services 5.2 8.1 Vendor Manual Upgrade Program 5 2.8 3 Independent Qualified Reviewer Process 1
5.2 8.4 Materials Management
I Equipment Excellence 5.3.1 Material Condition & Equipment Reliability 5.3.1.1 Equipment Reliability Improvement Plan Long Standing Equipment Issues:
5.3.1.2.a Service Water 5 3.1.2.b Feedwater Check Valves Offsite Power/Switchyard Reliability 5.3.1.2.c Improvement 5 3.1.2.d Feedwater Controls Improvement 5.3.1.2 e Water Sulfates Heating Ventilation and Air Conditioning 5 3.1 2.f (HVAC) 53.1.2 g Primary Containment Vacuum Breakers 53.1.2.h Control Room Recorders Obsolescence 53.1.2.1 Air Systems 53.1 2 j KAMAN Radiation Monitors 5.3.1 2.k Optimum Water Chemistry 5.3.2 Programs 53.2.1 Engineering Programs 5.3.3 Key Mods, Projects, Configuration Design Basis InformationrLicensing Basis 5 3.3.1 Information (DBI/LBI) Translation Project Unauthorized Modifications Follow-up Project 53.3.3 Completion 53.3.4 Design Modification Process 5.4 Training Excellence 5.4.1 Training Program 54.1.1 Line Ownership of Training 5.4.1.2 Evaluation and Qualification 5.4 1.3 Training Organizational Effectiveness 5.4.1.4 Training Program and Process Enhancements I
I ________________________________________
I. __________
I
APPENDIX A-2 TIP ACTION PLANS ORGANIZATIONAL EXCELLENCE PILLAR
"TI
.ON PLAN PILLAR OF EXCELLENCE:
Organizational Excellence FOCUS AREA:
Management Effectiveness ACTION PLAN TITLE:
Organizational Effectiveness ACTION PLAN NUMBER:
5.1.1.1 COMPLETION DATE:
1Q/05 ACTION PLAN OWNER:
Deb Christensen APPROVAL:
r.T" FOCUS AREA OWNER:
Mike Coyle APPROVAL:
PROBLEM STATEMENT:
An inability to correct long-standing organizational issues has led to declining station performance. Direction, priorities, standards, and expected behaviors have not been clearly conveyed to the workforce. Lack of ownership and accountability at all levels has resulted in inconsistent follow through of commitments. As a result, identified performance weaknesses have not been successfully resolved.
CAUSAL FACTORS:
- 1. Cooper Nuclear Station (CNS) has not been aligned around or committed to a common vision, mission, or values. (Actions 4, 5, 10, 11, 12,
- 15)
- 2.
Roles and responsibilities (individual and department) are not well defined. (Actions 4, 5, 12, 15)
- 3.
Ownership and accountability behaviors have not been effectively established, communicated, or reinforced. (Actions 1, 2, 3, 4, 5, 6, 7, 8, 10, 11, 12)
- 4. A Line of Sight for vision/mission/values extending from the individual to the department to the station has not been consistently present.
(Actions 4, 5, 12, 15)
OBJECTIVES:
- 1. CNS personnel aligned around a common vision, mission, and values.
- 2.
High standards of performance established, communicated, enforced, and achieved.
- 3.
High degrees of ownership and accountability demonstrated at all levels of the organization.
- 4. Teamwork demonstrated through an operationally focused and aligned organization.
Page 1 of 4 Action Plan 5.1.1.1 Revision 2 11/14/2002
TI.
iON PLAN Write white paper describing organizational effectiveness overview.
1 Define CNS model.
Deb Christensen 4Q/02 40/02 White paper developed.
0 Introduce Organizational Effectiveness elements.
Establish Guiding Coalition to serve as site 2
leadership to management and organizational Mike Coyle 4Q/02 40J02 Guiding Coalition established.
effectiveness.
Identify general industry and nuclear industry 3
Guiding Coalition mentors to serve as coaches Deb Christensen 4QJ02 4QJ02 Mentors identified.
to Guiding Coalition members.
Definition of Behaviors Teaming of Guiding Coalitiondocumented.
4 Guiding Coalition aligns/defines key attributes Mike Coyle 4Q/02 1Q/03 Description of an Operationally of an Operationally Focused and Aligned Focused and Aligned Organization. This ties to Action Plan 5.1.7.1.
Organization.
Station personnel presented Design and implement communications plan with CNS vision, mission, values 5
that rolls out the work products from action 4.
Deb Christensen 4Q/02 1QJ03 and plan to excellence via:
This ties to Action Plan 5.1.7.1.
All hands meeting, and 10 Department level meetings.
6 Perform Managerial Assessments for Deb Christensen 2QJ03 30J03 Assessments completed.
organizational effectiveness.
7 Establish Strategic Staffing model.
Deb Christensen 4Q/02 1Q/03 Model established.
8 Establish Talent Management Program to Deb Christensen 1Q03 203 Talent Management Program engage employees in career management.
3 established.
Review organizational structure for Organizational structure review 9
effectiveness in becoming an Operationally Deb Christensen 2Q/03 1Q/04 completed and Focused and Aligned Organization.
recommendations documented.
OZ Accountability training - introduce key Deb Christensen Complete OZ training presented to station 10 learnings and accountability behaviors.
personnel and documented.
Align OZ Accountability training and 11Interpersonal Management Skills training to Deb Christensen 4Q/02 1Q/03 Supervisor/Manager create tools for supervisor/manager effectiveness tools created.
effectiveness.
Page 2 of 4 Action Plan 5.1.1.1 Revision 2 11/14/2002
TIKý _
l ION PLAN Performance Management Plan and ACEMAN Performance Management Plan (ACEMAN is a tool describing employee goals)
(optionally including the 12 intended to provide Line of Sight to the station Deb Christensen 4QJ02 1O3 ACEMAN goals) developed for goals and to driving an operationally focused all site personnel.
organization. This ties to Action Plan 5.1.7.1.
Perform Organizational Alignment Effectiveness Effectiveness Review completed 13 review using Institute of Nuclear Power Deb Christensen 4QJ03 4QJ03 and identified outcomes Operation guidance.
implemented.
14 Perform a site-wide culture survey to assess Deb Christensen 4QJ03 4Q/03 Summary of survey results.
attributes of the CNS culture.
Business planning process that Transition from the Strategic Improvement aligns individual performance Plan to an annual Business Planning process wignstin al group 15 that aligns station priorities and goals with Mike Coyle 3Q003 40/04 with functional group functional group priorities and individual w/03t40performance that is aligned perfrmane plns.with Station priorities (line of performance plans.
sight).
Chanae Management Establish a Change Management Plan in A written Change Management 16 accordance with the CNS Change Management Deb Christensen 4Q/02 1QJ03 Plan approved by the Assistant Guideline that communicates and reinforces to the Site Vice-President.
the changes to expectations, requirements, roles and responsibilities.
Monitorinq - Self-Assessments Self-assessments are performed in accordance Assessments are performed to 17 with the applicable steps of this Action Plan, Deb Christensen 10J03 10J04 determine effectiveness of including management and organizational actions taken.
reviews, and surveys. Self-Assessments to be performed in accordance with 0-CNS-25, Self Assessment.
Page 3 of 4 Action Plan 5.1.1.1 Revision 2 11/14/2002
TIk. a. ION PLAN Page 4 of 4 Action Plan 5.1.1.1 Revision 2 11/14/2002 Verification - Final Assessment Final Effectiveness Assessment Perform Final Effectiveness Assessment in Deb Christensen 30/04 1Q/05 performed; end state is accordance with O-CNS-25, Self-Assessment, to consistent with the stated establish that the end state is consistent with objectives.
the stated objectives._I
Ut _
!AON PLAN PILLAR OF EXCELLENCE:
Organizational Excellence FOCUS AREA:
Management Effectiveness ACTION PLAN TITLE:
Integrated Work Management Process ACTION PLAN NUMBER:
5.1.1.3 COMPLETION DATE:
2Q/06 A
- 4.
ACTION PLAN OWNER:
Mike Hammer APPROVAL:_ON_
FOCUS AREA OWNER:
Dave Meyers APPROVAL:
PROBLEM STATEMENT:
Station activities are not consistently prioritized, resourced, or scheduled in order to ensure that those providing the greatest value to the station are performed.
CAUSAL FACTORS:
- 1. Strategic and tactical plans have not been consistently developed and effectively implemented. (Actions 2, 6, 7, 8, 9, 10, Action Plan 5.1.1.1)
- 2.
Priorities, schedules, and resource assignments are not effectively managed. (Actions 3, 4, 5, 6, Action Plan 5.1.1.1)
- 3. Consistent focus, communication, and reinforcement around a common set of station priorities have been lacking and therefore failed to create the environment necessary to improve performance. (Actions 1, 2, 10, 11, Action Plan 5.1.1.1)
OBJECTIVE:
An integrated site-wide Work Management Process that is used consistently by all departments to prioritize, plan, and schedule work activities.
This process ensures that:
- 1. Activities consistently prioritized and aligned with both long and short-range station goals; those having the highest value planned, resourced, and scheduled. Lower value activities rescheduled or deleted based on their priority.
- 2. Adequate resources provided to ensure completion of plans, as scheduled, in accordance with their priority.
- 3. Work activities effectively executed in accordance with established schedules.
- 4.
Participating departments, based upon a consistent prioritization, effectively support planned and scheduled activities.
Page 1 of 5 Action Plan 5.1.1.3 Revision 2 11/20/2002
TLi, LON PLAN Prepare a briefing paper covering the important points of Procedure O-NPG-4.12, Site Briefing paper on station work 1
Work Prioritization, specifically addressing how Robin Jacobs Complete prioritization process distributed priorities are assigned, and what is expected to station personnel.
when conflicts arise. Cascade the briefing paper to site employees.
Establish and communicate expectations for Guidance document developed 2
updating and use of the Integrated Site-Wide Bill Macecevic Complete and communicated to station Schedule to preclude over commitment of staff.
resources.
Revise O-NPG-4.12 to incorporate additional Incorporation of enhanced 3
qualitative criteria to evaluate and consistently Mike Boyce In Closure establish the priority of an rank the priority of a work activity.
activity.
Establish Station Work Baseload Existing station work activities prioritized In accordance with Assess existing departmental work activities revised site prioritizatlon (including corrective actions) using the revised criteria. Work activities levelized qualitative prioritization criteria to identify:
and a baseline has been 4
The current workload David Blythe 30/02 20/03 established. This includes:
0 The resources required for Reprioritize work activities implementation.
0 Establishment of Departmental Baseline Work with required resources.
Establish TIP Resource Reauirements Development of TIP Action 5
Determine resources required to implement the David Blythe 30Q02 1Q/03 Plans with established durations The Strategic Improvement Plan (TIP) Action and resources.
Plans.
Page 2 of 5 Action Plan 5.1.1.3 Revision 2 11/20/2002
"TIk i, "ON PLAN Station Resource Levelization Evaluate and levelize the station baseload work David Blythe 1003 Integration of existing station activities and resources and the TIP Action Action Plans.
Plans and resources to establish an Integrated Station Work Baseload.
Establishment of CNS Integrated Work Management Process Establish an Integrated Work Management Team representing the stakeholders to benchmark selected nuclear stations that have In accordance with O-CNS-06, an effective process for integrating station develop a benchmarklng report activities, planning and resources In to identify effective processes 7
accordance with established station priorities.
Mike Hammer 30J03 10J04 for integrating station activities, planning and resources in Benchmarking is to be performed in accordance with established accordance with 0-CNS-06, Guideline for station priorities.
