ML20198J171
| ML20198J171 | |
| Person / Time | |
|---|---|
| Site: | Comanche Peak  |
| Issue date: | 08/22/1985 |
| From: | Denise R NRC OFFICE OF INSPECTION & ENFORCEMENT (IE REGION IV) |
| To: | Noonan V NRC - COMANCHE PEAK PROJECT (TECHNICAL REVIEW TEAM) |
| Shared Package | |
| ML20197K103 | List: |
| References | |
| FOIA-86-132 NUDOCS 8606020292 | |
| Download: ML20198J171 (83) | |
Text
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- 8A. UNf710 GTATEs 0- ,* NUCLEAR FIECULATORY COMMISSION h I- ntGION IV t -
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[ ARUNGTON, TEKAS 79011
AUG 2 01985 MEMORANDUM FOR: V. Noonan, Director, Comanche Peak Project
, FROM: R. P. Desise. Director, Division of Reactor Safety and '
Projects, Region IV
SUBJECT:
PLAN FOR REVIEWiOF COMANCHE PEAK SAFE TEAM In accordance with your 2emoranduin of July 26, 1985, same subject, Region IV has obtcined a listing of the Comanche Peak Safe Team concerns with a status as of Aug'ust 16, 1985. The listirig indicates that 506 workers have submitted a
- _ total of 641 concerns. A review of the printout revealed that about 200 concerns were involved with industrial safety, personnel practices, etc.,
and are not considered to be primary candidates for NRC review. Additionally, some 55 concerns were identified for consideration by DI for sampling and eval ua .*. ion. Approximately 390 technical concerns remain of which 218 have
,- been closed, or are only lacking recontacts of the alleger.
, Enclosed is a modified rev.tew plan for the Comanche Peak Safe Team.' In that l the review will be of a program which ha's no NRC defined requirements or critaria, the team menbers must exhibit considerable experience and judgement in determining NRC' actions based on the review.
I have selected Glen Madsen to represent Region IV and serve as the Team Leader.
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b R. P. Denise. Director Division of Reactor Safety and Projects Attachments': ~
As stated ~
cc w/ attachments:
R. D. Martin. RIV
-T. F. Westennan, RIV I J. M. Taylor. D/IE
. 8606020292 860527 PDR FOIA CARDE86-132 PDR
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, ,Y, Plan for Review of Comanche Peak SAFETEAM .-
The general approach to a review of the Safe Team program will be.that the NRC j conduct a review of programatic features as well as a sampling of concern processing files covering hardware and wrongdoing natters under the licensee's program. The identification of weaknesses and areas needing improvement is a fundamental objective.
Team '
s Representatives from NRR, 01, IE, and Region IV.
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'_ Schedule - , ,
- L'-i Week of August 26, 1985. -
Initial Review ...e' 1 Review of program description documentation to detemine intended objectives, responsibilities, organization, organizational relationships. -
information flow, qualifications of personnel, etc.
, 2. Review of program practices as they relate to the items noted in No. I above, and note any differences between stated intentions and actual practices.
- 3. M. g Evaluation of intentions and practices as the NRC sees them. This would
- be a general comparison of TUGC0 practices to NRC practices if the NRC 7'"
had received the worker concern as an allegation. This evaluation would l
' include the consideration of concern classification, confidentiality, ;
investigation / inspection completeness, documentation completeness. . ;. . .
identification of corrective actions, corrective actions taken, ~A consideration of root cause and generic implication when the allegation was substantiated, timeliness of actions, and feedback to the concerned worker.
- 4. Select and review about 20% of technical concerns which TUGC0 has closed or are only lacking recontacting of the worker. The sample should be based on the sumary descriptions of the concerns and should not include items relating to industrial safety, . labor relations, industrial health, etc.
. 5. Select and review a sample of the wrongdoing concerns which TUGC0 has closed or are only lacking recontacting of the alleger. (Concerns related to harassment, intimidation, drugs, falsification, unjust i temination, etc.)
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- 6. The reviews prescribed in items 4 and 5 above will be conducted in accordance with the attached SAFETEAN review protocol and data sheets will be prepared for each concern file reviewed (Attachments 1 and 2).
Follow-on Phases ' -
The follow-on phases would involve periodic reviews of new files opened since the last review using the general approach outlined above. The reviewer would ,','
be directed to review additional closed files of high interest which were not .;.
reviewed in previous inspections, with the goal of having reviewed at least ;i3 50% of all high interest files before a scheduled licensing decision; we rey !. . !
aim at a higher level of review based on later developments.
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Documentation The reviewers (s) will document the results of the review in in:pection reports
. issued by RIY. A standard form containing evaluation points and comments would be used during the inspection, and a record will be kept of all files ~.
reviewed. -
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Attachment 1 ,
NRC TASK FORCE - TUGC0 SAFETEAM .
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Team Members '
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.w. ' :5 Objectives' .N'II<
To review TUGC0 SAFETEAN files to determine whether TUGC0 has properly dealt ...~,"
with the concerns brought to this organization by the employees of TUGC0 and its contractors.
As a result,*of the review, to determine what NRC. actions are required.
General Protocol NRC review will be (generally) based on a review of the files, independent M: .5 investigations and inspections are not anticipated during this effort. ' .; -
There are to be no in-process discussions with TUGC0 personnel regarding the process.45 concerns, results, documentation, etc. An exit discussion will be held. ,j
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. No material is to be given to TUGCO.
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No material is to be taken or reproduced from the TUGC0 files without team leader approval. . . .
All reviews are to be documented on the task force record of review forms; a these are to be retained by the team leader.
Do not record the names of persons expressing concerns - protect confidentiality. -
, Conduct reviews using the general standard of: Did TUGC0 handle the matter U/f.
like the NRC would have handled it? This includes proper followup with person l /- . concerned.
Bring significant issues to the attention of the team leader at once.
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. ..e Alert the O! members to any significant issues involving intimidation / r/;
harassment or wrongdoing, c.d?.
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Be alert to signs of modified files, incomplete work, ignoring of, leads, etc.
, gj;.,G Give priority to health and safety issues, but also to management integrity :44,j issues. Get the non-NRC issue interest out of the way quickly with minimal "g'dt time spent. .:.:
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Attachment 2 gegj M9 NRC TASK FORCE - TUGC0 SAFETEAM D-
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Record of Review s 3
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NRCReviewer(s): Date of Review: + S File Data: : :r -
TUGC0 Identifier: Open Date: Close Date: __ j -
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N Nature of Concern: 37. gig 3
TUGC0 Concern Classification: ~
Plant Safety: Security: Management: Industrial Safety: .h
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Miscellaneous: M3 TUGC0 Inspector / Investigator: ,
.v TUGC0 Reviewer / Approver: Was it 50.55(e) Reportable: ik.;
Was it Reported: Was the Alleger Recontacted:
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NRC Evaluation: - 2 Are File Contents Complete: Coments: .-
Does context of initial alleger contact reflect proper depth of infonnation for followup?
i Yes: No:
Coments:
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.;.. ,1 t Concern Properly Classified: Comments: #4 l ..
'g Does this concern relate directly to nuclear safety? Yes: No: - 'I a
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.:D e, Did confidentiality considerations and withholding of names inhibit the inspectors / s, L c'-
investigators evaluation or conclusion? ;;. . .
Yes: No: Conments: ,
Do you agree with TUGC0 action / resolution? Yes: No: Y. , 'I If Yes, Conments: 2;'.i {',;
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Reconnendations: :; :)
Field Check Yes: No: Additional Info Yes: No: rgI .
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. ';of,', .L lalr*.d t Independent NRC Inspection / Investigation: Suggested- Yes: No: : <
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I If you do not agree with the TUGC0 actions, are .the unresolved / unacceptable matters sufficiently signif.icant to public health and safety to reconnend against power f. ' j
..j;f45 operation of Comanche Peak until fully resolved?
A.s Yes: No: ;ps.i f :,
Signature (s): Date: M.-
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SAFETEAM~
Operational Manual n y ,c.,
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e SAFETEAM forms to be inserted in Manual by Client:
Section V Exit Interviewing EXAMPLES Page 36 Registration Form 38 Safety Concern Record 39 Concern Report
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SAFETEAM- Table of Contents Why SAFETEAM'"? Section 1 Program benefits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 ,
SAFETEAM'" Overview Section 11 How the program helps encourage employees to report quality concerns . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 Getting Ready Section III
- Equipment and facilities needed. . . . . . . . . . . . . . . . . . . . . 3 Job descriptions of SAFETEAM" personnel . . . . . . . . . . . 4 UTS responsibilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
- Ex a m ples . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 Starting Up Section IV Week.by. week outline of program activation procedure . 15 Ex a m ples . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20 Exit Interviewing Section V Step by. step procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . 26 Flow process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33 Exa m ples . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36 Investigation and Reporting Section VI Classification of concems . . . . . . . . . . . . . . . . . . . . . . . . . 40 Nuclear. safety investigation. . . . . . . . . . . . . . . . . . . . . . . . 40 Reporting requirements. . . . . . . . . . . . . . . . . . . . . . . . . . . 41 Response to concemed employee. . . . . . . . . . . . . . . . . . . 41 Reports to Management Section Vil i
Types of information generated. . . . . . . . . . . . . . . . . . . . . 45 Frequency of reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46 Exam ple s . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51 ;
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{ Section 1 Why SAFETEAM*?
In the construction of a nuclear plant, nothing has a higher Program Benefits priority than its ultimate safety.
Yet, in spite of the most stringent quality assurance efforts, flaws do sometimes occur. They may result from design errors, sub.
standard materials or components, problems in assembly or construction...or any unforeseen combination of factors. What-ever the cause, the earlier a flaw is detected and corrected, the less will be the cost in terms of time and money.
