ML20058P156
| ML20058P156 | |
| Person / Time | |
|---|---|
| Site: | 07001113 |
| Issue date: | 09/03/1993 |
| From: | Troup G NRC |
| To: | |
| References | |
| NUDOCS 9312230102 | |
| Download: ML20058P156 (6) | |
Text
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EMPLOYEE CONCERNS PROGRAMS PLANT NAME EWILMING-
/ LICENSEE: GENERAL ELECTRIC DOCKET #: 70-1113 A.
PROGRAM:
1.
Does the licensee have an employee. concerns program?
Yes.
There is not one single program but several which deal with different issues and are related.
(Essentially six programs)
Personnel Appeals - Peer Review Compliance Hot Line - Safety Issues 10 CFR 21 - Quality concerns Integrity Program - Corporate and Business Unit Nuclear Criticality Controls (Bulletin 91-01)
Fire Extinguisher Hot Line (a lower level program but still an important safety concern program) as well as the 10 CFR 19.12 requirements The Integrity Program is a new corporate program focused on financial issues (such as ethical business practices, supplier relationships, compliance with Antitrust Laws, insider stock trading)-but is also available for health, safety and environmental issues.
I 2.
Has NRC inspected the program?
Yes Report #70-1113/93-07 Programs were previously inspected and documented in reports 70-1113/88-05 and 70-1113/91-06.
B.
SCOPE:
1.
Is it for:
One or more programs apply.
a.
Technical?
Yes j
b.
Administrative?
Yes y
c.
Personnel issues?
Yes 2.
Does it cover safety as well as non-safety issues?
Yes f
3.
Is it designed for:
s a.
Nuclear safety?
Yes b.
Personal safety?
Yes, industrial safety and radiological safety.
Personnel issues - including union grievances?
c.
Yes e
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o EMPLOY 1;E CONCERNS PROGRAMS PLANT NAME: WILMINGTON LICENBEE: GENERAL ELECTRIC DOCKET #: 70-1113 4.
Does the program apply to all licensee employees?
Yes 5.
Contractors?
Yes for safety, quality and integrity issues.
Contractors handle personnel issues within their organization and procedures.
6.
Does the licensee require its contractors and their subs to have a similar program?
Yes.
Purchase orders for contractors require that they have similar programs and comply with licensee's programs for safety and quality.
7.
Does the licensee conduct an exit interview upon terminating employees asking if they have any safety concerns?
Yes.
After a written allegation which was also sent to the NRC in 1992, greater emphasis has been placed on conducting out-going interviews and'looking for safety concerns.
C.
INDEPENDENCE:
1.
What is the title of the person in charge?
Various individuals had primary responsibility for the-programs.
Appeals
- Manager, Human Resources Compliance - Manager, Quality Assurance 10 CFR 21
- Manager, Quality Assurance or Manager, Regulatory Compliance Integrity
- Corporate ombundsperson or business unit ombundsperson 2.
Who do they report to?
Manager, Human Resources reports to the Manager, Human Resources, GE Nuclear Energy with a dotted line to Manager, Nuclear Fuel and Components Manufacturing (NFECM)
Manager, Quality Assurance reports to Manager, NF&CM Manager, Regulatory Compliance reports to the Manager, Environmental Health and Safety and Nuclear Quality Assurance with a dotted line to the Manager, NFECM.
The compliance Ombundsperson reports to the Senior Vice President-Finance.
2
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e a
EMPLOYEE CONCERNS PROGRAMS PLANT NAME: WILMINGTON LICENSEE: GENERAL ELECTRIC DOCKET #: 70-1113 3.
Are they independent of line management?
All are independent of product managers but concerns may be referred to product manager for correction.
4.
Does the ECP use third party consultants?
Generally not on concerns or personnel appeals but have used technical consultants in special circumstances.
5.
How is a concern about a manager or vice president followed up?
This depends on the level of manager, but a concern about a senior manager or a vice president would be referred to the Corporate Audit Group for follow up.
A special inspection team would probably be appointed to investigate.
D.
RESOURCES:
h 1.
dS ) M What is the size of the staff devoted to this program?
Eight for local programs; not including corporate or p #e(4 lf(
/. i business units.
t P
2.
What are ECP staff qualifications (technical training, interviewing training, investigator training, other)?
y '[M. i t
Some are technical, some administrative.
All received or are scheduled to receive Tap Root *have A
training.
ECP staff routes incoming concern to designated manager or technical contact.
E.
REFERRALS:
1.
Who has followup on concerns (ECP staff, line management, other)?
Line management or manager of responsible function (QA, safety, etc.).
F.
CONFIDENTIALITY:
1.
Are the reports confidential?
Yes - If the employee so desires.
(Except personnel issues) 2.
Who is the identity of the alleger made known to (senior management, ECP staff, line management, other)?