Benchmarking. Benchmarking goals and objectives will be established in accordance with the requirements of 0-CNS-06.
Gap Analysis performed in accordance with 0-CNS-25, Self Perform a Gap Analysis comparing the effective Assessment, to identify practices Identified In the benchmarking report improvement areas based upon 8
against the current Work Management Process Mike Hammer 10J04 2QJ04 comparison of the benchmarked in order to identify Improvement areas that Industry practices and the address both strategic and tactical planning.
current CNS work management process.
Based upon the results of the Gap Analysis A document describing the define an Integrated Work Management Mike Hammer 10J04 20J04 desired Integrated work Process to effectively manage station activities, management process.
planning and resources.
Page 3 of 5 Action Plan 5.1.1.3 Revision 2 11/20/2002
TII
- L(ON PLAN
- I -
Revise 0-CNS-26, Integrated Business Planning, to incorporate the Work Management Process and integrate its requirements with the following procedures:
0 0-NPG-4.12, Site Work Prioritization, 0
0-CNS-20, Preparation and Management of the Site Asset Maintenance (Long range)
Plan, and 0
0.40, Work Control Program.
Roles, responsibilities, and expectations are established in the revision of the procedures.
(This action is also tied to Action Plans 5.2.5.1, Mike Hammer 1Q/04 3Q/04 A revised work management process that integrates station activities, planning and resources In accordance with established station priorities including definition of roles, responsibilities and accountabilities.
152..2,,f,5...1t b.Z.t
,.*,/-.,I Establish quarterly management meetings to Quarterly meetings established review Implementation and performance of the to obtain feedback and review 11 Integrated Work Management Process.
Mike Hammer 3Q/04 2Q/06 performance. Lessons learned identified and corrective actions Note: Meetings may be combined with the intifiedascrectived.
existing Management Review Meetings.
initiated, as required.
Change Manaqement Establish a Change Management Plan in A written Change Management 12 accordance with the CNS Change Management Mike Hammer 1Q/04 3QJ04 Plan approved by the Assistant Guideline that communicates and reinforces to the Vice-President.
the changes to expectations, requirements, roles and responsibilities.
Page 4 of 5 Action Plan 5.1.1.3 Revision 2 11/20/2002 10 i
I I
I s m a w..
TIO'*4-,
ION PLAN Monitoring - Self-Assessments Perform an interim self assessment 12 months Performance of an interim after implementing the revision of the assessment in order to integrated work management process to 1Q/05 1Q/05 determine effectiveness of 13 determine the effectiveness of the individual Dave Robinson implemented actions. Action actions. Revise Action Plan based upon Plan revised, as required, based Interim Assessment, as required, to improve upon results of the Interim effectiveness of the Work Management assessment.
Process. Self-Assessments to be performed in accordance with 0-CNS-25, Self-Assessment.
Verification - Final Assessment Final Effectiveness Assessment Perform Final Effectiveness Assessment in performed to establish that the accordance with 0-CNS-25, Self Assessment, to required actions have establish that the required actions have Mike Hammer 10.06 20/06 addressed the Problem 14 improved the Work Management Process. The Statement and Causal Factors.
Final Effectiveness Assessment establishes that the causal factors have been adequately End state is consistent with the addressed and that the end state Is consistent stated Objective.
with the stated Objective.
Page 5 of 5 Action Plan 5.1.1.3 Revision 2 11/20/2002
TII--.r, ON PLAN PILLAR OF EXCELLENCE:
FOCUS AREA:
ACTION PLAN TITLE:
Organizational Excellence Management Effectiveness Management Observation Program ACTION PLAN NUMBER:
5.1.1.5 COMPLETION DATE:
1Q/04 ACTION PLAN OWNER:
David Kimball FOCUS AREA OWNER:
Mike Boyce APPROVAL:
APPROVAL: __
PROBLEM STATEMENT:
Observations of fieldwork activities by managers and supervisors have been insufficient to understand, identify, and correct human performance problems.
CAUSAL FACTORS:
- 1.
Managers and Supervisors are not using the observation process as opportunities for coaching and reinforcing expectations of performance.
(Actions 1, 2, 3, 10, 11, Action Plan 5.1.4.1)
- 2. The management team has not placed a high priority on field observations and, therefore, insufficient time has been devoted to this activity.
(Actions 2, 5, 6, 7, 8, 9, 10, 11, 12, Action Plans 5.1.4.1 and 5.2.6.2)
- 3.
Field observations that occur are often focused on job status, housekeeping, and materiel condition and not on worker performance.
(Actions 2, 7, 8, 9, 10)
- 4.
Managers and supervisors provide minimal feedback to individuals on their performance. (Actions 1, 2, 3, 10)
- 5.
Analysis of observations was not being completed to provide station management an understanding of the stations performance. (Actions 2, 3,4)
OBJECT"IVES:
- 1.
Quality of management observations Increases and remains high.
- 2.
Line managers use the observation reports to Improve and sustain human performance.
Page 1 of 6 Action Plan 5.1.1.5 Revision 2 11/20/2002 i
J
"TIi,,
XON PLAN Conduct Institute of Nuclear Power Operations Completion of training 1
Observation Training for the management Dave Linnen Complete Applications and Products in team.
Data Processing.
Implement a monthly review of management Distribution of monthly report 2
observations and Issue report summarizing Andy Jacobs Complete and review by management results of review, team.
Establish observation quality indicator to be Quality indicator included in 3
used by department managers in their review Andy Jacobs Complete monthly report.
of effectiveness.
Provide information to managers and Guidance document provided to 4
supervisors on how to use the observation Andy Jacobs Complete managers and supervisors.
reports for their areas.
Develop a benchmarking plan for the Benchmarking Plan developed 5
benchmarking effort in Action 6 in accordance Roman Estrada 2QJ03 2Q/03 in Accordance with Procedure with Procedure O-CNS-06, Guidelines for 0-CNS-06.
Benchmarking.
Benchmark a station that has an effective management observation program to evaluate Benchmarking report identifying the following topics:
appropriate improvements that 6
Population of individuals required to should be made to the Cooper perform management observations, Roman Estrada 10.04 Nuclear Station (CNS)
"* Frequency of required observations, and Management Observation
"* Methods of reinforcing behaviors for Program. (See Action 7) performing focused observations.
Page 2 of 6 Action Plan 5.1.1.5 Revision 2 11/20/2002
TI
- iiON PLAN
- I -
Revise or add observation performance Indicators and/or upgrade the CNS Management Observation Program based on the above benchmarking activity.
Revise Procedure 0-CNS-07, Management Field Observations, to include results of benchmarking, including:
"* Expanding the population required to perform management observations to include senior managers, managers, supervisors and crew leaders in technical disciplines.
"* Increasing the frequency of required observations to at least 3 per month. This will also address the Management visibility concerns that lead to lack of trust.
"* Reinforce proper behaviors of Management Team members to perform "Focused" nhepvantl-nne Andy Jacobs 2Q/03 2oJ03 New or revised performance indicators and/or program improvements based on results of benchmarking.
Perform a self-assessment on completed Self-Assessment reports management observations to evaluate the identifying and implementing effectiveness for improving human areas for improvement in the performance. Perform self-assessments in Management Observation 8
accordance with Procedure 0-CNS-25, Self-Roman Estrada 3QJ03 40Q03 Program. Changes made to the Assessments. Areas for Improvement will be Management Observation entered into the Corrective Action Program.
Program to increase (Utilize information gathered by individual effectiveness in making human departments during their quarterly trend performance improvements.
reviews.)
Page 3 of 6 Action Plan 5.1.1.5 Revision 2 11/20/2002 7
'I TIV--, i ION PLAN Upgrade use of management observations Rick Gardner 4QJ/03 1Q/04 Changes to procedure based on self-assessment results.
7 7
7 00_O-CNS-07, as appropriate.
Revise Procedure O-CNS-07 to include the following:
"* Description of monthly Management Observation Program Report, e.g.,
purpose, format, trending, description of quality indicator
"* Expectation for 100% participation by assigned managers in required observations
"* Revise the formal grading system for Management Observations.
"* Establish a requirement in Procedure 0 CNS-07 to provide feedback to the originator and his/her supervisor on observations determined to unacceptable.
"* Importance of managers and senior Procedure 0-CNS-07 revised to 10 managers maintaining visibility with the Roman Estrada 4QJ02 30Q03 incorporate additional work force requirements and expectations.
"* Ownership change for procedure from Assistant Plant Manager to Manager, Performance Analysis Department (PAD)
"* Expectation for focus on worker performance. This will Include a description of how the monthly Management Observation Program Report and management review of the report at periodic Morning Leadership Meetings will ensure this focus on worker performance.
"* Expectation for quarterly review of trends by PAD in accordance with Procedure 0-CNS-25 and for Incorporating the results of this review Into the Management Observation Program Report._I Page 4 of 6 Action Plan 5.1.1.5 Revision 2 11/20/2002
7L.
,,-.LON PLAN
- IIIIIIIII
-aml
"* Expectation for PAD to conduct quarterly reviews of management observations pertaining to the Operations, Maintenance, Engineering, and Radiation Protection departments
"* Expectation for observers to provide feedback to persons being observed and how this expectation will be reinforced (This action is also tied to Action Plan 5.1.1.1
- nrl q t14-1)
Performance Analysis Department conducts quarterly reviews of management observations pertaining to the Operations, Maintenance, Radiological Protection, and Engineering Andy1Jacobs 1o/03 1Q/04 Quarterly reviews scheduled departments as ongoing self-assessments in and conducted.
accordance with Procedure O-CNS-25, Self Assessment. Use these reviews to identify results or behaviors that need to be Improved.
Assess training needs for managers and supervisors (using Systematic Approach to Training (SAT)), on recognizing and Needs analysis identifying 12 confronting inappropriate behavior in the field, Tim Donovan 2Q/03 2QJ03 appropriate training for intervention techniques, coaching, and managers and supervisors.
recognizing and reinforcing good human performance error prevention behaviors.
Develop appropriate training for Supervision Applicable Training Lesson 13 intervention as determined by the SAT process Tim Donovan 2Q/03 3Q/03 plans.
in action 12.
14 Train applicable CNS personnel on Supervision Tim Donovan 3Q/03 40J03 Satisfactory Lesson Completion intervention.
Formalize the management observation New Performance Indicators or 15 completion matrix and ensure It Is reviewed in Andy Jacobs 3QJ03 40J03 Observation Matrix and minutes the Leadership meeting on a weekly basis.
from the leadership meetings.
Page 5 of 6 Action Plan 5.1.1.5 Revision 2 11/20/2002
"TD, a.LON PLAN Page 6 of 6 Action Plan 5.1.1.5 Revision 2 11/20/2002 Chanae Manaaement Establish a Change Management Plan In A written Change Management 16 accordance with CNS Change Management Roman Estrada 20/03 30/03 Plan approved by the Assistant Guideline that communicates and reinforces Vice-President the changes to expectations, requirements, roles and responsibilities.
Monitcorinq - Self-Assessments Periodic assessments are performed to determine 17 Perform quarterly assessments of management Andy Jacobs 10/03 1Q/04 effectiveness of actions taken.
observations. Self-Assessment to be Action Plan is revised as performed in accordance with 0-CNS-25, Self-required based upon results of Assessment.
the assessments.