The intiividuals best positioned to see and report problems as they occur are the utility and contractor employees who are engaged in building the plant. Yet, too often, when their part of the job is done, they leave the site with nagging concems that
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they have not reported; and sometimes they tum up much later asintervenors.
The SAFETEAM" approach is designed to help solve this prob-lem by encouraging employees to report concems before they 1 leave; and it is based on the fact (1) that most workers do care about the quality of their work and the excellence of the project to which they have made a contribution...and (2) that, given the right environment, they will cooperate with management by reporting their material or workmanship concems.
SAFETEAM* provides the right environment and offers a num-ber of benefits:
- it provides a constructive atmosphere in which an existing employee can comfortably and confidently report his or her concems.
- it offers the ernployee recognition as an important member of the building team.
- It permits detection of problems at an early stage - when they can be corrected most cost effectively.
- It provides an additional measure of quality assurance and reduces the chance of the flaw surfacing in a later intervention.
SAFETEAM" has already won recognition as an effective program; and it has had the support of the Nuclear Regulatory Commission.
Section 11 SAFETEAM" Overview The purpose of SAFETEAM" is to make it as inviting, conve- How the Program Helps nient and rewarding as possible for an exiting employee to Encourage Employees report concems before permanently leaving the site. it does this to Report Quahty Concerns in a number of ways:
Hospitality The interview site is called the Appreciation Cen-ter. Its atmosphere is friendly and hospitable. Coffee and snacks are served and there are small gifts. The program is promoted at the building site; and exiting employees are invited and encouraged to stop at the Center before leav-
'8 ing.
Anonymity The employee is assured that his concems will be identified only by a number-not by name-and that not even the investigators will know who he is. He is fully protected from any later retribution that might worry him.
Action The employee is promised action on his concems-a thorough and impartial investigation of any problem he has reported, as well as correction if required.
- Response - SAFETEAM" promises to report the results of the investigation to him, personally-including the corrective action taken.
Recognition - The entire program is designed to give the exiting employee a sense of his own importance in the safety process-to assure him that he can make an important contribution.
In addition to interviewing exiting employees, SAFETEAM*
encourages walkins and schedules periodic interviews with selected groups still on site. An employee who is scheduled may decline, but must do so by indicating that he or she has no concerra.
j SAFETEAM" personnel treat each reported concern seriously, investigate it thoroughly and prepare the written response thoughtfully and carefully. They must always be aware that an expressed concem may give forewarning of a later allegation to the NRC or another regulatory body and that the response SAFETEAM" makes now may either preclude it or provide a better case for the owner if an allegation is made.
Results of the investigations are reported to management and if indicated, to the NRC.
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Section lii Getting Ready Like any business activity, SAFETEAM* requires facilities, equipment and personnel. This section outlines what you will need, provides job descriptions for SAFETEAM" personnel. ,
UTS personnel will be available to advise and help throughout
,the setting up process. g and Equipment The Appreciation Center is basically a reception arid hospitality Appreciation
- area with additional space for interviewing and administration. Center A 24' x 64' double wide trailer will provide acceptable space. It should be made as attractive and inviting as possible.
Hospitality - The Hospitality Room should have floor to-ceiling
_ partitions and should be large enough to seat 50 and accommodate a large refreshment table and registration area.
Offices Offices (partitioned floorto-ceiling) are required for the interview Coordinator and three interviewers. Addi-tional space is provided for a Receptionist / Secretary.
Equipment Major items of equipment include a microcompu-ter, videotape playback, a large portable TV monitor and cassette recorders for use by the interviewers. A checklist of additional equipment, fumiture and expendable supplies is at the back of this section.
Promotional materials - As an expression of appreciation, each visiting employee is given a coffee cup, a bumper sticker and a decal that can be applied to hard hats and lunch I
boxes. All feature the SAFETEAM* logo. In addition, arrangements should be made for coffee, coffeemaker, tea, I
assorted fruit juices and cookies.
Publicity Publicity is an important element of the program I I
and should be encouraged and pursued through the local press and available house organs. Because of the wide-spread interest in nuclear safety, a press conference is likely to be well attended and reported.
Trailer layout A suggested layout for the trailer housed Appre-ciation Center is provided at the end of this section.
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I sectionlii Getting Ready To assure employees of anonymity, the Investigators' facility investigator's !
should be separate from the Appreciation Center; but for the Facility !
benefit of the SAFETEAM" Director it is best to locate it nearby. -. ,
Offices An office with floor to-ceiling partitions should be pro-vided for the Program Director. Others, with 5 foot high dividers will be required for at least five investigators and a secretary.
Trailer layout A 24' x 45' trailer will provide an adequate facility. At the back of this section there is a suggested layout. ,
Personnel
- Job Descristions and Critica; Functions The SAFETEAM" Director is an employee of the site owner and SAFETEAM" Director is responsible for supervising operation of the program-includ-ing interviewing, investigation and clerical functions. He bud-gets for and supervises a secretary and a contract group consisting of:
1 interview coordinator 3 Interviewers (part time) 1 investigator coordinator 4 investigators -r%;a e.6. Wet) 2 secretaries The SAFETEAM" Director reports to the General Auditor; the two coordinators and a secretary report to him.
Work relationships In program management, the Director has work relationships with owner and site project manage-ment. For investigation support, he works with site contrac-tors, site operation, site security and site engineering. He works with the NRC on investigations and with the public and press on media contacts.
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Section 111 Getting Ready A principal duty is to assure that all of these factions support the SAFETEAM* program and cooperate in mak-Ing it effective. ,
Duties - The SAFETEAM" Director insures...
- that communications with representatives of labor unions, regulatory agencies, contractors and owner management maintain respect for the honesty and integrity of the program
- that an atmosphere is created that will encourage employees to voice their concerns e that employee anonymity is preserved by separating the interview and investigation functions and by provi, ding adequate security
- that [nterviewing and investigation records are accu-rate and capable of standing up under external scru-tiny
- that a track is kept of all concerns, their status and their dispositions a that Utility Technical Services is called on for help in problem areas Principal accountabilities -The SAFETEAM* Director, working with an owner review committee which ,
includes the Manager of Quality Assurance and repre- i sentatives from the Legal and Public Affairs Depart-ments, will assure that a reasonable and complete response is given to the interviewee and that the response will satisfy the requirements of the NRC if required at a hearing. He or she will also report regu-larly to management on the progress of the program.
Freedom to act The SAFETEAM" operation is a function outside the license of the NRC and concerns can be investigated without procedures reviewed by the NRC.
No reports to the NRC are required until and unless investigation shows a violvion of procedures, etc. How-ever, wrongdoing must be reported to the resident NRC inspector as soon as reported-stamped "2.790 (d) material withheld from public disclosure."
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8 Section 111 Getting Ready The Interview Coordinator is a contract employee who gives SAFETEAM" Interview administrative and technical direction to the interviewers Coordinator (also contract employees) to insure that the quality of infor-mation gathered is high and consistent. The coordinator ,
t acts as advisor assistant to the SAFETEAM* Director and as on site representative of the contract firm conducting interviews. Initially, three interviewers report to the Coordi-nator, although- the number may change. .
Work relationships - The interviewing staff interfaces with all employees of all organizations at the site. For this reason, the pers'on should have a knowledge of nuclear power principles. The coordinator should also be com-puter. literate in the Focus data base and information control systern.
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Duties -The coordinator maintains the quality of inter-views by scheduling adequate staff and filling in as an interviewer when necessary. Other duties include com-puter file maintenance, cooperation with interviewers and close liaison with the contract firm to provide early detection and resolution of problems.
The interviewer, a contract employee, is one of the most SAFETEAM" Interviewer critical elements of the program-the only point of contact between SAFETEAM" and the employee. His or her com-petence and sincerity affect both the credibility and effec-tiveness of the program and the quality and usefulness of the information gathered. i Work relationships The Interviewer reports to the Coordi-nator and interfaces with all employees of all organiza-tions at the site.
Duties Interviewers are responsible for the quality of their i i
interviews and should be available on a stand by basis
, in case of unexpected or large scale exits, where they l
may be asked to help with interviewing, refreshments, greeting, etc. They maintain close liaison with the Coordinator to permit early detection and resolution of
- problems.
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1 Section ill Getting Ready The Receptionist / Secretary reports to the Interview Coordi- SAFETEAM" nator, keeps the interview schedule, greets interviewees and Receptionist / Secretary makes sure that they register. Other duties include keeping track of supplies (including Appreciation Center refresh- ,
ments), maintaining computer and other files and perform-ing typing and other clerical functions for the SAFETEAM*
Director and Interview Coordinator.
Work relationships - Exiting employees represent a broad spectrum of different kinds of individuals; and the first SAFETEAM" member they meet is the Receptionist /
Secretary. An out going, friendly and sincere attitude is very important in helping to put potential interviewees at ease.
- The coordinator, a contract employee, directs the staff of SAFETEAM" Investigator investigators (also contract personnel) and reports to the Coordinator &
SAFETEAM" Director. The purpose of the investiaating SAFETEAM* Investigators staff is to resolve employee concerns about nuclear safety by constructing files of information that will satisfy both the employee and the NRC.
Work relationships The staff interfaces with all groups involved in the project; and the effectiveness of SAFE-TEAM
- depends heavily on the ability of investigators to elicit information from other project personnel with-out creating resentment. Personal characteristics should include inquisitiveness, constructive attitude, understanding of organizations involved in the project and of their inter relationships and the ability to think and write clearly.
Duties - Investigators analyze employee concerns to deter-mine accountability and which site function is most responsible. They interview site personnel who would be most familiar with the alleged problem and review reports such as DDR's, NCR's and possibly,50.55(e)'s.