Need to know basis - requests for confidentiality will be honored.
3
a EMPLOYEE CONCERN 8 PROGRAMS PLANT NAME: WILMINGTON LICENSEE: GENERAL ELECTRIC DOCKET #: 70-1113 3.
Can employees be:
a.
Anonymous?
Yes b.
Report by phone?
Yes.
In-plant " Hotline" and "800" lines to ombundsperson at various levels'of the corporate structure.
G.
FEEDBACK:
1.
Is feedback given to the alleger upon completion of the followup?
Yes - Different forms depending on program but generally in writing.
" Hotline" responses are generally verbal.
2.
Does program reward good ideas?
Yes.
Lightning Awards'(immediate cash awards) have been given for identification of problems.
3.
Who, or at what level, makes the final decision of resolution?
Dependent on particular programs and severity level of complaint.
Lowest level possible handles resolution.
4.
Are the resolutions of anonymous concerns disseminated?
No.
Anonymous concerns are handled and action taken but there is no " anonymous bulletin board.
5.
Are resolutions of valid concerns publicized (newsletter, bulletin board, all hands meeting, other)?
Not generally but may be. recognized through other awards programs.
q H.
EFFECTIVENESS:
1.
How does the licensee measure the effectiveness of the program?
Qualitatively - are programs being used and problems identified.
If not used, then program is not effective.
2.
Are concerns:
a.
Trended?
Yes.
Especially personnel appeals and compliance concerns (trended by category).
b.
Used?
Yes.
Trend data used to identify and address problem concerns.
4
A '
EMPLOYEE CONCERNS PROGRAMS PLANT NAME: WILMINGTON LICENSEE: GENERAL ELECTRIC DOCKET #: 70-1113.
3.
In the last-three years how many concerns were raised?
Of the concerns raised, how many were closed?
What percentage were 7ubstantiated?
Total Open substantiated Appeals 38 4
18 (does not include those which were resolved at the first step of the process, which is a verbal discussion with supervisor or first reporting level of management) 10 CFR 21 0
0 0
Compliance Hot Line 49 0
35 (most were industrial safety issues)
Integrity Hot Line 0
0 0
(new program initiated in July, 1993) 4.
How are followup techniques used to measure effectiveness (random survey, interviews, other)?
If possible, before a concern is closed, follow-up with individual to verify action was taken and the individual'was notified.
This does not necessarily require complete satisfaction but that the situation was corrected.
Obviously, this is not possible with anonymous concerns.
S.
How frequently are internal audits of the ECP conducted and by whom?
Customer audits of Part 21 about every two-three j
years Nuclear Quality Assurance audits Part 21:
about every three years E&HS audits complaints on variable frequency I.
ADMINISTRATION / TRAINING:
- 1. -
Is ECP prescribed by a procedure?
Yes.
The plant level programs are spelled out in plant procedures.
Appeals - Employee Relations Manual Procedure PP-51, Peer Review Procedure 5
i
. d'
. f EMPLOYEE CONCERNS PROGRAMS PLANT NAME: WILMINGTON LICENSEE: GENERAL ELECTRIC DOCKET #: 70-1113 10 CFR 21 - Practices & Procedure (P/P) 30-07, Reporting Defects and Noncompliances Compliance Hotline - P/P 30-49, Compliance Hot Line Integrity - Corporate directive / booklet Nuclear Criticality safety Issues - P/P 40-32 and Nuclear Safety Release / Requirement for controlled access area 2.
How are employees, as well as contractors, made aware of this program (training, newsletter, bulletin board, other)?
Initial training covers requirements, especially worker's responsibility to identify safety hazards and potential violations as required by 10 CFR 19.12.
Retraining scripts are being updated to include this as a point to be reemphasized.
Electronic bulletin boards periodically emphasize use of the compliance Hot Line.
The July, 1993 3ssue of Fuel and Flight (the sito newspaper) cont.Aned an article emphasizing the individual's responsibility to report problems under-10 CFR 21.
Additionally, related documents (Form NRC-3, 10 CFR 21, State OSHA postings) are posted on " official" bulletin boards throughout the plant area.
ADDITIONAL COMMENTS:
The efforts to follow-up and correct identified cozecerns gives the program visibility among the work force.
Discussions with personnel "on the floor" indicated that they were aware of programs, especial 3y the Compliance Hot Line and would use it provided they cou3d not get a problem rem?tved by discussion with the Area Manager or Supervisor.
Evaluation:
There are many levels to try an get a problem resolved.
If it is not ultimately resolved it is probably because the individual did not try.
NAME:
G.
Troup TITLE: Fuel Facility Inspector PHONE #: (404) 331-5566 DATE COMPLETED: September 3, 1993 Document Name = P:\\EMPCONPR.R2 6
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