Verification - Final Assessment Final assessment is performed to establish that the required Perform Final Effectiveness to be performed in actions have improved the accordance with 0-CNS-25, Self-Assessment to Management Observation 18 establish that the required actions have Roman Estrada 1Q/04 10/04 Program and that the end state improved and that the end state is consistent is consistent with the stated with the stated objective. Adjust the objective. Program is revised, Management Observation Program, as as appropriate (see Actions 8, 9 appropriate, based on the results of this 10, 11, 12, and 13 of this Action assessment.
Plan).
TI.
rON PLAN PILLAR OF EXCELLENCE:
Organizational Excellence FOCUS AREA:
Management Effectiveness ACTION PLAN TITLE:
Performance Monitoring ACTION PLAN NUMBER:
5.1.1.6 COMPLETION DATE:
4Q/04 ACTION PLAN OWNER:
Regonald West APPROVAL:
FOCUS AREA OWNER:
Jim Hutton APPROVAL:
PROBLEM STATEMENT:
Ineffective establishment and use of leading performance measures, resulting in inconsistent accountability throughout the Cooper Nuclear Station (CNS) organization for performance and improvement Initiatives.
CAUSAL FACTORS:
- 1. Managers and supervisors have not been consistently held accountable for meeting performance goals and established milestones/due dates.
(Actions 1, 3, 4, 5, Action Plan 5.1.1.1)
- 2.
Lack of effective performance measures and no regiment for management review of performance trends. (Actions 1, 2, 3, 4, 5, 6)
OBJ1ECTIVES:
- 1. The CNS effectively utilizes a set of site-wide performance indicators to monitor performance, establish accountability, and correct performance weaknesses.
- 2.
Performance metrics and measuring tools are used by the CNS organization to meet due dates and commitments associated with station priorities and change Initiatives.
- 3. The CNS organization is continually aware of station performance as compared to site expectations, goals, and industry standards.
Page I of 3 Action Plan 5.1.1.6 Revision 2 11/20/2002
TL
.'-LfON PLAN
- Ust of site-wide performance Establish a comprehensive set of site-wide Jim Dutton Complete Indicators that permit performance indicators, monitoring against site goals Sand industry standards.
Concurrent with Revisions 1 of the CNS Updated set of indicators that Strategic Improvement Plan, update the set of are consistent with Revision 1 2
site-wide performance indicators, as Jim Dutton In Closure of the Strategic Improvement appropriate, to reflect revisions to the Strategic Plan.
Improvement Plan.
Timely and effective management oversight of the Conduct monthly management reviews of the Jim Dutton Complete site-wide performance site-wide performance indicators.
indicators through monthly Management Planning and Review Meetings.
Revise Procedure 0-PI-01, Performance Performance Indicator Indicator Program, to address development, Jim Dutton Complete Procedure, 0-PI-01 revised to use, and accountability of departmental address departmental performance Indicators.
performance indicators.
Revise Procedure 0-PI-01, Performance Performance Indicator 5
Indicator Program, to address goal, threshold Jim Dutton Complete Procedure, 0-PI-01 revised to setting.
incorporate goal setting.
Revise Procedure 0-PI-01, Performance Indicator Program concurrent with Revisions 2 Updated set of indicators that 6
of the CNS Strategic Improvement Plan, update Regonald West 20/02 40/02 are consistent with Revision 2 the set of site-wide performance indicators, as Strategic Improvement Plan.
appropriate, to reflect revisions to the Strategic Improvement Plan.
Chanae Management Establish a Change Management Plan in A written Change Management 7
accordance with the CNS Change Management Jim Dutton 1Qj03 20J03 Plan approved by the Assistant Guideline that communicates and reinforces the to the Vice-President.
changes to expectations, requirements, roles and responsibilities.
Page 2 of 3 Action Plan 5.1.1.6 Revision 2 11/20/2002
TIP-,*t ION PLAN Monitoring - Self-Assessments Perform Interim Assessments 8 months after issuance of revision of Action Plan, 12 months thereafter to determine the effectiveness of the individual actions taken to improve performance monitoring. Revise Action Plan based upon Interim Assessment, as required, to improve effectiveness of the performance monitoring. Self-Assessments to be performed Jim Dutton 2Q/03 2Q/04 Interim Assessments are Performed to determine effectiveness of actions taken.
Action Plan is revised as required based upon results of the Interim Assessments.
in accordance With U-ClN5I13-., -
I 1 "
V-A I ItVl IL._
Verification - Final Assessment Final Effective Assessment is performed to establish that the Perform Final Effective Assessment to be required actions have improved performed in accordance with 0-CNS-25, Self-the Performance Indicator Assessment with assistance of Quality Jim Dutton 2Q/04 4Q/04 Program. The Program is Assurance, to establish that the required visible to both management and actions have improved monitoring departmental personnel, and is utilized performance on a site wide basis.
consistently to measure site wide and department specific performance.
Page 3 of 3 Action Plan 5.1.1.6 Revision 2 11/20/2002 8
mom
- TIF,
,AON PLAN PILLAR OF EXCELLENCE:
FOCUS AREA:
ACTION PLAN TITLE:
ACTION PLAN NUMBER:
COMPLETION DATE:
ACTION PLAN OWNER:
FOCUS AREA OWNER:
Organizational Excellence Management Effectiveness Succession Planning 5.1.1.7 1Q/04 Deb Christensen Mike Coyle APPROVAL:
i§A* 1 PROBLEM STATEMENT:
The lack of an effective strategic staffing model utilized in a succession plan has negatively impacted organizational effectiveness.
CAUSAL FACTORS:
- 1. Management has not aligned around a succession planning strategy and as such has not held itself accountable for consistently executing succession planning, employee development, and retention initiatives. (Actions 1, 2, 3, 4, 9, 10, and Action Plan 5.1.1.1)
- 2. Program oversight and monitoring has not assured successful implementation of the existing succession planning program. (Actions 7, 8)
- 3.
Employee development and mentoring has not been an Integral and critical component of the Cooper Nuclear Station (CNS) value system.
(Actions 7, 8)
- 4.
Current managers and supervisors do not consistently receive development that prepares them to assume positions of increased responsibility. (Actions 5, 6)
OBJECTIVES:
- 1. Valued management and supervisory personnel retained.
- 2.
Personnel identified and prepared to fill key management positions when opportunities occur.
- 3.
Bench strength prevalent throughout the management team.
- 4.
Continuity of the management team assures greater alignment around common standards and values.
Page 1 of 3 Action Plan 5.1.1.7 Revision 2 11/20/2002 Ap PROVAL=i x'**
1 -
-I" t
4L)ý-
F-7
TIP,*_-iON PLAN Conduct a series of planning meetings with CNS senior management team 1
CNS management team to formulate an Mike Coyle Complete approved an enhanced enhanced Succession Plan.
77
_Succession Plan.
Senior management team will adopt and endorse the Succession Plan to be used at CNS. Update/revise Procedure O-CNS-01, Core Leadership Development Plan, to meet the standards and expectations set by Mike Coyle Procedure O-CNS-01 revised to and senior team of the new Succession Plan.
Deb Christensen Complete adopt enhanced Succession This will include stressing that the succession Plan.
planning process will be the primary method of filling future management and supervisory vacancies as opposed to hiring from the outside.
Update the CNS Succession Plan. Related actions Include: 1) organizational review to Succession plan document Identify staffing strengths and weaknesses, updated to identify key 3
- 2) add to existing competency lists to Include Deb Christensen Complete personnel, and staffing gaps Individual contributors, 3) Identify and rank and weaknesses.
Individual contributors, and identify potential (Appendices) opportunities for individual contributors.
Develop professional profiles and candidate Requirements for each staff 4
position requirement matrix to support the Deb Christensen Complete position in succession plan succession plan.
defined.
Senior managers/managers will formulate Development plans for individual development plans with applicable succession plan candidates are 5
candidates identified in the succession plan.
Deb Christensen 2QJ02 1Q0J3 incorporated into employee Development plans will be incorporated into Personal Development Plans.
employee Personal Development Plans.
Formulate a mentoring program and assign Mentoring program reflected in 6
mentors to critical staff positions.
Deb Christensen Complete Procedure O-CNS-01. Mentors mentors__tocriticalstaffpositions,_and mentees identified.
Senior management will review status/progress Semi-annual reports of the 7
reports prepared by the Succession Plan owner Deb Christensen 2QJ03 10J04 effectiveness of the succession on a semi-annual basis, plan.
Page 2 of 3 Action Plan 5.1.1.7 Revision 2 11/20/2002
- TIP,
,iON PLAN Senior management team to perform a semi-Semi-annual succession plan 8
annual review and update to the Succession Deb Christensen Complete Supdate.
Plan._777 Obtain NPPD Board of Directors approval of a Board approved plan to retain 9
Cooper Nuclear Station employee retention Dave Wilson Complete CNS staff.
plan.
Review exit Interview reports over 6 months to Report issued with causal 10 identify trends in why employees are departing Eulanda Cade 2QJ02 2QJ03 factors identified and CNS.
recommendations given.
Change Manacement Establish a Change Management Plan in A written Change Management 11 accordance with the CNS Change Management Deb Christensen 4Q/02 10J03 Plan approved by the Assistant Guideline that communicates and reinforces to the Site Vice-President.
the changes to expectations, requirements, roles and responsibilities.
Monitorinq - Self-Assessments A self-assessment of the effectiveness of the Interim Assessments are 12 Succession Plan will be conducted semi-Deb Christensen 4Q/02 4Q/03 performed to determine annually in accordance with step 7 of the effectiveness of actions taken.
Action Plan. Self-Assessment to be performed In accordance with 0-CNS-25, Self-Assessment.
Verification - Final Assessment SFinal Effectiveness Assessment Perform Final Effectiveness Assessment in is performed to establish that 13 accordance with O-CNS-25 to establish that the Deb Christensen 4Q/03 1Q/04 isthe end state is consistent with required actions have improved Succession the stated ObJective.
Planning, and the end state is consistent with the stated Objective.
Page 3 of 3 Action Plan 5.1.1.7 Revision 2 11/20/2002
-i JTIf LONpLAAN PILLAR OF EXCELLENCE:
Organizational Excellence FOCUS AREA:
Management Effectiveness ACTION PLAN TITLE:
Learning Organization & Industry Participation ACTION PLAN NUMBER:
5.1.1.8 COMPLETION DATE:
1Q/04 ACTION PLAN OWNER:
Garrett Smith FOCUS AREA OWNER:
John Christensen APPROVAL:
APPROVAL._
PROBLEM STATEMENT:
Cooper Nuclear Station (CNS) has not effectively utilized industry resources or the experiences and lessons-learned from the industry to contribute to improved and sustained station performance.
CAUSAL FACTORS:
- 1. Processes are lacking to promote accountability for applying good practices and lessons learned from industry experiences. (Actions 5, 7, 8)
- 2. Departmental teamwork problems have resulted in failure to Implement process improvements (learned from benchmarking or other industry involvement) requiring action by multiple departments. (Actions 1, 2, 3, 4, 5, 6, 7, 8)
OBJECTIVES:
- 1. Near-term improvements and good practices implemented from the conduct of benchmarking and external assistance.
- 2.
Processes that will improve the quality of benchmarking and industry engagement activities, and result In Improved station practices.
Page 1 of 3 Action Plan 5.1.1.8 Revision 2 11/20/2002
"TIF,
,i fON PLAN With assistance from Institute of Nuclear Recommended list of nuclear Power Operations (INPO), Identify high priority Mike Coyle Complete stations and targeted focus 1benchmarking opportunities to be performed areas for CNS benchmarking by CNS during the next 6-9 month Interval.
opportunities.