They combine pertinent findings in draft reports including a step by step history of the investigation, a conclusion and an equitable solution. Before these reports are issued, they must satisfy a Legal, Public Relations and Quality Assurance review.
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m Sectionill Getting Ready Freedom to act The investigating staff has access to all files related to a concern and has the freedom to inter.
view all involved personnel. They may sign internal '
memos; and, after approval by the Review Committee, they may sign final reports.
UTS has a continuing responsibility to the owner from the UTS Responsibility inception of the SAFETEAM" Program to its close out. its duties are detailed in the following sections, but include...
- preliminary site review
- training of owner SAFETEAM" personnel
- sub-contracting ofinterviewing and investigating sources
- videotape production of CEO and Quality Assurance Mes-
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- orientati6n of owner and contractor management person-nel e production of site specific promotion materials
- set up and activation of computerized tracking system Throughout the life of the Program, UTS is responsible for furnishing assistance and direction to owner management whenever required or requested.
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Section 111 Getting Ready EXAMPLES e
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Section 111 Getting Ready Expendable Supplies By Client Steno Notebooks Letter Head Stationery Envelopes With Corporate Logo ,
Pencils Pens Paper Clips Staples l Staplers Tapes (Voice)
Typewriter Ribbons Corrective Tape / Fluid File Foldecs Coffee :
Decaf Coffee Juice Tea Cream Sugar Cookies Stirrers Foam Plastic Cups Napkins PaperTowels Floppy Disks See System Printer Ribbons Support Materials s Print Wheels in Tracking Computer Paper System Manual SAFETEAM* Cups From Bumper Stickers < UTS Decals 9
Section ill Getting Ready Equipment / Furniture Checklist By Client Proj. Intyr. Sec'y/ App.
Item Mg r. Coord, intvr% Recp. Investi Sec'y Center Total oesk X X X s
w/ Typewriter Leaf Swivel (Desk)Chelt Side Chair Steno Chair Folding Chair Table Fireproof Files Coat Rack i
. Video Stand
- Video Equipment File w/ Lock Tape Recorders Paper Shredder Telephone Ans. Equip.
Typewriter Storage Cabinet Coffee Maker Ash Tray Copying Equipment MailTrays Weste Basket Refrigerator Tape Storage Stapler Telephone Stapler Remover Clipboard Scissors Trailer 10
Section til Getting Ready UTS Supplied Material & Equipment 5000 Cups 5000 Interview Forms ,
10000 Report Forms 5000 Return Envelopes 500 Register Forms 1 Sign Appreciation Center 1 Sign Investigation 2 Signs SAFETEAM*
5000 Bumper Stickers
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5000 Logo Qecals 1 4 x 20 Banner 6 Manuals
- 6 Tracking System Guides 2 Computers & Hardware 1 Printer Dot Matrix 1 Printer Daisy Wheel 2 Sets Software (Focus) 1 Set Software (Word Processing) l l
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b SAFETEAMm Interview Trailer G 34' Video Tape j L Player and Monitor I I I l N l \ \ \
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W rator CoNoe Maker \ Th & 64' 2 Chairs N Desk Steno 11' x 9' mum'em - Interview 2 Interview foordinator Desk & Chair 2 s Table &
2 Chairs 11' x 9' 12' x 10' g Computer Storage
& Files 2 Tables &
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4 File Cabinets Resi_ o-12' x 10' qr
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SAFETEAMr.
Investigator's Trailer ,
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I I Program Director Computer &
Storage Desk & Chair Table &
Table & 2 Chairs 2 Chairs
. 14' x 10' 4 File Cabinets 14' x 10'
\ m Inwstigator 4 ',
Desk & Innstigator1 2 CMm 45' Desk &
8' x 8' 2 Chairs inestigator 5 ah 8 ' x 8' Desk & Inestgator 2 2 Chairs Desk &
8'x8' 2 Chairs 8' x 8' inwstigator 3 i Desk &
Restroom 2 Chairs Coat Rack 8' x 8' n _
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Section ly Starting Up Activating the SAFETEAM" Program is a responsibility shared jointly by owner management and UTS. Drawing on experience gained in the SAFETEAM" Program at Fermi 2, UTS provides both personnel and expertise. Its function is to assist in a smooth launch of the program and to advise on the efficient and productive operation of the program throughout its life.
From the beginning, it is important that the line of com-munication between the user and UTS be between the user Program Director and the UTS Project Director. This will include correspondence, site visits and audits by UTS and
- requests for materials and information from the user. it will both expddite the program launch and help to assure its effectiveness.
In launching SAFETEAM", there are three critical facts to
- bear in mind:
Concerns expressed by exiting employees will inevitably lead to investigations that touch most levels of manage-ment-and will raise questions that must be responded to promptly, intelligently and honestly in order to maintain the cooperation of contributing employees.
Further, since contractors control the exit times of their
- employees, they have a direct impact on the number who will come to the Appreciation Center and request inter-views. The Program Director and staff must recognize this and be prepared to act as the contractors terminate their employees.
l
! Finally, union leadership must understand that SAFE-TEAM" is not an inquisition but an opportunity for mem-bers to gain extra pride in a job well done while their anonymity is fully protected.
If the SAFETEAM" program is to be credible and effec-tive,it must enjoy complete support at alllevels of owner and contractor management (including QA/QC) and from.
union business agents and stewards.
l l
l 14 l
. . - - . . - - - - - - . , . - - - - - - - . , - , , - - , . _ . , - - . - - - ~ _ - - - - - - - - - - - . ---..,-n. .- , . - - - .
l l
Section ly Starting Up l To win this support, UTS assists in staging a series of meet-l Ings with these different groups, held prior to the program's actual beginning. The meetings include an outline of how the program works, a discussion of the benefits of the pro- s gram (to all parties) as outlined in "Why SAFETEAM*" and "SAFETEAM* Overview" and presentation of a videotape talk by the owner CEO. Each group is encouraged to partici-pate: .
Owner management by promoting the program and coop.
, erating fully with investigators.
Contractor management by scheduling exits in advance, encouraging exit visits to the Appreciation Center (perhaps distributing paychecks after the session) and by cooperat-ing with investigators.
Union representatives by encouraging their members to participate. (if all exiting employees pass through the Cen-ter, it not only provides each a chance to express con-cerns-it also further protects anonymity.)
Sample invitations to these meetings are included at the back of this section.
The SAFETEAM* Program can be activated in about eight weeks. A week by week schedule follows. In addition, a Startup Schedule form is included at the back of this sec-tion.
Promotional Material Artwork Schedule
- % UTS,1 Day Client approval of the artwork to be used on Week 1 program promotional and process materials.
Establish Interviewer Subcontract UTS,3 Days Utility Technical Services will complete site specific negotiations with the ' subcontractor selected
- to provide concern investigations.
I Establish Investigator Subcontract '
UTS,3 Days Utility Technical Services will complete site specific negotiations with the subcontractor selected to provide concern investigations.
15 i
o
, . _ _ - . ~ , , . - _ , . . _ . . _ _ _ _ _ _ _ _ _ . _ _ _ _ . . . _ . _ _ _ _ _ , - . _ _ _ _ _ _ . - _ _ , - , , _ .
1 l
Section lv Starting Up l Order Program Materials UTS,1 Day Utility Technical Services will place orders for all program materials and equiprnent including those ,
with site. specific art work.
Identification of Program Director Week 2 Client,1 Day The Client will select the individual who will be the SAFETEAM* Program Director. Utility Techni-cal Services will then establish contact with this indi-vidual to review program operation and arrange for training dates.
f_ Initial Site Visit UTS,2 Days A visit to the client's site and offices will be made by Utility Technical Services representatives to accomplish the following objectives:
- A short meeting with senior site management to introduce SAFETEAM" representatives and respond to any unanswered questions.
- A tour of the site conducted by the client to familiar-Ize Utility Technical Services representatives with the location of key facilities and any required site pro-cedures (orientation, badges, delivery procedures, union rules...etc).
- Inspection of the plans for, or construction of, site SAFETEAM* facilities.
- Meet with public relations officials to review video script and make arrangements for production.
- Develop site presentation schedule for Week 5.
Tracking System Checkout UTS,3 Days - Utility Technical Services will take delivery of and begin operational testing of computerized track-t ing system hardware.
16
Section iv -
Starting Up Video Production Week 3 UTS,2 Days Utility Technical Services and the client will work together to produce the videotapes to be used in Appreciction Center presentations. Normally these '
tapes feature o 'short "thank you" talk by the Chief Executive Officer for exiting employees and another similar talk, by the executive respons!ble for quality assurance, for technical employees remaining on site.
Sample scripts are included at the back of this section.
. Interview Contractor Mobilized UTS The subcontractor responsible for directing the inter-viewing process arrives to begin local personnel selec-tion. ,
[ Tracking S'ystem Checkout UTS,3 Days - Utility Technical Services will load custom software and begin operational testing of the comput-erized tracking system. ,
Site Manager Training UTS,3 Days - The client Program Director will be offered a
" hands on" training opportunity by working w!th the Fermi 2 SAFETEAM" operation and, if possible, a visit to another operating site.
Interviewer Selections --
Week 4 l
- UTS,5 Days - The subcontractor responsible for directing l
the interviewing process will be making final inter-viewer selections.
Review Committae Identification Client The membership of the Concern Review Commit-l tee, consisting of representatives from the legal, public
! affairs and quality assurance areas, is identified.
Interview Facility Completion Client The trailer facility known as the Appreciation Cen-ter and used to deliver the exit presentation and con-duct interviews is ready for occupancy at week end.
l i2
Section iv Starting Up Material Delivery UTS A quantity of specialized program materials and equipment sufficient to begin operation will arrive on '
site.
