ML20062L158

Rev 3 to Speakout Program Instruction SPI-03, Class 1 Concern Investigation Process

ML20062L158
Person / Time
Site:	South Texas
Issue date:	03/02/1993
From:	HOUSTON LIGHTING & POWER CO.
To:
Shared Package
ML20062K985	List: ML20062K983 ML20062L146 ML20062L158 ML20062L169 ML20062L176 ML20062L186 ML20062L210 ML20062L230 ML20062L254 ML20062L268 ML20062L276 ML20062L284
References
SPI-03, SPI-3, NUDOCS 9312290214
Download: ML20062L158 (7)

Text

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, STP 724 (02/90) m aEn SOUTH TEXAS PROJECT ELECTRIC GENERATING STATION l

SPEAK 0UT PROGRAM INSTRUCTION SPI-03 SPI-03 3 PAGE OF CLASS 1 CONCERN INVESTIGATION PROCESS y $

EFFECTIVE l DATE 3/2/93 1.0 PURPOSE This instruction delineates how SPEAKOUT investigations are conducted.

I 2.0 SCOPE This instruction applies to the activities associated with coordinating, investigating, and reporting investigations performed by SPEAKOUT.

3.0 DEFINITIONS Refer to Section IV, Appendix C, Definitions. l l

4.O REFERENCES 4.1 SPEAKOUT Program Instruction Manual,Section II B, Nondisclosure Statement.

4.2 SPEAKOUT Program Instruction Manual, SPI-02, Classification of Concerns.

4.3 Appendix IV D, Documentation and Forms.

l 5.0 RESPONSIBILITIES 5.1 The Manager, Quality Performance /SPEAKOUT, has the responsibility for the implementation, maintenance, and updating of this instruction and keeping the  :

SPEAKOUT Review Committee advised of any l significant changes. The Manager, Quality  !

Performance /SPEAKOUT, is responsible for ensuring that a complete and thorough investigation is conducted by SPEAKOUT.

5.2 The SPEAKOUT Investigator is responsible to the Manager, Quality Performance /SPEAKOUT, for implementation of this instruction. The SPEAKOUT Investigator will keep the Manager, Quality Performance /SPEAKOUT, advised of any significant or noteworthy investigation findings immediately.

9312290214 900921 PDR ADOCK 05000498 P PDR

• J STP 724 (02/90)

SOUTH TEXAS PROJECT ELECTRIC GENERATING STATION wuam p SPEAK 0UT PROGRAM INSTRUCTION SPI-03 SPI-03 3 PAGE CLASS 1 CONCERN INVESTIGATION PROCESS 2 5 EFFECTIVE DATE 3/2/93 ,

5.3 The SPEAKOUT Investigator is responsible for the preparation of an Investigation Plan for each assigned investigation. Additionally, the SPEAKOUT Investigator is responsible for the preparation of an Investigation Plan for each assigned investigation.

5.4 The SPEAKOUT Interviewer / Investigator is responsible for the . typing of Investigation .

Reports.

6.O REQUIREMENTS 6.1 After a concern has been assigned to SPEAKOUT, the Manager, Quality Performance /SPEAKOUT, will assign i the concern to a SPEAKOUT Investigator. '

6.2 If the Investigator determines sufficient l information has not been provided to conduct a i thorough investigation, and the concernee is not anonymous, the Investigator , with approval from the Manager, Quality Performance /SPEAKOUT will implement the requirements in 6.2.1 or 6.2.2.

6.2.1 The Investigator will request - that the Interviewer / Investigator gain additional information by contacting the concernee or scheduling another interview to get the additional information.

6.2.2 If this is not possible, the Investigator will cause a letter containing a request for the necessary information .to .be forwarded to the concernee.

6.3 An Investigation Plan, (refer to Section IV, Appendix D), is completed by the Investigator and submitted to the Manager, Quality Performance /SPEAKOUT for approval. The Investigation Plan will contain as a minimum:

6.3.1 the concern (s) to be investigated.

STP 724 (02/90)

SOUTH TEXAS PROJECT ELECTRIC GENERATING STATION wwem p SPEAKOUT PROGRAM INSTRUCTION SPI-03 wT-01 1

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CLASS 1 CONCERN INVESTIGATION PROCESS 3 5 EFFECTNE DATE 3/2/93 6.3.2 questions to be considered during the investigation process.

6.3.3 the name, title, and company of those persons who may be interviewed.

6.3.4 a list of documents the Investigator may review during the conduct of the investigation or to better understand the Concern.