Develop a benchmarking plan and coordinate the Identification and conduct of near-term A plan that includes scheduled targeted benchmarking. Identify areas, sites, benchmarking trips and staff schedule, and follow-up assessment understanding of the 2
requirements. The plan will integrate Garrett Smith Complete expectations for conduct and benchmarking and self-assessment standards Implementation of outcomes.
and expectations contained In Procedures Documented benchmarking 0-CNS-06 and 0-CNS-25 regarding conduct of plan approved by senior benchmarking activities and implementation of management team.
lessons-learned and best practices.
pa Workoff Curve to monitor the Performance Indicator for Developnationkof therventomonitoranh Garrett Smith Complete execution of the benchmarking implementation of the benchmarking plan.
p~lan.
Completion of priority Conduct near-term benchmarking trips in benchmarking visits followed by accordance with the approved plan. Following development of Action Plans 4
benchmarking trips, develop plans within Garrett Smith 30Q02 4Q/03 (within 60 days) to Implement 60 days to implement lessons-learned and best lessons-learned and best practices, practices.
Integrate benchmarking and self-assessment Establishment of clear processes and establish a single point of expectations for conduct of process ownership. Include requirements for benchmarking and to 5
identification and tracking of all benchmarking Roman Estrada 2Q/03 30/03 consistently disposition conducted, and process features to assess benchmarking results to effectiveness of benchmarking implementation improve station processes, Iplans.
practices, and performance.
Inventory current CNS participation in industry sponsored organizations and committees (e.g.
Regional Utilities Group, Nuclear Energy Baseline of current industry 6
Institute, INPO, Electric Power Research Garrett Smith 3Q/02 4Q/02 participation and determination Institute, Boiling Water Reactor Owners Group, of desired changes.
etc.). Assess additional industry participation opportunities that could benefit CNS.
Page 2 of 3 Action Plan 5.1.1.8 Revision 2 11/20/2002 I
TI*
n-._*, LON PLAN
-I 1
I_
I
-t 7
T Formulate and obtain CNS management endorsement of an industry participation strategy. Establish responsibilities for external and internal communications associated with each external affiliation. Also include elements to systematically capture and disposition learning opportunities from external affiliations.
Garrett Smith 30/02 2QJ03 Documented strategy and resource plan for Industry participation. Execution of strategy that targets staff resources to value added industry participation activities.
Established responsibilities for communications with the industry group, as well as internal communications regarding offerings and activities of the external group.
Formulate and execute a strategy to obtain Enhanced utilization of INPO assistance from INPO. Obtain agreement from assets and programs.
8 INPO regarding near-term, future assist visits, Jim Hutton Complete Documented strategy and loaned employee commitments, and ongoing resource plan for INPO additional support activities, assistance.
Self-assessment to measure the site wide level Interim assessment performed of Improvement achieved by application of actions taken. Action Plan Is 9a information compiled from benchmarking. Self-Garrett Smith 3QJ03 4Q003 revised as required based upon assessment will be performed in accordance results of the Interim with o-CNS-25, Self-Assessment.
assessment.
Perform Final Effectiveness Assessment to Final effectiveness Assessment establish that the required actions have is performed to establish that 9b Improved Industry participation and Garrett Smith 4Q/03 1Q/04 the required actions have engagement in best industry practices. Self-improved the station's level of assessment will be performed in accordance industry participation.
with 0-CNS-25, Self-Assessment.
Page 3 of 3 Action Plan 5.1.1.8 Revision 2 11/20/2002 7
I
- TIP, x iON PLAN PILLAR OF EXCELLENCE:
Organizational Excellence FOCUS AREA:
Management Effectiveness ACTION PLAN TITLE:
Program Management ACTION PLAN NUMBER:
5.1.1.9 COMPLETION DATE:
1Q/05 ACTION PLAN OWNER:
Mark Gillan APPROVAL:-Z, FOCUS AREA OWNER:
Mike Boyce APPROVAL:
PROBLEM STATEMENT:
Cooper Nuclear Station (CNS) has not effectively implemented and internalized performance monitoring standards and expectations for key site programs. (Engineering Programs are addressed in Action Plan 5.3.2.1.)
CAUSAL FACTORS:
- 1. CNS has not adequately defined the scope and nature of what constitutes a site program and has therefore missed opportunities to improve performance of site programs. (Action 1)
- 2. The basic infrastructure (standards and expectations) for management of site programs has not been adequately established and applied to all site programs. (Actions 1, 2)
- 3.
Performance monitoring of site programs including self-assessment has not been routinely conducted. (Actions 2, 3, 4)
- 4. The use of self-assessment and the Corrective Action Program to fix problems has been inconsistent and in some cases ineffective. (Action 1)
OBJ3ECTIVES:
- 1. Programs outside of the scope of Procedure O-CNS-12 identified.
- 2.
Standards and expectations for program management outside of Procedure O-CNS-12 established and applied.
- 3.
Management Plans.
- 4.
Performance monitoring applied to the programs outside of Procedure O-CNS-12.
Page 1 of 3 Action Plan 5.1.1.9 Revision 2 11/20/2002
- TIP, JON PLAN I
Develop new CNS document to address performance standards and expectations to be applied to site programs (Programs within the scope of Procedure O-CNS-12 will not be included)
This Includes:
"* Application criteria (i.e., Emergency Preparedness, Maintenance, Work Control, ALARA).
"* Performance monitoring standards, expectations.
"* Identification of the tools available to monitor performance.
Mark Gillan 40/02 20Q03 Document established delineating program management standards and expectations with regards to program implementation including methods for reviewing the status of program(s).
19 Keporung requirements.
Establish an Implementation priority for the development of performance standards and expectations.
Listing of programs to have 2
Establish the criteria for prioritization.
Mark Gillan 2Q/03 3QJ03 program plans and the priority
"* Prioritize the Programs.
for development.
"* Develop a list of the Programs requiring performance standards.
Resource loaded and scheduled 3
Department Managers develop implementation Jim Dutton 3Q/03 40/03 plans for each Identified plans to apply the process to station programs.
program.
Program owners/Department Managers Performance indicators 4
execute implementation plans and initiate Jim Dutton 4Q/03 40J04 monitoring the performance of performance monitoring for the defined selected programs.
programs.
Personnel impacted by Process champion provide facilitation to the implementation of this program 5
organization for the development of plans and Mark Gillan 3Q/03 4Q/04 are identified and facilitation implementation of the plans.
provided.
Page 2 of 3 Action Plan 5.1.1.9 Revision 2 11/20/2002 1
.4ON PLAN Chanae Management Establish a Change Management Plan in A written Change Management 6
accordance with the CNS Change Management Mark Gillan 40/02 1Q/03 Plan approved by the Assistant Guideline that communicates and reinforces to the Site Vice-President.
the changes to expectations, requirements, roles and responsibilities.
Monitoring - Self-Assessments Perform Interim Self-Assessment 13 months Performance of assessment to after issuance of revision of Action Plan to determine effectiveness of 7
determine the effectiveness of the individual Mark Gillan 4Q/03 10,/04 actions taken. Action Plan actions taken. Revise the action plan based would be revised as required upon the self-assessment results. Self-based upon the results.
Assessments to be performed In accordance with 0-CNS-25, Self-Assessment.
Verification - Final Assessment Perform Final Effective Assessment in accordance with 0-CNS-25, Self-Assessment, to Final Effectiveness Assessment establish that the required actions have performed. End state is 8
improved Program Management at CNS. This Mark Gillan 4Q/04 1Q/05 consistent with the stated assessment will review program plans that objective or the action plan is have been implemented to determine if the revised.
Improvements Identified are being implemented such that program improvement is being noted.
Page 3 of 3 Action Plan 5.1.1.9 Revision 2 11/20/2002
Tl
-ION PLAN PILLAR OF EXCELLENCE:
Organizational Excellence FOCUS AREA:
Management Effectiveness ACTION PLAN TITLE:
Change Management ACTION PLAN NUMBER:
5.1.1.10 COMPLETION DATE:
4Q/04 ACTION PLAN OWNER:
Deb Christensen FOCUS AREA OWNER:
Mike Coyle APPROVAL:_____________
APPROVAL:
Q PROBLEM STATEMENT:
An effective change management process has not been consistently used at Cooper Nuclear Station (CNS) to establish and support realizing improvements. Change initiatives to improve processes, practices, and performance have not consistently achieved or sustained the desired outcomes or expected results.
CAUSAL FACTORS:
- 1. Station management has not established and enforced an expectation for consistent use and application of a change management process.
(Actions 3, 4)
- 2. Lack of a systematic process to implement and monitor change. (Actions 3, 4)
OBJECTIVES:
- 1. Improvement and change Initiatives successfully executed.
- 2. Change Initiatives and change programs monitored for effectiveness.
Page 1 of 2 Action Plan 5.1.1.10 Revision 2 11/20/2002
"TDi.,. rON PLAN Appoint a change management contact, I
responsible for rolling out the revised station Mike Coyle Complete Individual identified.
Change Management Program.
Use the current change management guidance TIP Revision 2 that includes 2
(CNS Change Management Guide) during David Blythe Complete appropriate change development of'TIP Revision 1 and Revision 2.
management activities.
Revise or replace existing procedures/guidance Revised or new CNS Change 3
on Change Management utilizing Change Deb Christensen 4Q/02 20J03 Management procedure and Management at other selected facilities, associatedpolicies/handbooks Orientationdeveloped.
Develop and deliver Change Management Christensen 20.3 2003 Orientation developed and orientation for managers and supervisors.
supervisors.
Change Manaqement Establish a Change Management Plan in A written Change Management 5
accordance with the CNS Change Management Deb Christensen 40J02 1QJ03 Plan approved by the Assistant Guideline that communicates and reinforces to the Site Vice-President.
the changes to expectations, requirements, roles and responsibilities.
Monitoring - Self-Assessments Conduct a self-assessment to determine the Assessments are performed to 6
effectiveness of selected change initiatives.
Kim Liebig 3Q/03 4Q/03 determine effediveness of Self-Assessment to be performed in accordance actions taken.
with O-CNS-25, Self-Assessment.
Verification - Final Assessment Perform Final Effectiveness Assessment in Final Effectiveness Assessment accordance with O-CNS-25, Self-Assessment, to Deb Christensen 4QJ04 4Q/04 consistent with the stated establish that change Initiatives are being Objective.
followed through to completion, and the end state is consistent with the stated Objective.
Page 2 of 2 Action Plan 5.1.1.10 Revision 2 11/20/2002
T11
- r. SON PLAN PILLAR OF EXCELLENCE:
Organizational Excellence FOCUS AREA:
Communications ACTION PLAN TITLE:
External Regulatory Communications ACTION PLAN NUMBER:
5.1.3.1 COMPLETION DATE:
2Q/05 ACTION PLAN OWNER:
Edward L. McCutchen, Jr.
FOCUS AREA OWNER:
Paul V. Fleming PROBLEM STATEMENT:
Cooper Nuclear Station (CNS) communications with regulatory agencies have not been well coordinated in the past.
reports and submittals have contained errors, requiring correction and re-submittal.
Additionally, some written CAUSAL FACTORS:
- 1. Expectations and standards for communication with external regulatory agencies have not been consistently established, communicated, and enforced. (Actions 1, 2, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14)
- 2. Roles and responsibilities for communication with external regulatory agencies are not clear. (Actions 2, 3, 4, 5, 6, 7, 8)
- 3.