Team Evaluation UTS/ Client,2 Days The candidates recommended by the investigation and interview contractors will be inter.
viewed at the plant site by the client Program Director and the SAFETEAM" Project Director.
I Site Presentations Week 5 UTS/ Client,3 Days A visit to the client's site will be made by Utility Technical Services representatives to accom-
_ plish tiie following objectives:
- Meet with the client response review panel to familiar.
Ize them with the SAFETEAM" process and their involvement with it.
- Conduct site meetings with site groups to " kick off" the program. The audiences will normally be Project Management, Contractor Management (persons with ,
authority to terminate employees) and Union Busi- l ness Agents. {'
- Inspection of site SAFETEAM" facilities.
l Review Committee Orientation I UTS The Concern Review Committee consisting of repre-sentatives from the legal, public affairs and quality assurance areas has their first meeting to review pro-gram procedures.
Tracking System Startup UTS,2 Days The computerized tracking system will be made operational on site and site personnel trained in its use.
Interviewer Training UTS,5 Days The interviewers selected will undergo site specific program training.
s 18 l
Section iv Starting Up Investigation Contractor Training UTS,5 Days - The subcontractor responsible for directing the investigation process will be provided training in '
the Fermi 2 SAFETEAM* operation.
investigation Facility Completion Client The trailer facility used as a headquarters for con.
l cern investigations is ready for occupancy at week end.
Interviewing Begins Week 6 Client The process of conducting exit and/or scheduled interviews on site begins.
. Investigation Contractor on Site UTS - The subcontractor responsible for directing the investigation process arrives to begin site orientation.
Investigation Begins Week 7 UTS The process of investigating concerns identified dur-ing interviews begins (if some concerns have been iden-tified).
Material Delivery Week 8 UTS -The remaining quantity of specialized program materials and equipment specified in the Service Agreement will arrive on site.
Investigation Report Completed Client An investigation report and associated response letter is prepared and reviewed by the Concern Review Committee.
Program Operational i
19 c ,- ,,-
Section IV Starting Up EXAMPLES l
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Section IV starting up Sample Invitation l
1 Dear [ owner / manager--including QA/QC contractor superintendent (secretary, timekeeper?)
union steward, business agent]
Please join us at time , day and date ,
place and meet plant name 's SAFETEAM.
~
By now you've read about the SAFETEAM project in plant / contractor newsletter (s) . We'll have it in place soon. We want you to know the who, what and why of it.
Project Manager Let us know if you can come by calling .
20
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i l Section lV 1 starting up Contractor Management Invitation l DATE: l TO: ALL SITE CONTRACTOR PROJECT MANAGER . FROM: SAFETEAM' PROGRAM DIRECTOR
SUBJECT:
SAFETEAM"
~
The SAFETEAM Appreciation Center explained to representatives of each site contractor on has been staffed and implemented. SAFETEAM' is located in Trailer ,near , and can be reached on (extensions) . Activities are underway in both major parts of the program. Each program is described below and your continuing support for each is very much appreciated.
- 1. QA/QC SCHEDULED INTERVIEW PROGRAM All organizations on site are requested to cooperate in scheduling interviews for QA, QC, and other employees involved in the equipment, procedures, or testing of safety-related systems at . These requests are being initiated by SAFETEAM" with the support of project management, and scheduled throughout the working day except for afternoons when interviews with exiting workers are scheduled.
- 2. SAFETEAM" CONCERN INTERVIEW FOR EXITING EMPLOYEES These are aimed solely at obtaining individual workers' concern (s) about the safe operation of . It is a voluntary oppo.rtunity for each worker to share any concerns they have with an independent interviewer. Each concern will be given to a SAFETEAM" Investigator without the individual's name. Each concern will be thoroughly investigated and reviewed and everyone participating in an interview will receive a response from SAFETEAM*.
All exiting employees are to be offered an opportunity for a SAFETEAM" presentation at the Appreciation Center before leaving site. This is done for contractor's workers who are leaving by arranging for their final paychecks to be given them at the Appreciation Center. Contractors should call extension and arrange for a SAFETEAM' presentation as soon as they know of a work force reduction or employee (s) exiting for any other reason than disciplinary action. 22
Section IV starting up Contractor Management invitation Once a time and date are arranged with SAFETEAM", exiting workers shall gather at the Appreciation Center, sign.in, hear a brief presentation on the SAFETEAM* program, receive a gift of appreciation from , and their paychecks. They will then have the opportunity to volunteer for an interview.
- 3. SAFETY CONCERN OUTREACH All employees leaving site who have not had an opportunity for an interview will receive a letter encouraging them to share any safety-related concern by mail or telephone with the SAFETEAM* organization. You will be informed when this part of the project is implemented.
- 4. SAFETEAM* CONCERN REPORT (QCR) PROGRAM The SCR program will permit all on-site personnel have a constant opportunity to report any quality concern to SATETEAM*. All employees are urged to use a SCR anytime they have a concern.
Your cooperation in these programs is the key to their success. 23
r Section lV starting up Suggested Script for Videotape Walter J. McCarthy, Jr. Chairman of the Board
- and Chief Executive Officer ,
Detrolt Edison Hello,I'm Walter J. McCarthy, Jr., Chairman of the Board of Detroit Edison. I'm glad to welcome you to the Fermi 2 Appreciation Center. Some of you may know me from the days when I was Fermi 2's first project manager. That says something about how long it takes to build a nuclear plant today. And how long and hard you have worked to make Fermi 2 an operating power plant. Soon Fermi 2 will load fuel and-after appropriate tests-generate electricity safely, reliably and efficiently. You will have made that possible. You have already demonstrated care and concern in build-ing Fermi 2. This construction project has a safety record that ranks among the best in industrial construction. Detroit Edison aims to continue that record for Fermi 2 as an operating plant and not only for the people on site, but for those off site as well. Detroit Edison is pledged to operate Fermi 2 as safely as it does its other power plants. You have done much to help us reach that goal-and it is very much appreciated. Now we ask your cooperation again. If there is anything that causes you concern about a Fermi 2 safety related system, we want to know about it. We will check out every concern-correct anything that could be wrong-and we will get back to you with a response to your concern.That's one of the purposes for having you here-to ask you to share operating safety related concerns with our safety concern reviewers. The other purpose is to tell you how much Detroit Edison appreciates what you have done. That's why we call you the Fermi 2 SAFETEAM*. You have built this plant safely-so it will operate the same way; for that we thank you and wish you all best wishes for your future. 24
i section iv Suggested Script for Starting up Quality Assurance Videotape Hello,I'm _!a***) Manager of Quality Assurance for(c *P'"))I . thank you for spending a few moments listening to me. They could be very important moments for both of us. Let . me explain. (c *P*arlis vitally concerned with making sure that _(Pl ant) operates as safely as any of the otheric mPany) power plants. You can help us do that by cooperating with our SAFETEAM" operation. You are in an important position in the (P'*) . project. Youl have part of the responsibility for making sure that (Pant) was built to specification, which in turn leads to safe opera-tion. You were invited here today because (comp *"v)wants to know if you have any concerns about safety.related sys-tems, equ,lpment or procedures that could affect the safe operatiortof (P'*at)
~
As you know, we're drawing close to fuel load which in turn means that we will operate very soon. Before that operation begins, we want to make sure that anyone who has any concerns about the safety of this plant has the opportunity to tell us about them. We will check them out and if any-thing is wrong, make sure it's corrected so that (P'*a') will indeed operate safely. That's why you're here today. I would like you to talk with a SAFETEAM* Interviewer and if you have any concerns at all, please share them. The Interviewer's job is to find out what you think is wrong with the plant, with the construction, with the design or with the testing. These findings will be transcribed and given, with-out your name, to an Investigator. He will investigate each and every concern. ' I will make sure that those concerns are investigated, checked.out and corrected as necessary and that you get informed of the results. I think you can understand why this is important. A large part of ko*P*">> economic future rests on how well **a" operates. If (a=a*')is to attract industry with jobs to end our staggering unemployment, we must have an economic and reliable supply of electricity. For ta~o'**'!, that means having safe nuclear power safe from the word go, safe from the first day it operates kama*avi wants to make sure of that, and your cooperation will help us reach that goal. 25 j
n Section v Exit Interviewing From the employee's point of view, the exit interview is the , focus of the SAFETEAM" Program. It is critical that he or j she feel relaxed, confident and safe in voicing concerns; and the Appreciation Center is designed to provide that 1 atmosphere. l SAFETEAM* is now fully equipped and staffed by owner, UTS and subcontract personnel. Site contractors have been l notified and encouraged to route their exiting employees ; through the Appreciation Center. l
- It is important to keep up a continuous program of commu.
nicationi to contractors. They should be reminded on a regular basis to:
- give the Center notice far enough in advance to allow the Coordinator to have enough Interviewers on hand.
- avoid, if possible, sending out too large an exit group at one time. (About 8% of exit employees ask to be inter.
viewed; and, in large groups, the proportion tends to be smaller.)
- send out exit groups under leadership of a foreman or other management representative and pass out final paychecks after the SAFETEAM* presentation.