6.4 During the investigation, the Investigator will:

6.4.1 Request assistance of cognizant personnel for technical support if required. l 6.4.2 Contact the appropriate Manager (s) or supervisory personnel, informing. them ,

that SPEAKOUT is conducting an l investigation in their area. Advise them i that it may be necessary to interview '

members of their department. ]

6.4.3 Make notes of those interviews conducted.

6.4.4 Record the results of any processes or activities pertinent to the investigation.

l 6.4.5 Acquire copies of documentation pertinent I to the investigation. l l

6.4.6 Resolve the who, what, when, where, why l and how of each concern investigated.  ;

6.5 During the conduct of an investigation, there may I be an occasion when an individual may inform the Investigator of a Class 1 concern different than I what the Investigator is investigating. In the event of this situation, process the concern as follows.

6.5.1 Provide the individual with a SPEAKOUT  ;

Concern Report package and ensure that- '

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, STP 724 (02/90)

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SOUTH TEXAS PROJECT ELECTRIC GENERATING STATION 70f SPEAK 0UT PROGRAM INSTRUCTION SPI-03 R P T-- 0 3 3 CLASS 1 CONCERN INVESTIGATION PROCESS 4 5 EFFECTIVE DATE 3/2/93 he/she understands the purpose and use.

Also, encourage the individual to  !

complete the package immediately so that it can be delivered to the SPEAKOUT-office by the Investigator. Or, offer to j set up a SPEAKOUT concern interview for  ;

the individual.

6.5.2 If the individual declines to complete the SPEAKOUT Concern Report, and declines an interview, the Investigator will advise the individual that he/she will issue the concern. The Investigator will then document the concern for normal  !

processing.

6.6 When the Investigator is confident that he/she has  !

conducted a thorough investigation, and answered all questions raised in the concerr a draft Investigation Report of the investigscion is written and formatted in accordance with Attachment A-1.

6.7 The Manager, SPEAKOUT Program, will review the Investigation Report for approval, prior to transmitting the report to the SPEAKOUT Review Committee, or to the General Manager, Nuclear Assurance if it is not a Class 1 concern.

7.0 DOCUMENTATION 7.1 Required documentation for Class 1 concerns may be I in computer stored form, microfilm or hard copy ,

file form. '

i 7.1.1 All Class 1 concern documentation will be - I controlled to include controlled storage ,

- of computer, microfilm and hard copy file  !

information.

7.1.2 All Class 1 concerns will be transmitted in opaque covers or folders.

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STP 724 (02/90)

NUMBER REV.

SOUTH TEXAS PROJECT ELECTRIC. GENERATING STATION SPEAKOUT PROGRAM INSTRUCTION SPI-03 SPI-03 3 CLASS 1 CONCERN INVESTIGATION PROCESS PAGE 5- " 5 EFFECTIVE DATE 3/2/93 7.1.3 The retention period of Class 1 concerns documentation is- " Life of Plant" as determined by HL&P Information Records-Management, Document Type List (DTL) .

8.0 Attachments Attachment A-1 Attachment A-2 l

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l ATTACHMENT A-1 FORMAT OUTLINE FOR INVESTIGATION REPORT  !

t Concern No.

Date:

Investigation by:

Investigation Dates:

I. Concern (s) Generated Through Concern i (Include a brief statement of.whether the concern was ,

" substantiated", " unsubstantiated",- or " unable to i substantiace" and why).

II. Recommendations / Suggestions III. A. Person (s) Interviewed ,

B. Materials Reviewed IV. Facts Accumulated Through The Course of Investigation V. Conclusion (s) Drawn From the Investigation j

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Investigator /Date  !

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VI. Attachments  !

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ATTACHMENT A-2 GUIDELINES FOR INVESTIGATION REPORTS A. 'All reviews and interviews will be included, or referenced, in the Investigation Report, unless found to ,

be completely irrelevant to the investigation.

B. Investigation Reports should definitely state whether the concern is received directly from the concernee, or from a document prepared by the concernee, or from a memorandum prepared by a third party, etc. Documents '

should be explicitly identified.

C. Equipment referred to in Investigation Reports should be identified by system, use, safety or non-safety, location, status and/ or other identifiers.

D. Where applicable, floor plans and/or photographs should be used to enhance the Investigation Report.  ;

E. Investigation Reports should identify the dates of relevant interviews.

t F. Investigation Reports should state the inclusive dates of the investigation.  !

G. The rationale as to why and how certain persons or groups ,

were selected for interview should be explained if not otherwise evident from the Investigation Report.  !

The Investigation Report should reflect how and why documents were selected for review.

H. The conclusion for each concern will be stated as defined  ?

below.

1. substantiated - it was determined the concern-  :

is valid and true -i i

2. unsubstantiated -

it was determined the concern was not valid and true '

3. unable to substantiate - it could not be ,

determined whether or not the concern was valid and true i 1

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