Regulatory submittal content, timeliness, and quality standards/expectations have not been consistently met without rework. (Actions 1, 2, 3)
OBJECTIVES:
- 1. Clearly defined roles, responsibilities and expectations that result in complete, accurate and timely communication to the Nuclear Regulatory Commission (NRC) (Resident Inspectors, Region IV, Office of Nuclear Reactor Regulation and NRC Senior Management).
- 2. Improved guidance documents for communicating with the regulator such that effective communications is sustained.
- 3. The appropriate levels of training provided to improve the organization's understanding of and accountability for regulatory communications.
Page 1 of 4 Action Plan 5.1.3.1 Revision 2 11/20/2002 F71
TII _j ON pLAN REGULATORY COMMUNICATION ROLES, RESPONSIBILITIES, EXPECTATIONS AND STANDARDS Provide immediate Instructions, expectations Instructions and expectations for and mentoring for Licensing personnel receipt, assignment, and tracking of 1
involved in the receipt and action ownership of Norena Robinson Complete correspondence established and incoming correspondence (including both implemented.
electronic and 'hard copy' correspondence).
Principles and expectations for conduct of regulatory Interface established and 2
Prepare and issue guidance/expectations for Dave Kunsemiller In Closure issued.
conduct of the regulatory Interface.
(This will be used to revise procedure O-CNS-17.)
Establish a Licensing Action Review Board with an appropriate procedure or guideline.
Procedure or guideline ready to The purpose of this review board is to implement.
3 ensure that selected licensing actions Dave VanDerKamp 40Q02 3Q/03 (imlement.
achieve the goal of timely, accurate and (This will be used to revise procedure complete written communication with the 0CNS-7.)
NRC.
Strategy document developed and Prepare and issue an overall strategy for approved.
4 conducting communications with the Jim Sumpter 40/02 3Q/03 (This will be used to revise procedure regulator.
O-CNS-17.)
Documented plan for NRC Resident Develop and Issue a response plan with Inspections developed and approved.
5 increased line ownership for timely resolution Jim Flaherty 40102 3Q003 (This will be used to revise procedure of NRC Resident Inspector Issues.
O-CNS-17.)
IMPROVE GUIDANCE DOCUMENTS Revise procedure O-CNS-17, Site-Wide Revised O-CNS-17 procedure for 6
Licensing Directive to reflect critical elements Norena Robinson 40102 30/03 external communications established of Actions 2, 3, 4 and 5.
and ready to implement.
Page 2 of 4 Action Plan 5.1.3.1 Revision 2 11/20/2002 I
T
,I.ON PLAN 11.-l New or revised Licensing site-wide 7
Identify and revise key station procedures Dave VanDerKamp 20/03 10/04 procedures established and ready to needed to reflect changes to 0-CNS17.
Implement.
Identify and revise Licensing department 8
guidelines needed to reflect changes to 0-Jim Sumpter 20/03 2Q/04 New or revised Licensing guidelines CNS-17 and associated revised station established and ready to implement.
procedures.
Implement revised procedures and guidelines New or revised procedures and 9
upon completion of required change Norena Robinson 40/03 3Q/04 guidelines implemented.
management training.
PROVIDE TRAINING Determine target population and level of Needs Analysis complete.
10 training for changes to 0-CNS-17 based on a John Christensen 2Q/03 3Q/03 Needs Analysis.
Target populaton list documented.
11 Develop training material for the changes to John Christensen 3Q/03 30/03 Training material approved.
O-CNS-17.
Based on a Needs Analysis, determine target Needs Analysis complete.
12 population and level of training for the John Christensen 3N/03 4s/03 procedure and guideline changes resulting Target population list documented.
from changes to 0-CNS-17.
Develop training material for the procedure New or revised Ucensing site-wide 13 and guideline changes resulting from changes John Christensen 4Q/03 2Q/04 procedures Implemented.
to 0-CNS-17.
Perform training, as needed, on 0-CNS-17 and Procedures and guidelines change 14 associated procedures/guidelines that changed John Christensen 1Q/04 3Q/04 management training completed.
as a result of revisions to 0-CNS-17.
MONITOR CNS PERFORMANCE OF VERBAL AND WRITTEN COMMUNICATION Perform an effectiveness review 6 months 15 following completion of the first group of Luann Bray procedures revision/upgrade to evaluate achievement of objectives.
Effectiveness review report; entry of discrepant conditions into Corrective Action Program (CAP).
Page 3 of 4 Action Plan 5.1.3.1 Revision 2 11/20/2002
M"
..i ON PLAN Revise External Communication actions (this Action Plan) as required in response to findings of the effectiveness review.
Ed McCutchen 40/04 1Q/05 CAP action items.
Change Management Establish a Change Management Plan in A written Change Management Plan 17 accordance with the CNS Change Management Ed McCutchen 2Q/03 30Q03 approved by the Assistant to the Site Guideline that communicates and reinforces Vice-President.
the changes to expectations, requirements, roles and responsibilities.
Monitoring - Self-Assessments Perform an Initial Self-Assessment 7 months Interim Assessments are performed to after Issuance of Revision 2 of Action Plan, determine effectiveness of actions and then review In the quarterly Self-taken. Action Plan is revised as Assessment Evaluation thereafter to determine required based upon results of the the effectiveness of the Individual actions Interim Assessments.
18 taken to improve the External Luann Bray 20J03 Deliverables are:
Communications.
Initial Self Assessment Report Revise Action Plan based upon Interim Quarterly Self Assessment Assessments, as required, to Improve Evaluation Reports effectiveness of the External Communication.
0 Action 16 complete Self-Assessments to be performed in accordance with 0-CNS-25. Self-Assessment.
Verification - Final Assessment Perform Final Effectiveness Assessment in Final Effectiveness Assessment Is accordance with 0-CNS-25, Self-Assessment, performed to establish that the 19 to establish that the required actions have Ed McCutchen 1Q/05 2QJ05 required actions have Improved improved NPPD communications with External Communications, and the end regulatory agencies, the nuclear industry, and state Is consistent with the stated the public; and the end state is consistent with Objective.
the stated Objective.
Page 4 of 4 Action Plan 5.1.3.1 Revision 2 11/20/2002 16
T "
,L !,,ON PLAN PILLAR OF EXCELLENCE:
Organizational Excellence FOCUS AREA:
Communications ACTION PLAN TITLE:
Internal Communications ACTION PLAN NUMBER:
5.1.3.2 COMPLETION DATE:
3Q/04 ACTION PLAN OWNER:
Deborah L. Stemple FOCUS AREA OWNER:
Deb Christensen APPROVAL:
APPROVAL:
vUN skcx~r PROBLEM STATEMENT:
Cooper Nuclear Station (CNS) lacks a strategy and the tools for consistently effective internal communications. Meetings and direct (face-to-face) communications between managers, supervisors, and employees have been ineffective.
CAUSAL FACTORS:
- 1. There is no infrastructure for internal communications such as a consistent set of standards, expectations, methods, defined roles and responsibilities that Is consistently executed. (Action 1, Action Plan 5.1.1.1)
- 2.
Managers have not sufficiently nor consistently executed and reinforced expectations for timely and effective Internal communications. (This Is a behavioral issue with respect to accountability and follow-through that will be addressed through Action Plan 5.1.1.1)
- 3. There is no effective policy to promulgate the expectations for the planning, scheduling, conduct and effective use of meetings. (Action 2)
- 4. There is no effective process for communicating ideas/suggestions and then no process to evaluate those ideas/suggestions. (Action 3)
OBJECTIVES:
- 1. Infrastructure for effective internal communications established. Consistent, effective, and timely internal communication such that employees have the right information at the right time to perform their jobs.
Page 1 of 3 Action Plan 5.1.3.2 Revision 2 11/14/2002
TIP...-/ION PLAN Develop*an internal-communications-strategy that defines CNS management's communication Internal communications philosophy, roles and responsibilities, the chilosphyommniati resonstv iabliiesa nef Glenn Troester 4QJ02 10J03 strategy, approved by the Site communication tools available, and guidance for Vice-President.
applying the appropriate tool for specific types of communication.
Meeting guideline incorporated into internal communications 2
Establish guideline for effective meetings.
Kim Keeton 4QJ02 1QJ03 strategy, approved by the Site Vice-President.
Process/guidelines incorporated Develop a mechanism or process by which ideas and Lonni Smith 4Q/02 iO/03 into Internal communications suggestions can be raised and fairly evaluated.
strategy, approved by the Site Vice-President.
Change Management Establish a Change Management Plan in accordance A written Change Management 4
with the CNS Change Management Guideline that Deb Stemple 4Q/02 4Q/02 Plan approved by the Assistant communicates and reinforces the changes to to the Vice-President.
expectations, requirements, roles and responsibilities.
Monitoring - Self-Assessments Mikel Claborn Establish baseline performance for Internal (Nebraska Public Internal communications 5a communications by developing and conducting a Power District 4Q/02 1QJ03 baseline survey report.
site-wide survey that addresses face-to-face (NPPD) communication adequacy, communication barriers, Corporate) and meeting effectiveness.
5b Analyze survey results and identify if areas of the Glenn Troester 1Q/03 1Q/03 Revision to action plan if action plan need to be revised.
required.
5 CtMikel Claborn Internal communications follow Conduct a follow-up internal communications survey. (NPPD Corporate) 2OJ03 20.03 up survey report.
Analyze results from follow-up survey; compare to Sd baseline survey to determine performance and Glenn Troester 30/03 3Q/03 Internal Communications identify any needed changes to Internal Strategy revised If necessary.
Communications Strategy.
Page 2 of 3 Action Plan 5.1.3.2 Revision 2 11/14/2002 F
TIi-
,iiON PLAN Develop policy/process for on-going internal Approved policy for on-going Se communications surveys that supports the surveys and incorporation in performance measure; incorporate policy in the Glenn Troester 3Q103 3Q/03 Internal Communications internal communications strategy.
_Strategy.
Verification - Final Assessment Perform Final Effectiveness Assessment in Final Closeout Effectiveness 6
accordance with O-CNS-25, Self-Assessment to Deb Christensen 20/04 3Q/04 Review Report and action items establish that the required actions have improved entered in CAP as appropriate internal communications and the end state is consistent with the objective.
Page 3 of 3 Action Plan 5.1.3.2 Revision 2 11/14/2002
TIP4
.~UN PLAN PILLAR OF EXCELLENCE:
Organizational Excellence FOCUS AREA:
Human Performance ACTION PLAN TITLE:
Human Performance ACTION PLAN NUMBER:
5.1.4.1 COMPLETION DATE:
3Q/05 ACTION PLAN OWNER:
David Montgomery FOCUS AREA OWNER:
Jim Hutton APPROVAL:
APPROVAL:
PROBLEM STATEMENT:
The station has failed to recognize declining human performance and take effective corrective action.
CAUSAL FACTORS:
- 1. Insufficient infrastructure for the Human Performance Program.
(Actions 1, 2, 3, 4, 5a, 5b, 6, 7, 8, 22,23, 24a, 24b, 25, 26, 27, 28)
- 2. Less than adequate understanding of human performance principles. (Actions 9, 10, 11, 12, 13a, 13b, 13c, 14, 15)
- 3.
Lack of clear and consistent communication involving human performance principles. (Actions 16, 17)
- 4. Inconsistent application of a root cause methodology to identifying and correcting latent organizational weaknesses. (Actions 18, 19, 20a, 20b,
- 21)
- 5. Failure to recognize declining performance due to less than adequate effectiveness measures. (Actions 25, 26, 27, 28)
OBJECTIVES:
- 1. Organizational human performance that results in safe and reliable plant operation as indicated by the station human performance event free clock.