When an exit group arrives at the Appreciation Center, the procedure is as follows: Welcome and registration The exiting employees are wel. Exit Procedure comed, offered refreshments and gifts and asked to register. A registration form, which includes name, company and permanent address is included at the back of this section. Videotape presentation When everyone has been seated, the group is invited to watch the videotape presentation i by the Chairman of the Board.This is partly done " live", with the welcoming speaker following a format like the one suggested later in this section-scheduled visitors see a videotape by the Manager of Quality Assurance. 26
Exit Interviewing Section v Reassurrance: Anonymousinvestigation Reply Afterthe film, anyone in the audience who has a safety concern is invited to request an interview: Reassurance is given that the process keeps them completely anonymous-that their concerns will be identified only by coded numbers-and that they need not fear retribution.They are also promised that their concerns will be thor-oughly investigated and that they will receive a reply as to what action has been taken. A copy of the Safety Concern Record form is included at the back of this section. Malled and phoned concerns Each employee who exits _ receives a Concern Report form, a postage paid enve-lope ahd a toll free 800 number for use in case a con-cern occurs to him or her after exiting. A copy of the form is included at the back of this section. For privacy and confidentiality, interviews are conducted in one of the floor to celling partitioned offices. Respondents are given the choice of having the interview taped on cas-sette or simply reported on a form. There are two basic formats for the interview-one for general use and one for specific use with QA/QC and engineering respondents. These formats follow: Question 1 Let me be sure that I have your name and Format for address. We will use this for two purposes. First, we will GeneralInterview write you a letter informing you as to what we found and how we resolved any concerns you may have. Secondly, it is possible that we may need more information from you to adequately investigate a concern. Of course, we would need your address to contact you. I should point out that the only people who will see your name are myself and the SAFETEAM" secretary who puts the information into the computer. After the interview is over the top of the form is separated and from then on, your concerns are tracked by only the number. We do this to assure, as much as possible, anonymity in the process. 27
section v Exit Interviewing Question 2 How long have you worked on the site? Question 3 - Do you have any other nuclear experience? (Total time, not location or job) Question 4 What is your job? What department or com-pany? Question 5 You've had a chance to hear what manage. ment says about this project. Do you have any ques. tions about what we are doing and why? Question 6 -If you have no objection, we would like to audio tape your interview. The tape would be used to help in clarification if we get into technical areas. The only p'erson authorized to listen to the tape would be _ the In'vestigator assigned to your concerns. You will notice that we have already noted your name, address, employer, and job, so specific information that will identify you will not be recorded. Question 7 -Think back to a time when you were impressed or felt good about anything that' occurred relating to the safe operation of the plant. Think of a time when you were impressed with the concern shown for safety. Describe what happened. Question 8 Now think back to a time when something occurred that you might consider a safety concern. This would be something where you felt uncomfortable about a situation, or the outcome of something. Describe what happened. (How long ago?; What (sys-tem / equipment)?; Where (building / floor / area)?; What occurred?; Who knew about it?; What was the out. come?) Question 9 Do you or have you experienced pressures to meet schedules, deadlines, ete? Were any shortcuts taken that bothered you? Question 10 With all of the final decisions being made by inspectors, Engineers, or Managers, have there been any safety related decisions that you have real concerns about? 28
Section v Exit Interviewing Question 11 Do you have any safety related concerns about:
- Materials used for construction? s
- Procedures used for construction or testing?
, e inter action among companies or departments on site?
- Material being accepted (used)"as is"?
- The potential overall safety of project? .
Question 12 What is your reaction to this interview pro-cess? Will it provide useful information to help assure safe plant operation? Do you have any suggestions as to how we could improve this process?
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Question 1 Let me be sure I have your name and depart. Format for ment number correct. Will you give me your phone QA/QC and number so we can reach you if we have any follow up Engineer Interview questions? Question 2 Will you tell me what your involvement with the project has been? (Determine if the interviewee is a supervisor, technician, clerical, etc.). How long have you been working on this project? How much of your time over the past year has been devoted to working on this project? (Some of the engineering people will have multiple assignments which include this project but which may include substantial time on other projects). What involvement? Howlong? Question 3 You have heard the orientation tape to the i SAFETEAM" Project. You may have telked to some of the people who have been interviewed. What is your reaction to this Program? (Allow the interviewee some time to talk about his/her impression of the SAFE-TEAM
- Project. Be supportive of the reactions and don't try to defend the project but allow the interviewee to open up and to be heard.)
29
Section v Exit Interviewing Question 4 -(Summarize the discussion for the inter. viewee by saying the following)- I see you have a good understanding of the SAFETEAM* Project. We see it as one more chance to assure the project is designed to operate in the most safe and reliable manner to protect the public and to provide a dependable source of power for the future. We are very interested in your com-ments. We want to assure you that we will do everything possible to keep your comments private and will not associate your name with specific comments without your permission if it is essential for safety reasons. We have a special team of investigators who will review your concern and who will work with the data but who _ will not know who the interviewee is. We would like to tape this conversation so that we have an accurate record of what is said. We will not use your name on the tape but refer to your interview number. Do you have any problems with this? The tape will be used only as a backup to assist in any necessary reviews. No one out-side the SAFETEAM* Project has access to these tapes. If you have no objections I will turn on the recorder. (Place on then record the date, time of day and the interview number.) Question 5 - Now we want to direct our comments to the Project and to your observations. We need to be as specific in our comments as possible. We would like you to direct your comments to any specific piece of equipment, procedure, control panel system or area of the plant. We need specific information in the event that we need to do any investigation. Now think back . over your work on this project. We are going to ask you l about any problems that you may have observed in l several areas separately. These areas are:
- design
- drawings, drawing control, etc.
- specifications
- company standards
- NRC regulations and specifications
- selection of vendors, purchasing
- documentation
- testing 30
. \
section v Exit Interviewing Question 6 Let's talk first about design. Do you have any ! concerns about the safety and reliability of the design i particularly any areas you have'first hand knowledge , of. Are there any decisions that have been made that you felt were not in the best interest of safety? What we are asking is that you look at the design decisions that you have been involved in and back over those made some time ago and which you feel may have an impact on the safety and reliability of the plant. We are inter-ested in specific concerns, not generalizations. (If any comments are made, be sure to determine the system involved, the equipment, function, and the potential or implic,ation for failure.What would happen if the equip- ~ ment failed? Would the effect be a safety concern? Are there implications for the nuclear safety of the plant?) Question 7 Now let's talk about the drawings and the drawing control process. Consider the drawings from vendors, the equipment drawings, the PSID's, and the whole process of making changes and keeping them up to date. Have you any concerns about this aspect of the design process? Question 8 Now let's talk about the specifications that you work towards. Think about all the specifications, the system level and the hardware and equipment level specifications. Are you satisfied from your experience that there are no safety concerns that need to be addressed? Question 9 Think about the owner standards that have been developed and have been applied to this project. Has your experience been that all problems and con-flicts have been resolved in this area? Are there any safety concerns that you have about these standards? Question 10 Have you observed any problems related to the NRC regulations and the application of these to this design? 31
Section v Exit Interviewing Question 11 Have you any concerns about the vendor's ability to provide material and equipment for this pro-ject? Have you had any interactio'n with vendors? Have , you observed any problems that could impact on the safe operation of the plant? Question 12 Do you have any concern with documenta-tion, testing, or quality assurance? , Question 13 is there anything else you would like to share with us that concerns you about the safe and reliable operation? Question 1,4 Thank you for your time. You will receive a follow,up letter with a phone number of the SAFE-
- TEAM
- Project Office. If you have any concerns in the future please call us.
At the end of the interview, the interviewer will assess the intensityof theinterview. A" score"of1to5willbe assigned. If it appears the interview is casual, a score of 1 should be assigned. If it appears that the individual is greatly agitated or aggrieved, a 5 should be assigned.
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- - _ _ . - - _ - . - . - -. _..._ __ _ . -------,y-, - - . ---- - -
i Section v Exit Interviewing To ensure that all concerns can be recorded, investigated, Interview Flow reported on and covered by the computerized tracking sys. Process tem, a well defined process with clea'rly delegated respon- s sibilities is required. Activity Responsibility Individuals / groups scheduled for Receptionist / Appreciation Center Secretary Alert Sufficient Interviewers Int. Coordinator Registration of exiting employees Receptionist / Secretary Hand out gifts and refreshments Receptionist /
- Secretary, Interviewers . Short intro / videotape / talk SAFETEAM" .
Director, Int. Coordinator Return mall form handed out Receptionist / Secretary, Interviewers Leave Center or Interview Interviewers
- Interview form filled out
- Interview taped Interview form to Receptionist / Receptionist /
Secretary Secretary
- information entered in computer A guide should be developed locally that assigns a two digit code for each company on site, the orga-nization within the company and the job title. The type of interview should also be indicated; exit, scheduled, telephone, write in.
- Top (showing name)to locked file
- Tape of interview transcribed
- Three copies of interview:
Original to investigators' file Copy to Interviewers' file, date stamp, log in Copy to investigator 33
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Section v Exit Interviewing Activity Responsibility investigation Report received , Receptionist / Secretary , Report logged into computer Receptionist / on day received Secretary Draft letter to interviewee Editorial Writer based on report Review draft letter SAFETEAM' Director Prepare for Review Committee Receptionist /
- "For your review and comment. Secretary Please respond by ."
(Keep originals and file in Waiting Approval folder) Draf t letters retiirned to Secretary Receptionist / and held until copies are in from Secretary all Committee members. Input into computer dates Receptionist / letters received Secretary Review Committee comments and Secretary letters received Prepare finalletter Secretary Sign original SAFETEAM* Director Make appropriate copies Secretary Mall out letter Secretary Send copy to investigators' file Secretary Check file for completeness- Secretary originalinterview form letter to interviewee, and Investigator's report input into computer date letter Secretary , was sent 34 i l o
section v Exit Interviewing To preserve the interviewees anonymity (and thus the cred. File Security Ibility of the program), tight security regulations should be set up and maintained. - The names and identifying concern numbers of inter-viewees should be kept in fireproof files which are locked except when in use. Keys should be limited to the Interview Coordinator and Secretary. lf both are absent, the Coordina-tor's replacement may be provided a key. e 35
. Section V Exit Interviewing EXAMPLES O
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Section V Exit Interviewing " Live" Welcoming Script PRESENTATION TO EXITING EMPLOYEES Hello, I am . I'dliketothankyouhorcoming in today. To start our program I'd like to show you a video tape prepared by , Chairman of Board of Directors. < (show tape) As has indicated, we are interested in any concern you may have. For us to ignore your concerns would degrade your work. For you to ignore your concerns may cause a failure that could result in people outside the project unjustly degrading your efferts. It's to
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our nu,tual benefit for you to tell us about anything you believe to be
- improper or inferior. If you have any concerns we have interviewers who will record them. The interviewers are not employees, they are employed by of .