- 2. Human Performance program structure that includes:
A communication strategy, Quality effectiveness measures,
- Training, Clearly defined expectations and reinforcement for behaviors at all levels of the organization, Defined process Interactions with continuous improvement initiatives such as self-assessment, management observation, corrective action, Organizational structure providing sufficient oversight and sponsorship of human performance, and Event Investigation process.
Page 1 of 11 Action Plan 5.1.4.1 Revision 2 11/14/2002
"TIP
-i.,.tON PLAN Page 2 of 11 Action Plan 5.1.4.1 Revision 2 11/14/2002 DEVELOP INFRASTRUCTURE TO DEFINE HUMAN PERFORMANCE EXCELLENCE Benchmark other utilities to identify program structure common in the industry.
Benchmarking is to be performed in Completed Benchmark report in Bencmaring s
t beperfrme inaccordance with CNS station 1
accordance with 0-CNS-06, Guideline for David Montgomery 4Q/02 1QJ03 Procedure 0-CNS-06 for Benchmarking. Benchmarking goals and benchmarking.
objectives will be established in accordance with the requirements established by O-CNS 106.
A charter that defines 2
Establish a Senior Management Steering David Montgomery 4QJ02 1Q/03 committee roles and Committee for human performance.
responsibilities and meeting
_____periodicity.iity
TIP i, LON PLAN Develop a human performance program policy. I David Montgomery 4Q/02 IPIag eII 3 o 1-10Q03 Page 3 of 11 Action Plan 5.1.4.1 Revision 2 11/14/2002 3
I Completed human performance station policy that describes:
Communication strategy
"* Performance indicators
"* Training expectations
"* Error prevention tools
"* Behavioral expectations for all levels of the organization including:
"* contact time
"* visibility
"* communications
"* Process interactions with:
"* operating experience
"* corrective actions
"* self-assessment
"* management observations
"* Organizational structure w/
management involvement to include roles and responsibilities for:
"* A human performance improvement team
"* A senior management steering committee
"* The station human performance coordinator
"* Positive reinforcement expectations
"* Descriptions of error types including information to identify errors versus violations
"* Event Investigation process and expectations.
TIPW*ý,4'WN PLAN Perform communication sessions with station Documented work center personnel on the policy after it is developed, meetings performed by the 4
The communication sessions will include a David Montgomery 2QJ03 20J03 work center Manager or description of expectations for behaviors at all Supervisor with a handout levels in the organization, provided by the station Human levels___ntheorganization._Performance Coordinator.
Training will perform appropriate analysis to determine the impact on station personnel, the Completed analysis performed 5a targeted audience, the training schedule, and Tim Donovan 40J02 2QJ03 by the Training Department.
required resources based on the new human performance policy document.
Deliver training on the new Human Documentation of training for 5b Performance Policy to appropriate station Tim Donovan 3QJ03 10J04 appropriate station personnel personnel as determined by the analysis In on Human Performance Policy.
Action Sa.
Perform an assessment of the Cooper Nuclear Completed GAP analysis report.
Station (CNS) human performance program Gaps will be entered into the against the Nuclear Energy Institute/Institute CNS corrective action program.
6 of Nuclear Power Operation/Electrical Power David Montgomery 20/03 3Q0.03 Evidence of implementation of Research Institute (NEI/INPO/EPRI) appropriate corrective action to Benchmarking report on the Human resolve identified gaps.
IPerformance Process Review the current management observation program to identify gaps between the current Completed GAP analysis report.
process and the policy that is developed on Gaps will be entered into the human performance. The management CNS corrective action program.
7 observation program will be reviewed against David Montgomery 2QJ03 3Q/03 Evidence of implementation of the NEI/INPO/EPRI Benchmarking report on appropriate corrective action to the Human Performance Process. (Action Plan resolve identified gaps.
5.1.1.5 also addresses the Management Observation Program).
A positive reinforcement Develop a positive reinforcement process to strategy that promotes and 8
help the leadership team with recognizing and David Montgomery 3Q/03 1Q/04 measures reinforcement reinforcing desired behaviors, activities taken by station leadership.
Page 4 of 11 Action Plan 5.1.4.1 Revision 2 11/14/2002
TIPA 4UN PLAN 0
tQ A'l E
TDOlt~r)C: c-rAr-r'r'M DPFrfiMMFl 1 I IEDr-'I'rAPTr I
H.
I IMANI DIFIFIMANCE PRITNC*PL FLI ii Page 5 of 11 Action Plan 5.1.4.1 Revision 2 11/14/2002 iIMF'K*UVr-a/tbI JLNFt b
NNLUI1rc14lllr. Ull.rr-KZ')
l/l~*l III A
W U
L
'ir'nlm [ i-i\\1 rlml
%ýL:'l~~-,,11**I Establish a Human Performance Improvement Team with representatives from throughout the Team established and charter 9
organization to aid in department David Montgomery In Closure developed.
communications and use of department human performance event free clocks.
Establish a requirement for human Completed station policy for 10 performance fundamentals training for all new David Montgomery 40Q02 1QJ03 human performance that employees, establishes this requirement.
Develop Human Performance Training for new rCompleted lesson plan(s) for 11 employees.wTim Donovan 4Q/02 1Q/03 use in initial training of new employees,
_employees.
Completed tailgate sessions for all station personnel on human Provide a Human Performance Refresher foralsrforsanelfundam an 12 station personnel. This may be in the form of David Montgomery 1QJ03 10/03 performance fundamentals tailgates.
including recognizing error likely situations, error prevent tools, and the anatomy of an event.
Training will perform appropriate analysis to determine the Impact on station personnel, the Memo to the Human 13a targeted audience, the training schedule, and Tim Donovan 2OJ03 3QJ03 Performance Coordinator from required resources for performing formal the training department.
human performance training including the need for periodic refresher training, as necessary.
Deliver appropriate formal Human Performance Documentation of Human 13b training to station personnel as determined by Tim Donovan 3Q/03 4Q/04 Performance training for the analysis In Action 13a.
appropriate station personnel.
Establish appropriate formal Human Documented re-qualification 13c Performance re-qualification requirements and Tim Donovan 30J03 4QJ03 requirements for station re-qualification schedule for station personnel personnel and established re as determined In Action 13a.
qualification schedule.
Perform an INPO GAP analysis to identify Completed GAP Analysis with 14 k eor aporGatnana gement.y David Montgomery 3QJ03 4/0o3 results captured for use by 14 knowledge gaps for station management.
_INPO in performing Action 15.
M
TIP LuN PLAN Documentation of completed Provide INPO Supervisor/Manager Training David Montgomery 4Q/03 4Q/03 training documentation for all 15 based on GAP results.
supervisors, managers, and 7,__senior managers.
DEVELOP A SITE WIDE COMMUNICATION STRATEGY THAT DESCRIBES THE TOPICS TO BE DISCUSSED AT PERIODIC HUMAN PERFORMANCE STANDOWNS Perform benchmarling to identify how other utilities determine the topics to be focused on for the station.
16Benchmarkingis to be performed in Completed Benchmark report in 16 accordance with o-CNS-06, Guideline for David Montgomery 40/02 1Q/03 accordance with CNS station Benchmarklng. Benchmarking goals and procedure for benchmarking.
objectives will be established in accordance with the requirements established by 0-CNS
- 06.
Incorporate a strategy for determining the Completed station policy for 17 items to be communicated in the human David Montgomery 1Q/03 10/03 human performance that 1 performance policy being developed in Action establishes this requirement.
- 3.
STRENGTHEN THE STATION'S HUMAN PERFORMANCE ROOT CAUSE ABILITY TO IDENTIFY AND CORRECT LATENT ORGANIZATIONAL WEAKNESSES.
Revised procedure 0-CNS-59, Revise the Human Error Review Board process Event Review Board, 4/2002.
to improve the focus on organizational/jobsite Note: This process is being 18 conditions. This will be accomplished through David Montgomery In Closure reviewed In Action No. 1 with removal of focus on individual disciplinary the deliverable being a revised action.
process described in Action No.
3.
Page 6 of 11 Action Plan 5.1.4.1 Revision 2 11/14/2002
- TIPA, AON PLAN 0w 110 111D11 Review regulatory and industry guidance such as Nuclear Regulatory Guide (NUREG) 1545/Nuclear Regulatory Commission (NRC) inspection procedure 71841 and NEI/INPO/EPRI Benchmarking Report on Human Performance Process, and INPO Human Performance Fundamentals and add guidance to station procedures for performing evaluations of events related to human performance. (Action Plans 5.2.7.1 and 5.2.7.2 lsn orardres* the Conrrctiwve Actinn Prnnram)
David Montgomery 1Q/03 2QJ03 Guidance from NRC/INPO/NEI/EPRI identified and incorporated in appropriate CNS Procedures.
Revise Root Cause Training as appropriate to address human performance related root Revised root cause training causes based on any changes made as a result 20a of this action plan or as a result of GAP Tim Donovan 2QJ03 3Q/03 program including guidance on analysis of regulatory or industry guidance.
Analysis.
(Action Plans 5.2.7.1 and 5.2.7.2 also address the Corrective Action Program)
Deliver revised root cause training incorporated Documentation of completed 20b Human Performance Root Cause Analysis to Tim Donovan 30/03 1Q/04 training of root cause root cause investigators, investigators.
Review the work control process to identify gaps in the process that, if closed would Improve human performance. Items to be Completed GAP analysis report.
considered include the attributes listed In Gaps will be entered into the LP002, NEI/INPO/EPRI Benchmarking report David Montgomery 4Q/03 1/04 ECNS corrective action program.
on the Human Performance Process.
Evidence of Implementation of Specifically evaluate the station processes appropriate corrective action to affecting job site conditions, task planning, resolve identified gaps.
individual behaviors, and performance assessment.
Page 7 of 11 Action Plan 5.1.4.1 Revision 2 11/14/2002 19 I
I I
I I
I I I
TIP k
,N PLAN 0
00 ER Srl\\/ll rOPD Arn TMDI IMIIT A DPIFD "R C)IRATT)NP DROGRAM I
Page 8 of 11 Action Plan 5.1.4.1 Revision 2 11/14/2002 L*tVML.L r
A, U l' I r
L tI'IFI.,
N'
-II rm rCCKi.l UDi;,.1..1\\VrP
,1%.,
I iuv4
~rKV%3%^
Benchmark utilities that perform peer observations. This will be accomplished in accordance with the CNS procedure on Completed Benchmark report in 22 benchmarking and may include data gathering, David Montgomery 1Q/04 3Q/04 accordance with CNS station trips to other stations, or bringing other utilities procedure for benchmarking.
to CNS to gain the necessary information to
.develop the program.
Develop a policy for the performance of peer observations.
The deliverable for this action The policy will be based on benchmarking will either be a new station results and the needs determined by senior policy outlining the peer station management. As a minimum the policy observation program or a 23 will describe:
David Montgomery 30J04 4QJ04 revised human performance Roles and responsibilities, program description with a
"* Observations to be included in the section devoted to the details of
- program, a peer observation program.
"* Actions to be taken based on observation results, and
"* Tracking and trending of observations.
Training will perform appropriate analysis to determine the impact on station personnel, the targeted audience, the training schedule, and Tim Donovan 40J04 2Q/05 Completed analysis performed required resources for performing training on by the Training Department.
the newly developed peer observation program.
Deliver the peer observation program training Documentation of peer 24b to appropriate station personnel as determined David Montgomery 2Q/05 30J05 observation training for in Action 24a.
appropriate station personnel.
IMPROVE THE METHOD FOR MEASURING HUMAN PERFORMANCE Site clock established with 25 Develop a site human performance event free David Montgomery Complete guidance in the Human clock to provide focus for the station.
Performance Deskguide.
Develop department human performance event Department clocks established 26 free clocks to provide focus for each David Montgomery Complete with guidance in the Human I department.
Performance Deskguide.
TIP k
,AuN PLAN Incorporate the periodic review of station Completed station policy for 27 performance Indicators related to human David Montgomery 400C3 mperfoncy tha performance into the human performance vidMontgosmer_/02 1Q/03 human performance that program policy.
establishes this requirement.
28 Develop a method to trend low threshold David Montgomery 402 1
3 Completed station policy for human performance items.
establishes this requirement.
Page 9 of 11 Action Plan 5.1.4.1 Revision 2 11/14/2002
TIPk.
uN PLAN GE ER LT I
-I r
Trainincg CNS will use the systematic approach to training when determining the training needs as a result of this action plan. Specific action steps have been assigned to address these needs.
Action 5a & 5b - Training will perform appropriate analysis to determine the impact on station personnel, the targeted audience, the training schedule, and required resources based on the new human performance policy document.
Action 13a, 13b & 13c - Training will perform appropriate analysis to determine the impact on station personnel, the targeted audience, the training schedule, and required resources for performing formal human performance training Including the need for periodic refresher training, as necessary.
Action 11 - Develop human performance training for new employees.
Action 20a & 20b - Revise Root Cause Training as appropriate to address human performance related root causes based on any changes made as a result of this action plan or as a result of GAP analysis of regulatory or industry guidance.
Action 24a & 24b - Training will perform appropriate analysis to determine the impact on station personnel, the targeted audience, the training schedule, and required resources for performing training on the newly developed Peer Observation Program.
Tim Donovan 2Q/03 2Q/05 I
I__
1_
1 Station personnel impacted by the procedural revisions are identified and trained in accordance with the Systematic Approach to Training.
Page 10 of 11 Action Plan 5.1.4.1 Revision 2 11/14/2002 29 I
I I r-n A I IP--
TIPEA JN-PLAN Change Managiement Establish a Change Management Plan in A written Change Management 30 accordance with the CNS Change Management David Montgomery 20Q03 2QJ03 Plan approved by the Assistant Guideline that communicates and reinforces to the Site Vice-President.
the changes to expectations, requirements, roles and responsibilities.
Monitoring - Self-Assessments Interim Assessments are Perform Interim Self-Assessment 6 months performed to determine after issuance of revision of Action Plan, (and effectiveness of actions taken.
every 12 months thereafter) to determine the Areas for improvement will be 31 effectiveness of the individual actions taken to David Montgomery 2Q/03 3Q/04 entered into the corrective improve the Human Performance. The action action program and the Action plan will be revised, as necessary, based upon Plan will be revised as required Interim Assessment. Self-Assessments to be based upon results of the performed in accordance with O-CNS-25, Self-Interim Assessments.
Assessment.
Verification - Final Assessment Final Effectiveness Assessment Perform Final Effectiveness Assessment with is performed to establish that assistance of INPO, to establish that the the required actions have 32 required actions have improved station human David Montgomery 3Q/05 3Q/05 t
iredsationsehave performance and the end state is consistent and the end state is consistent with the stated Objective. Self-Assessment to with the stated Objective.
be performed in accordance with 0-CNS-25, Self-Assessment.___________
Page 11 of 11 Action Plan 5.1.4.1 Revision 2 11/14/2002 I
TI,
,.;ION PLAN PILLAR OF EXCELLENCE:
FOCUS AREA:
ACTION PLAN TITLE:
ACTION PLAN NUMBER:
COMPLETION DATE:
ACTION PLAN OWNER:
FOCUS AREA OWNER:
Organizational Excellence Oversight & Assessment Self-Assessment 5.1.5.1 2Q/05 Roman Estrada Mike Boyce PROBLEM STATEMENT:
Cooper Nuclear Station (CNS) is weak in the organizational discipline of planning, execution, and follow through of self-assessments.
CAUSAL FACTORS:
Self-Assessment is not consistently applied or effectively implemented due to lack of organizational ownership and support. (Actions 1, 2, 3, 4, 5, 6, 7, 8, 9, Action Plan 5.2.6.4)
OB3ECTIVES:
- 1.
Self-Assessments are consistently used to proactively identify station problems and to improve station performance.
Page 1 of 5 Action Plan 5.1.5.1 Revision 2 11/14/2002 APPROVAL:(
APPROVAL:
Tfl
,I W-ON PLAN Revise 0-CNS-25 to clearly state that Notifications initiated to address Self-Completed Revision to 0-CNS Assessment recommendations must be Ralph Drier 3Q/02 1Q/03
- 25.
processed through the Corrective Action Program (CAP).
Conduct benchmarking at selected utilities to identify/beneficial Organizational behaviors and practices related to Self-Assessment/
Continuous Improvement/Excellence.
Report that identifies beneficial 2
Benchmarking is to be performed in Ralph Drier 3QJ02 1Q/03 practicesmbehaviors related to accordance with 0-CNS-06, Guideline for Self-Assessment/Continuous Benchmarking. Benchmarking goals and Improvement/Excellence.
objectives will be established In accordance with the requirements established by 0-CNS
- 06.
Complete a comparison of CNS Organizational Report that identifies beneficial behaviors related to Self-Assessment/
practices/behaviors that could Continuous Improvement/Excellence to beneficial practices/behaviors identified during Ralph Drier 2Q/03 2Q/03 be effectively implemented at benchmarking and determine which could be CNS and includes action plan to effectively implemented at CNS.
implement Improvements.
Conduct briefings with Department Managers and Self-Assessment Coordinators to discuss the following:
"* Continuous Improvement/Excellence List of Department Managers concept and process and Self-Assessment 4
Attributes of Continuous Improvement Ralph Drier 2Q/03 30J03 Coordinators that attended the Culture (Learning Organization) briefings, copy of talking paper
"* The role of Self-Assessment in Continuous and handout.
Improvement
"* Self-Assessment related roles and responsibilities.
Page 2 of 5 Action Plan 5.1.5.1 Revision 2 11/14/2002
TII-.. { ION PLAN Conduct Work Group/Department level briefings following:
"* Continuous Improvement/Excellence concept and process
"* Attributes of Continuous Improvement Culture (Learning Organization)
"* The role of Self-Assessment in Continuous Improvement
"* Self-Assessment related roles and a
I I
Ralph Drier 3Q/03 1Q/04 Ust of personnel that attended the meetings, copy of talking paper and handout.
responsiUiiliUt Develop and implement guidance to facilitate quality reviews of focused self-assessments O-CNS-25 revised to include and Implement in O-CNS-25. (Include a requirements for quality reviews 6
criterion (check point) that Self-Assessment R1Q/04 of Focused Self-Assessments.
recommendations be processed through CAP)
Ralph Drier 30J03 (Induding criterion that The quality reviews will focus on the conduct recommendations be processed and results of the assessment as described in through CAP) the assessment report.
Develop and Implement guidance to facilitate effectiveness reviews of focused self-O-CNS-25 revised to include assessments and implement in 0-CNS-25. The Ralph Drier 30/03 1./04 requirements for effectiveness effectiveness reviews will focus on whether the reviews of Focused Self actions identified by assessments have resulted Assessments.
in the intended performance Improvement.
Page 3 of 5 Action Plan 5.1.5.1 Revision 2 11/14/2002 I~
i 5
-T--
I I
I I
TIF*,,iON PLAN iM
~ l Conduct meetings with Department Managers and Self-Assessment Coordinators to review this Action Plan. The meetings should address the following:
The reasons for the change(s)
- 1. Current state of Self-Assessment at CNS
- 2.
Cause of current state
- 3. Vision for the future of Self Assessment at CNS
- 4.
Ukely consequences of not making the changes
"* Overview of plan objectives and actions
"* Impact of the plan
"* Required resources
- 1. Possible negative impacts of Implementing the plan
- 2. Potential failure modes and methods to resolve contingencies
"* Performance measures used to track plan effectiveness r*!
J f~e~t nnn r1.m Ralph Drier 4Q/02 1QJ03 List of Department Managers and Self-Assessment Coordinators that attended the meetings, copy of talking paper and handout.
Chancqe Manaqement Establish a Change Management Plan in A written Change Management 9
accordance with the CNS Change Management Ralph Drier 20/03 20/03 Plan approved by the Assistant Guideline that communicates and reinforces to the Vice-President.
the changes to expectations, requirements, roles and responsibilities.
Page 4 of 5 Action Plan 5.1.5.1 Revision 2 11/14/2002 8
"TIF ijLON PLAN m
Monitoring - Self-Assessments Conduct an assessment of Station Self Assessment performance to determine whether planned activities are resulting in an acceptable level of improvement.
Level of performance improvement will be considered acceptable if, based on the performance level identified on plan performance indicators and the expected rate of improvement, it Is likely that the plan objectives will be accomplished.
Causal analysis will be completed for any area(s) with lower than acceptable levels of improvement and recovery plans will be developed and implemented. Self-Assessments to be performed In accordance with 0-CNS-25, 4Q/03 4Q/03 Assessment Report, including causal analysis and recovery plans for all areas identified as experiencing lower than acceptable performance improvement.
Verification - Final Assessment Final Effectiveness Assessment Perform Final Effectiveness Assessment in is performed to establish that 11 accordance with 0-CNS-25, Self-Assessment, to Ralph Drier 4Q/04 2QJ05 improved Self-Assessments and establish that the completed actions have the end state is consistent with improved the Self-Assessment process and met the stated Objective.
the stated Objective._thestatedObjective.
Page 5 of 5 Action Plan 5.1.5.1 Revision 2 11/14/2002
- wpm 10 m
i I
-F-I Ralph Drier F7
TIF,ixON PLAN PILLAR OF EXCELLENCE:
FOCUS AREA:
ACTION PLAN TITLE:
ACTION PLAN NUMBER:
COMPLETION DATE:
ACTION PLAN OWNER:
FOCUS AREA OWNER:
Organizational Excellence Oversight & Assessment Quality Assurance Effectiveness 5.1.5.2 2Q/04 Dave Robinson Dave Kunsemiller APPROVAL:
APPROVA L:.,..
PROBLEM STATEMENT:
The Quality Assurance (QA) organization has not been consistent in the "follow-up" of findings and getting plant management to effectively respond to their findings.
CAUSAL FACTORS:
- 1.
Quality Assurance was not successful in communicating to site and corporate management the need to effectively act on the widespread performance issues as they were identified. (Actions 1, 2, 3)
- 2.
Quality Assurance was not fully engaged in "follow-up" of findings to ensure that the corrective actions are effective in the resolution of the issues. (Action 1)
OBJECTIVES:
- 1.
QA is fully engaged with "follow-up" of their findings and successful in communicating to plant management to effectively respond to their findings.
Page 1 of 3 Action Plan 5.1.5.2 Revision 2 11/20/2002 Ae, lAvgýo-;,
"TlF.r.w LON PLAN Develop and implement guidance/requirements for the "follow-up" of QA findings. This Procedure/policy revised or guidance shall also detail specific actions taken David Robinson 4QJ02 1Q/03 developed.
for untimely and/or inadequate response(s) to these findings.
Develop and provide a quarterly report to the A formal report to the VP on a VP (Vice President) on plant management quarterly basis. Routine 2
responsiveness to QA findings. In addition, David Robinson 4QJ02 4QJ03 communication to plant communicate routinely on this subject to management.
management.