We have established procedures that assure that you will remain anonymous. Only the secretary and the interviewer know your name; to all others you will be known as a number. After an investigator completes his search and writes his report, we will respond to you and only to you. We assure you that you will get an ansvar. We don't guarantee that you will like it, but you will get an answer. We have investigated and answered concerns. We still have a backlog of concerns. It may take some time to answer your concern, but you will get an answer. This program is voluntary; you need not be interviewed. If you have any concern, whatever the subject, please feel free to stay and describe the problem. We'll spend as much time or as little as necessary to hear your story. Do you have any questions? If you want to have an interview please wait while the others leave and we'll take your concerne. If you don't have any concerns today please take one of the stamped, self-addressed envelopes; inside is a form you can use if you think of anything af ter you've lef t. Thanks again for hearing our story and good luck in the future. 37
Section v Program Exit Interviewing Director's Letter Detroit Edison FERMI 2 SAFETEAM ENRICO FERMI ENERGY CENTER BOK 34 FERMI PROJECT NEWPORT, MI 48166 January 8, 1984 _^ Dear Thanks for being a member of the Fermi 2 SAFETEAM. Your hard work and skills helped bring Fermi 2 close to completion, and we appreciate your contribution. That's why we set up the Fermi 2 SAFETEAM to recognize what you did. You can be proud of the result. Fermi 2 is nationally recognized as one of the safest construction projects around. Detroit Edison also wants to make sure that Fermi 2 will run as safely as it was built. That's why everyone in the Fermi 2 SAFETEAM is offered an opportunity for a Safety Concern Review. Detroit Edison wants to know anything that may concern you about the operating safety of Fermi 2. We will check your concerns out, fix anything not right and get back to you with a response. If you have any concerns about Fermi 2 operating safely please let me know. Just write the Detroit Edison Fermi 2 SAFETEAM Box 34, 6400 N. Dixie Highway, Newport, Michigan 48166. Or give the Fermi 2 SAFETEAM a call. .Outside Michigan you can call toll-free 1-800-624-1666. Inside Michigan call 1-800-321-9611. Your help in making Fermi 2 safe and ready to run is greatly appreciated. i Sincerely, Robert C. Kunkle Director-Fermi 2 SAFETEAM
section v Interview Exit Interviewing Coordinator's Letter MI Edison October 24, 1984 s
Dear Fellow Worker:
The purpose of this letter is to thank you for your help in the building of Fermi 2. We recognize and appreciate your efforts to get Fermi 2 ready for operation. Unfortunately, you were laid off during a time when the SAFETEAM Appreciation Center was closed. Therefore, please accept the enclosed SAFETEAM coffee cup and decals as a token of Detroit Edison Management's appreciation for your work and as a souvenir of the time you were employed at Fermi 2. Also enclosed you will find a PROJECT: SAFETY, safety concern report. If you have any concerne about the construction at Fermi 2 please write them on this form and return it to SAFETEAM in the i stamped-addressed envelope. We will research your concern and write you a letter telling you how we corrected the situation. Let me emphasize that your name will be held in the strictest confidence; only myself and the SAFETEAM secretary will be able to relate your name to your concern. Again, thank you for your help in building Fermi 2. Sincerely, Steve Burch SAFETEAM Interview Coordinator
seElonv Program Director's Exit Interviewing Follow-Up Letter
Dear Concern No. :
s You participated in the gAFETEAM program some time ago. We have been busy since the start of the program investigating safety concerns. We hope that you would agree that investigating safety concerns should take precedence over other concerns. We want to assure that there are no nuclear hazards in the plant and also that the construction site is safe from ordinary hasards for those who are working to build the plant. Now that we have reached a point where we have time to think about the less serious concerne espressed, we also want to take time to thank those who took time to tell us they didn't really have concerns about the way the plant was built. If you have had any concerns since you stopped to visit us earlier, please call on 1-800- ,our toll-free number, or use one of the QCR's which are still available throughout the plant to let us know what your concern is. l Again, thank you for participating in the SAFETEAM program. Very truly yours, l Robert G. Kunkle Director, SAFETEAM l l l l o I l L
Section V Exit interviewing Status Sheet FERMI 2 SAFETEAM STATUS SHEET INTERVIEW NO. PROBLEM NO. RECEIVED FROM INTERVIEW CLASSIFIED ASSIGNED TO,
~
t
- REPORT DRAFT TO MANAGER FROM MANAGER TO WORD PROCESSING (Draft)
FROM WORD PROCESSING (Draft) 10 MANAGER FROM MANAGER TO LEGAL FROM LEGAL , TO QUALITT ASSURANCE j FROM QUALITY ASSURANCE TO MANAGE 9 FROM MAN GER f TO WORD PROCESSING FROM WORD PROCESSING TO INTERVIEW . 9 . - . _ . , _ . , . _ . _ . . . - . _ . - , _ . . , - - , _ , ., .m.,,.. . _ . . _ . , _ _. _..-. _ _ _ _ . . _ - _ _ _ _ _ . _ _ _ _ _ _ _ _ _ , _ _ - . _ , . - _ . . . _ .
e Section v1 Investigation and Reporting This is the critical point of the SAFETEAM* Program.To assure the effectiveness and acceptability of responses,it is essential that Investigators have full access to files and documentation of all kinds (except personnel files) and ' that they receive complete cooperation from company and contractor personnel. The UTS SAFETEAM* Director is , available to help with unusual problems. When a concern is reported in en exit interview, it is for-worded to the SAFETEAM* Director for classification. Only concerns related to nuclear safety are handled by SAFETEAM* Investigators - others are routed to other departments as outlined below. Classifying concerns The SAFETEAM* Director classi-fies cortcerns and forwards them for further handling.
- Classification 0: No concern.
- Classification 1: Nuclear safety is assigned to a SAFETEAM* Investigator. The file remains open until resolution.
- Classification 2: Security is forwarded to Security for investigation and response.
- Classification 3: Site practices are referred to man-agement representatives.
- Classification 4: Industrial Safety is referred to safety re s. 7 N
- cation 5: Miscellaneous is assigned as appro-priate. Responses in Classifications 2 5 should be received within'> :E::.
Reportable concerns . When an1hve'stigElon re at ' the concern stated 1n the interview is reportable, a transmittal shiiuld be prepared; addressed to the Direc-tor / Man $ger of Quality Assurance. The transmittal sho6ld include the statement of the concern and the information gathered in the investigation that draws the c'onclusion that the concern is reportable. The transmittal should request a response when the item closed by Quality Assura ca 40 l
section vi jnvestigationand Reporting - _ 7 7 N tllful wrongdoing Any concern that suggests willful wrongdoing is sent to the resident NRC inspector, s stamped "2.790(d) material withheld from public dis- j closure." Nuclear safetyinvestigil ety concern, the assigned Investigator studies the tape transcript or written report; checks all relevant pro-cedures, specifications, drawings, files and documents; and interviews all personnel involved in the concern. Back up file All research, applicable document and pro-cedure numbers, interviews and conversations should l _ be fully documented and logged in a complete back up l file. i Draf t report When the review is complete, the investigator prepares a draft report that includes (1) a statement of the concern;(2) a statement of rules and procedures that govern; and (3) findings, response and final or tentative dispositions. Steering Committee The draft is reviewed by the SAFE-TEAM' Director and forwarded to a 3 person Steering Committee comprised of the executive in charge of corporate Quality Assurance, a Legal representative familiar with plant license and NRC regulations and a representative from corporate Public Relations. The Committee again reviews it for accuracy and adequacy. Report rewritten After approval, the report is rewritten in layman's language by an editorial writer and, after final Steering Committee approval, is incorporated into a letter that responds to the employee's concern. Response letter The letter is addressed by concern num-ber-not by name-preserving the respondent's ano-nymity, it is friendly in tone, thanks the addressee for helping SAFETEAM* and responds to the concern straightforwardly and without overly technical jargon. It includes an 800 number for use if the employee is not satisfied or wishes to supply more information. 41
f Section vi Investigation and Reporting Following is an outline of the investigation Flow Process. Activity
- Responsibility interview, interview transcription received from Appteciation Center Secretary Date Stamp and lod in Secretary Assign Classification. SAFETEAM*
Director if Classification is 1, copy of interview to open file and binder (copy always to binder regardless of classification) Secretary If Classification is 2, copy oi concern referred to security for investigation and response - Secretary -
.- If. Classification is 3, copy of concern referred to management representa- l tive for investigation end response Secretary -
If Classification is 4' copy of concern referred to safety representative for investigation and response Secretery if Classification is 5, concern will be assigned by the SAFETEAM" Direc-tor as is appropriate. Secretary If wrongdoing is stated, send to NRC inspector stamped "2.790(d) material withheld from public disclosure" Secretary input into computer interview num-l ber, concern and date received Secretary Computer printout of Open Concerns Secretary i Assigns Concern SAFETEAM" Director 42 1 , 9
Section vi Investigation and Reporting Activity Responsibility Assigns Concern SA'FETEAM* Director , input into computer Investigator's name to concerns Secretary Read transcription of tape investigator Check procedures, specs, drawings, . etc. Investigator Interview people involved, log all dis-cussions, list documents used Investigator Report to QA all reportable items Manager / Director
~
l Responses Thom Classifications 2,3,4 and 5 should be received within 2 l weeks of assignment and be incorpo. l rated into final response to inter. l viewee investigator ! Draft report on concern investigator Review draft Review Committee Prepare for word processing Secretary l l File original draft and copy of typed I report Secretary Move file frorn Open to Review Secretary input into computer response date l (date received from Investigator) and l Review Committee date Secretary Prepare cover memo to Review Com-mittee ("Please review and comment. l Please respond by." Keep the origi-nals and file in " Waiting Approval Folder") Secretary Draft reports, after review, returned to Secretary and hold copies until all are in from Committee Members Secretary 1 43 i
!~ Section vi Investigation and Reporting Activity Responsibility input into computer the dates reports were received
- Secretary Review all Committee comments and SAFETEAM' incorporate changes Director Clear up deficienciesin report investigator Prepare Final Report for Secretary Word Processor
- On the Report assign STG#
and tomorrow's date
- Be sure all parts of review are account,ed for before Final Report i,s sent to Word Processing Investigator sign the report investigator Make the necessary copies and send original to the Editorial Writer (cop-les to files and investigator) Secretary input into computer the STG# and date Secretary Check file for completeness. All doc-umentation recorded on a reference sheet, Investigator's log Secretary Remove from Review, put into com-pleted file Secretary Upon receiving Appreciation Center's file, purge the two files together Secretary Close out file - send to vault Secretary File Security -Investigator's active files should be kept in fireproof files at night to prevent repetition of work in case of fire. Records of material removed should be maintained for all files.