Revise Nuclear Quality Procedure 2.7, 3
Escalation Process, to detail specific actions David Robinson 2QJ03 3Q/03 Procedure revised.
taken for untimely and/or inadequate response(s) to QA Escalation issues.
Training will be required following revision to Personnel Impacted by the the QA follow-up and escalation processes.
procedural revisions are 4
David Robinson 30J03 3QJ03 Identified and trained in Targeted Personnel - QA accordance with the systematic approach to training.
Change Management Establish a Change Management Plan in A written Change Management g
accordance with the Cooper Nuclear Station David Robinson 2QJ03 30J03 Plan approved by the Assistant (CNS) Change Management Guideline that to the VP.
communicates and reinforces the changes to expectations, requirements, roles and responsibilities.
Page 2 of 3 Action Plan 5.1.5.2 Revision 2 11/20/2002
"IP-,-J ION PLAN Monitoring - Self-Assessments Perform Interim Self Assessments (on a Interim Assessments are quarterly basis after issuance of revision 2 to Performed to determine 6
this Action Plan) to determine the effectiveness David Robinson 20/03 20,04 effectiveness of actions taken.
of the individual actions taken. Revise Action Action Plan is revised as Plan based upon Interim Assessment, as required based upon results of required, to Improve effectiveness of Quality the Interim Assessments.
Assurance.
Self Assessments to be performed in accordance with 0-CNS-25, Self Assessment.
Verification - Final Assessment Perform Final Effectiveness Assessment in Final Effectiveness Assessment accordance with 0-CNS-25, Self-Assessment to is performed to establish that establish that the required actions have the required actions have improved the Quality Assurance effectiveness David Robinson 20/04 20/04 improved Quality Assurance's such that they are fully engaged with "follow-effectiveness, and the end state up" of findings and more successful In is consistent with the stated communicating to plant management to Objective.
effectively respond to their findings. Ensure the end state is consistent with the stated objective.
Page 3 of 3 Action Plan 5.1.5.2 Revision 2 11/20/2002
"TII
,LON PLAN PILLAR OF EXCELLENCE:
FOCUS AREA:
ACTION PLAN TITLE:
ACTION PLAN NUMBER:
COMPLETION DATE:
ACTION PLAN OWNER:
FOCUS AREA OWNER:
Organizational Excellence Fiscal Responsibility Fiscal Policy Improvement 5.1.6.1 2Q/04 Sharon Brown Laurie Wetherell PROBLEM STATEMENT:
Cooper Nuclear Station (CNS) has overspent approved budgets and bypassed the financial approval process.
CAUSAL FACTORS:
- 1. Accountability and ownership of the budget had been weak at all levels of the CNS organization. (Actions 1, 2, 6, 9)
- 2. Clear standards and expectations regarding the importance of financial performance and accountability had not been set. (Actions 1, 2, 3, 4,
- 9)
- 3. Changing priorities has led to inefficient use of resources and the lack of funding for some projects. (Actions 3, 4, 5, 7, 9)
- 4. Managers and supervisors did not routinely meet with budget representatives to develop accurate budgets and forecasts or to present current results. (Actions 1, 2, 5, 6)
OBJECTIVES:
- 1. Financial resources and controls established so that resources are effectively managed.
Page 1 of 3 Action Plan 5.1.6.1 Revision 2 11/14/2002 APPROVAL:
4 lx APPROVAL:._l
, "ON PLAN Conduct formal, monthly reviews of projects and contracts that are being proposed for Monthly meetings are held to board approval. Participants include the Chief Sharon Brown Complete review proposed projects and Nuclear Officer (CNO), Site Vice-President (VP),
contracts that will be presented Cost Engineering, Supply Chain Management, to the Board for approval.
and project/contract owners.
2 Develop formal budget performance reviews Laurie Wetherell Complete Monthly budget variance 2
with appropriate CNS stakeholders.
meetings are held.
Create an emergent fund to be controlled by Laurie Wetherell Complete A contingency fund has been the Site Vice-President.
created to fund emergent work.
Revise Procedure 0-CNS-20 to ensure that funds are not released for projects until Procedure 0-CNS-20 revised 4
detailed plans are developed and approved, Sharon Brown 2Q/02 3Q/03 and issued.
and to integrate Nuclear Management Company (NMC) requirements, if appropriate.
Refine the 2003 budget prior to the board The 2003 budgets have been 5
freezing the allocations In Systems Applications Laurie Wetherell Complete completed.
and Products in Data Processing (SAP).
Develop a revised labor budget to support the Staffing Plan has been 6
revised dropout 2003 budget requests Laurie Wetherell Complete approved.
proposed by senior managers.
Develop a project plan addressing Nuclear Regulatory Commission (NRC) 95003 letter Project Plan has been 7
detailing projected financial impact of Paul Caudill In Closure completed.
developing Revision 1 of The Strategic Improvement Plan (TIP).
Complete effectiveness review of 2002 financial 8
results to demonstrate better site focus on Sharon Brown 1Q/03 1Q/03 Completed effectiveness review.
financial accountability and better use of resources.
Page 2 of 3 Action Plan 5.1.6.1 Revision 2 11/14/2002
TIF,/i &ON PLAN Training of targeted personnel from the following departments following development Station personnel impacted by of the procedure revisions:
the procedural revisions are 9
e All department managers Sharon Brown 3Q/03 40Q/03 identified and trained.
"* Budget Team
"* Project managers and owners
"* Cost Engineering staff Change Manaqement Establish a Change Management Plan in A written Change Management 10 accordance with the CNS Change Management Sharon Brown 3Q/03 30J03 Plan approved by the Assistant Guideline that communicates and reinforces to the Site Vice-President.
the changes to expectations, requirements, roles and responsibilities.
Monitoring - Self-Assessments Interim assessment performed to determine effectiveness of Conduct self-assessment of the effectiveness of actions taken. Action Plan 0-CNS-20 in January 2004. Self-Assessment to Sharon Brown 1QJ04 2OJ04 revised as required based upon be performed in accordance with 0-CNS-25, results of the Interim Self-Assessment.
assessment.
Verification - Final Assessment Perform Final Effectiveness Assessment in Final assessment performed to 12 accordance with 0-CNS-25, Self-Assessment, to Sharon Brown 2QJ04 2Q/04 establish that the required establish that the required actions have actions have Improved the demonstrated better site focus on financial financial management process.
accountability and better use of resources.
Page 3 of 3 Action Plan 5.1.6.1 Revision 2 11/14/2002
TIP tON PLAN PILLAR OF EXCELLENCE:
FOCUS AREA:
ACTION PLAN TITLE:
ACTION PLAN NUMBER:
COMPLETION DATE:
ACTION PLAN OWNER:
FOCUS AREA OWNER:
Organizational Excellence Operational Focus Operationally Focused Organization 5.1.7.1 2Q/04 Jim Hutton Mike Coyle PROBLEM STATEMENT:
The organization has not performed in a manner that places the primary focus of its resources on meeting the operational needs and demands of the plant.
CAUSAL FACTORS:
- 1. The organization has not developed a common understanding of the routine behaviors and processes necessary to prevent equipment failures, program failures, and events that reduce the reliability and safety of the plant. (Actions 1, 2, 3, 4, 5, 6, 7, 8, Action Plan 5.1.1.1)
OBJECTIVES:
- 1. An operationally focused culture that permeates the site-wide organization.
- 2. The prevention of equipment/system failures; undesirable plant events minimized or mitigated quickly.
- 3.
Cooper Nuclear Station (CNS) recognized by the industry as an operationally excellent plant.
Page 1 of 4 Action Plan 5.1.7.1 Revision 2 11/14/2002 APPROVAL:
APPROVAL:
I
TIPA-' ION PLAN Establish a Guiding Coalition at the Senior 1
Management level. This action ties to Action Mike Coyle 40QJ02 4Q/02 Guiding Coalition established.
Plan 5.1.1.1.
77 Conduct facilitated sessions with the Guiding Coalition to develop a common set of characteristics of an operationally focused organization. The Guiding Coalition will Internalize each characteristic and develop a A documented set of common 2
common understanding of its plant application.
Mike Coyle 1Q/03 1QJ03 characteristics of an operationally Utilize experience from recently conducted focused organization at CNS.
operational focus benchmarking visits, industry expertise, and Institute of Nuclear Power Operations (INPO). This action ties to Action Plan 5.1.1.1.
Conduct facilitated sessions with the Guiding Coalition to:
(a) Identify the behaviors of the Guiding Coalition that will firmly establish the operationally focused characteristics in A leadership team with a common the CNS work culture.
understanding of operational focus 3
(b) Identify the gaps between the Jim Hutton 1Q/03 10J03 and a documented set of actions to operationally focused behaviors and the move the organizational to an Guiding Coalition's current behavior, operational focus.
(c) Identify the set of behaviors and actions the Guiding Coalition can take to close the gaps from item (b). This action ties to Action Plan 5.1.1.1.
4 Assign owners from the Guiding Coalition to Jim Hutton 1Q/03 1Q/03 Actions owners assigned.
implement the items from action 3 (c).
Develop a guidance document for use in A completed and approved "5 cascade down" line management meeting as John Christensen 1Q/03 2Q/03 Operational Focus guidance described in Action 6. This aligns with Action document for use by line managers.
Plan 5.1.1.1.
1 1
1 1
Page 2 of 4 Action Plan 5.1.7.1 Revision 2 11/14/2002
TIF _ ILON PLAN The Guiding Coalition meets with their immediate staff and other support organization leaders to facilitate internalization of the operational focus characteristics. This Operational focus characteristics internalization will involve the specific change Jim Hutton 2Q/03 2Q/03 Introduced to all organizational levels 6
in behaviors and processes within their in terms of their specific work organizational unit necessary to adopt these activities and responsibilities.
operational focus characteristics. This process is cascaded down through the entire organization. This ties with Action Plan 5.1.1.1.
Implement the actions and changes identified Evaluation performed that cites the in Actions 4 and 6. This includes the Guiding actions, behaviors, and changes 7
Coalition's reinforcement of the characteristics Jim Hutton 2Q/03 30J03 identified in Actions 4 and 6 being via their routine activities of managing the implemented and regularly plant.
reinforced.
Utilize an assessment process to determine the degree of cultural shift accomplished. The assessment should be performed every 6 months until it is determined that an 8
operational focus culture is firmly established Jim Hutton 3Q/03 20J04 Assessments performed.
and it is supported by excellent results in plant performance indicators. Self-Assessments to be performed in accordance with 0-CNS-25, Self-Assessment.
Change Management Establish a Change Management Plan in A written Change Management Plan 9
accordance with the CNS Change Management Jim Hutton 4QJ02 10J03 approved by the Assistant to the Site Guideline that communicates and reinforces Vice-President.
the changes to expectations, requirements, roles and responsibilities.
Monitoring - Self-Assessments Interim Assessments are performed to determine effectiveness of actions 10 A Self-Assessment of the effectiveness of the Jim Hutton 2Q/03 2Q/03 taken. First Self-Assessment Action Plan will be conducted semi-annually In completed, and corrective actions accordance with Action 8 of the Action Plan.
documented.
Page 3 of 4 Action Plan 5.1.7.1 Revision 2 11/14/2002
"TI.,O N PLAN Verification - Final Assessment J
Final Effectiveness Assessment is 1Jim Hutton 2Q/04 I
2I4 performed to establish that the end Verification will be determined as described in I2Q/04state is consistent with the stated Action 8 of this action plan.
II I
I IObjectve Page 4 of 4 Action Plan 5.1.7.1 Revision 2 11/14/2002