44
Section VI Investigation and Reporting EXAMPLES O m
sectiCn vi CCtegsrizaticn Investigation and Reporting of Concerns I Categorization of Concerns into Investigative Arei and 10CFR50 App. B Criteria CODES APP. B. CRITERIA All codes are prefaced with ZZ Criteria entered as: Crit I (etc.)
- 1. DOC CON = Document Control I Organisation
- 2. PA1.SE = Palsification of Documents II QA Progras '
- 3. HARD =, Hardware III Design Control
- 4. I & H*- Intimidation and IV Procurement Doc Control Harrassment
- 5. IP = Management V Inst., Proc, Drawings
- 6. INSP = Inspector, Inspection VI Document Control
- 7. INSP P = Inspection Programs VII Control of Mat'1, Equipment, Serv
- 8. PRO = Procurement VIII I.D. & Control of MP&C !
l
- 9. QAP = Quality Assurance Programs IX Control of Special Processes ;
- 10. QUALS = Qualifications X Inspection
- 11. REC = Records, Programs XI Test Control i
- 12. TRACE = Material I.D. XII Control of M&TE XIII Handling, Storage & Shipping XIV Insp, Test & Operating Status XV Nonconformance XVI Corrective Action i XVII Records XVIII Audits a
Section VI investigation and Reporting Status Sheet FERMI 2 SAFETEAM STATUS SHEET INTERVIEW NO. PROBLEM NO. RECEIVED FROM INTERVIEW CLASSIFIED ASSIGNED TO REPORT DRAFT _ TO MANAGER : FROM MANAGER TO WORD PROCESSING (Draft) FROM WORD PROCESSING (Draft) TO MANAGER FROM MANAGER TO LEGAL FROM LEGAL TO QUALITY ASSURANCE FROM QUALITY ASSURANCE TO MANAGER FROM MANAGER TO WORD PROCESSING , I FROM WORD PROCESSING TO INTERVIEW
- - - - -- c - ,
Section Vil Reports to Management SAFETEAM* should keep management continually up to Reports to date as to its progress and effectiveness. The types of data Management reported, some of which are computerized, include:
- Number of Exits
- Number ofInterviews
- Number of People for Scheduled interviews QA/QC Engineering Others
- Number of Concerns
- Total People through SAFETEAM*
- Kinds of Concerns
_ Nuclear Safety Security Project Processes Industrial Safety Miscellaneous
- NuclearSafety Open Closed
- Responses to Interviewees
- Status of SLR's Open Closed
- Status of all interviews and response to concern Computer Outputs
- Status of all class 1 concerns No. Ind. date
*
- Key word search
- Number of class I concerns open-closed at investigator level
- Status of all concerns open closed
- Open concerns by investigator A Sample Report to Management format is included at the back of this section.
45
Section Vil Reports to Management The SAFETEAM" System computer configuration is dual Computer Systems IBM PC XT systems. The two computers are configured to allow either machine to execute the SAFETEAM* tracking program.The intended operation of the System is to utilize one computer for the tracking system while the other machine is utilized for the generation of correspondence associated with the SAFETEAM" effort. Thus one machine is provided with a letter quality printer. Both computers have a 10 mega byte hard disk to store programs and data and they have the necessary interfaces to allow the inter-change of printers between systems as needed (see sketch on following page). It is suggested that the Site Manager make up a list of standard keywords, terms, and abbreviations; these will be used in the problem description field. The sorting for key. words, etc., can only be done if the input is done in a consistent manner. Other lists must also be made consist-ing of companies, job types, and organizations on site. Each item on these lists must be coded with a two digit numeric code. A "SAFETEAM" Tracking Manual" will be provided that fully describes the Operations of the System. Report 01 - Statistics Report Interviewer's This report is sorted by class of concern; listing the total number of concerns received, responded to, and pending. Report 02 - Response Dates for Record Keeping This report is sorted by interview and problem number; listing the interview date, interviewer's initials, end final approval dates. This report is primarily meant to be a history type report. lf you don't want the same completed records to be printed out over and over again, the report request menu allows you to choose interview numbers that fall in the range entered. 46 9
. I Section Vil Reports to Management Report 03 BasicInterviewInformation This report is sorted by interview and problem number; listing basic interview information such as class, tape ,
l available, company, Job type organization, inter- , viewer's initials, years and months on site and years and months of previous experience. It is mainly for review l of input. j Report 01 Concern with/w'thout Keyword Search investigator's Computer Outputs This report is sorted by class of concern, interview and problem number; listing the concern description and Investigator as well as other investigative information. This report request menu allows you to choose to searcfi the data base and print out only those concerns l - that have a given string of characters or key words contained in one of the problem description lists. Report 02 - Open Nuclear Safety Concern Report This report is sorted by interview and problem number; listing all open concerns that are classified 1. Addi-tional information displayed is: class, problem descrip-tion, intensity, date received, tape available, investigator name and date of Investigator response. Report 03 Open Nuclear Safety Concern Report by One or Allinvestigators This report is sorted by investigator, interview and problem number; listing all open class 1 concerns and gives the option to print all of them or only those for a particular Investigator. You would probably use it most often for a single investigator. Additional information printed is: class, problem description, date assigned, date of Investigator response and investigator name. 47
Section Vil Reports to Management Report 04 Open Concerns Report by Class of Problem This report allows you to print all concerns for a partic-s ular class of problems that were received during a given time period and have not had an Investigator response at the time of the report. The information shown in the report is: Investigator received date, interview number, problem number, problem description, intensity, date assigned, investigator name and class of problem.The report is sorted by date assigned and then by date received. The report will contain only those concerns that have the chosen class, were received during the given date range and have not had an Investigator respo,nse date entered. _ Report O'5 - Open Concern Report by One or All Ad Hoc Members An Ad Hoc Member is a specialist that has been asked to assist in investigating a problem. The report will select concerns investigated by a specific Ad Hoc Mem-ber or by concerns investigated by all Ad Hoc Members. In addition, this report sorts by interview and problem number; listing the problem description, Ad Hoc Mem- ~' ber, and dates pertinent to their response. Report 06 Basic Statistics This report is sorted by class of concern; listing the total number of concerns received, responded to, and pending. Report 07 - Count of Concerns by Investigator This report shows the number of open and closed con-cerns in the data base by investigator. Here open means the investigator has not issued a response to the con-cern. lt is an aid in determining the load of each Investi-gator. 48
Section Vil Reports to Management Report 08 Response Dates for Record Keeping The report is sorted by interview and problem number; listing the investigator's last name, date sent to Steer- - ing Committee, and final approval dates. The report is primarily meant to be a history type i report. lf you don't want the same completed records to l be printed out over and over again; the report request menu allows you to choose interview numbers that fall in the range entered. One of the features of PC/ Focus is called Tabletalk which Creating Your allows a person unfamiliar with Focus to create their own Own Reports ~ reports without having to know anything about Focus. Tab-letalk has been incorporated into SAFETEAM" and is y invoked whenever you select option 33 from your main report menu. It allows you to create your own report without y
'x' knowing Focus and with very few key strokes. It does not' allow for all of the features that are available to a pro' gram-
~
mer writing reports in Focus; however,-it sllows all of the normal features that you would want in the usual one time
~~
reporting environment. 49
Section VII (~ Reports to Management EXAMPLES I
}
)
a-
/
O O T e- -. - - --- _ - _ . _ _ _ - - - - .
e S:ction Vil ' Sample Report to Management Reports to Management DATE: . TO: Auditor , FROM: SAFETEAM" PROGRAM DIRECTOR
SUBJECT:
Status of SAFETEAM Activities for Month of EXITS MONTH TOTAL
- 1. Number of interviews
- 2. Number declining interviews 3.
Total. people exiting site (1. + 2.) SCHEDULED INTERVIEWS
- 4. QA/QC (people)
- 5. Engineering (people)
- 6. Security and others (people)
- 7. TOTAL PEOPLE (4. + 5. + 6.)
- 8. People with no concerns
- 9. Number of scheduled interviews (7. - 8.)
- 10. Total number interviewed (1. + 9.)
- 11. Other interviews
- 12. People through SAFETEAM (3. + 7. + 11.)
CONCERNS
- 13. Nuclear safety
' 14. Management ;
- 15. Industrial Safety
- 16. Miscellaneous NUCLEAR SAFETY INVESTIGATIONS Complete Open
. RESPONSES TO INTERVIEWEE 50 l
1 a
l r - i j l LJ SAFETEAM~ , i l l WEEKLY STATUS REPORT Investigation Completed Week Ending l Concems Class Received Closed in Review UnderInvest. Received Answered ! Nuclear Safety 1&2 692 509 177 6 0 4 M:nagement 3 352 40 221 91 1 27 l Industrial Safety 4 159 86 42 31 0 3 i Misc., Security, etc. 5 173 55 81 37 0 8 No Concems 0 392 *" 390 0 2 0 0 Totals 1768 1080 521 167 1 42 l 6 i
) SAFETEAM" Paper Flow All Classes Comparison of Weeks Ending 12/28/84 and 1/25/85 ,,,, 4 180-170-160-Legend 1 g_7 120-110- _ 100-90-80-70- l 63 60- i g
- l 45 E
'{
O ff; 25
- 34 24 :
pp 18 l 6 20_
~
00 i r 0 25 0 ,1. 0 . 10 00 , 2 og oo 9- YhY fa w YY s Y* . _ _ _ _ - _ _ _ _ _ _ _ _ _ _ __ _ _ _ _ _ _ _ _ ~_
l SAFETEAM" Nuclear Safety Related Concems April 30,1984 700
'~~~~ 640
__,,,,,,~~~~~~~~y .
/ -
-600
/
/ -s00 460 [
f -
-400 1
,' 9 :
/ '$,.'
, ' , . I., ' Legend -300 Interviews -
~ ,
l .
,: /. -
9 investigated
,/ ,
-200
,, : ~ - ..jf> ' Proj. laterviews -
- i. -
i . .; -------------
. / : (Q' '
,, f4. ' /' .. Bal. of Invest. 2
' . ' . '.-'> , . .. ~ . -100
, 9' ' I ',ig,,. .. . ..
s,,(i' ..
's,?{k',s;. ' 'gh. , , , , .,, ,l. '
S bb b) F bA h 1983-84
) ) k S b b b J
.m LdJ SAFETEAMm PC Operations 1
System #1 System #2 Primary Function: Word Processing Primary Function: Holds SAFETEAE Data and Generates Reports PC/ FOCUS P/C FOCUS
- - Hard Disk :- Hard Disk amn-nera WttEE2"#t'NB
- ewssssssa - - r Interviewer's
- Concerns g u
9 a Names c s). = Investigator % e
- Etc. e 9 *6 Concem Description O
- Address S
- Investigator's Information
*Run Reports
- Run Reports o o < $c h D ske"
~
Copy Hard Disk on Floppy Diskettes Copy Hard Disk on Floppy Diskettes e n a Regular Basis on a Regular Basis Can Backup the Other O
. ' ~: . /.'" ' ExitInterviewing Section v From the employee's point of view, the exit interview is the focus of the SAFETEAM* Program. It is critical that he or she feel relaxed, confident and safe in voicing concerns; and the Appreciation Center is designed to provide that atmosphere.
SAFETEAM" is now fully equipped and staffed by owner, ' UTS and subcontract personnel. Site contractors have been notified and encouraged to route their exiting employees through the Appreciation Center.
~
~
lt is important to keep up a continuous program of commu-
~ nications to contractors. They should be reminded on a regular basis to:
- give the Center notice far enough in advance to allow the Coordinator to have enough Interviewers on hand.
- avoid, if possible, sending out too large an exit group at one time. (About 8% of exit employees ask to be inter.
' viewed; and, in large groups, the proportion tends to be ,
smaller.) / #" a send out exit groups under leadership of a foreman or 6)fITU other management representative and pass out final SEM #0J paychecks after the SAFETEAM' presentation. C A//1 8 S h When an exit group arrives at the Appreciation Center, the W & 7TW-procedure is as follows: Welcome and registration The exiting employees are wel- Exit Procedure l comed, offered refreshments and gifts and asked to register. A registration form, which includes name, i company and permanent address is included at the back of this section. l q Videotape presentation - When everyone has been seated, o*/ g NT- the aro_up is invited to watch the videotape presentation
# by the Cheir =r. cf the See-d.This is partly done " live", . 1
' with the welcoming speaker following a format like the one suggested later in this section-scheduled visitors see a videotape by the Menssc. vi Que"ty A=r:ncc. 26
Section v Exit Interviewing Reassurrance: AnonymousInvestigation Reply Afterthe film, anyone in the audience who has a safety concern l Is invited to request an interview Reassurance is given that the process keeps them completely anonymous-that their concerns will be identified only by coded numbers-and that they need not fear retribution.They are also promised that their concerns will be thor. oughly investigated and that they will rece,1ve a reply as to what action has been taken. A copy of the Safety Concern Record form is included at the back of this section. Malled and phoned concerns - Each employee who exits 4 - recelyes a Concern Report form, a postage paid enve- _ lope and a toll free 800 number for use in case a con-cern occurs to him or her after exiting. A copy of the form is included at the back of this section. For privacy and confidentiality, interviews are conducted in ! , one of the floor to-celling. partitioned offices. Respondents are given the choice of having the interview taped on cas-sette or simply reported on a form. There are two basic formats for the interview-one for general use and one for specific use with QA/QC and engineering respondents. N g Alo 7 u f I^/ G These formats follow: g ji XhC- ( /e AvMT Question 1 Let me be sure that I have your name and Format for address. We will use this for two purposes. First, we will GeneralInterview write you a letter informing you as to what we found and how we resolved any concerns you may have. Secondly, it is possible that we may need more information from you to adequately investigate a concern. Of course, we would need your address to contact you. I should point out that the only people who will see your name are myself and the SAFETEAM" secretary who puts the Information into the computer. After the interview is over the top of the form is separated and from then on, your concerns are tracked by only the number. We do this to assure, as much as possible, anonymity in the process. t 27
Section v Exit Interviewing To ensure that all concerns can be recorded, investigated, Interview Flow reported on and covered by the computerized tracking sys- Process tem, a well defined process with clea'rly delegated respon- , sibilities is required. Activity Responsibility individuals / groups scheduled for Receptionist / Appreciation Center Secretary Alert Sufficient Interviewers Int. Coordinator Registration of exiting employees Receptionist / Secretary Hand out gifts and refreshments Receptionist /
- Secretary, Interviewers Short intro / videotape / talk SAFETEAM" Director, int. <
Coordinator U5 U A-L L[ d 6/2. 7NTf!rd VD7e (' Return mail form handed out Receptionist / Secretary, Interviewers Leave Center or interview Interviewers
- Interview form filled out
- Interview taped Interview form to Receptionist / Receptionist /
Secretary Secretary %
- Information entered in computer A guide should be developed locally that assigns a two digit code for each company on site, the orga-nization within the company and the Job title. The type of interview should also be indicated; exit, scheduled, telephone, write in.
- Top (showing name) to locked file
- Tape ofinterview transcribed
- Three copies of interview:
Original to investigators' file Copy to Interviewers' file, date stamp, log in Copy to investigator i 33
1 b section v Exit Interviewing , activity Responsibility investigation Report received , Receptionist / Secretary , Report logged into computer Receptionist / on day received Secretary Draft letter to interviewee Editorial Writer based on report Review draft letter SAFETEAM* Q ,ffy WAS Director Prepare for Review Committee Receptionist /
"For yourreview and comment. Secretary Please respond by ."
(Keep originals and file in Waiting Approvalfolder) Draft letters retumed to Secretary Receptionist /
^
( and held until copies are in from Secretary ( all Committee members. nput into computer dates Receptihnist/ letters received Secretary Review Committee comments and Secretary letters received Prepare finalletter Secretary Sign original SAFETEAM* Director Make appropriate copies Secretary Mall out letter Secretary Send copy to investigators' file Secretary Check file for completeness- Secretary original interview form letter to interviewee, and Investigator's report input into computer date letter Secretary was sent 34
A, C -. Section v Exit Interviewing To preserve the interviewees anonymity (and thus the cred. File Security Ibility of the program), tight security regulations should be set up and maintained. - The names and identifying concern numbers of inter-viewees should be kept in fireproof files which are locked except when in use. Keys should be limited to the Interview Coordinator and Secretary. lf both are absent, the Coordina-tor's replacement may be provided a key. O e M s l 35
. Section vi Investigation and Reporting (c. . .
This is the critical point of the SAFETEAM" Program. To assure the effectiveness and acceptability of responses, it is essential that Investigators have full access to files and ' documentation of all kinds (except personnel files) and that they receive complete cooperation from company and contractor personnel. The UTS SAFETEAM* Director is available to help with unusual problems. When a concern is reported in an exit interview, it is for. warded to the SAFETEAM" Director for classification. _ g g-f--
, Only concerns related to m!--r safety are handled by SAFETEAM' investigators - others are routed to other departments as outlined below.
~
Classifying concerns -The SAFETEAM* Director classi-fies concerns and forwards them for further handling.
- Classification 0: No concern.~ p/ % i
!
- Classification 1: ^!=!cer* safety is assigned to a SAFETEAM* Investigator. The file remains open
~
until resolution.
- Classification 2: Security is forwarded to Security for investigation and response.
- Classification 3: Site practices are referred to man-agement representatives.
- Classification 4: Industrial Safety is referred to safety representatives.
- C'assification 5: Miscellaneous is assigned as appro-priate. Responses in Classifications 2 5 should be received within 2 weeks.
Reportable concerns When an investigation reveals that (--- This l5 do"C i the concern stated in the interview is reportable, a 4 q_ ,E 4M transmittal should be prepared; addressed to the Direc- Np tor / Manager of Quality Assurance. The transmittal b5 E +Y should include the statement of the concern and the Information gathered in the investigation that draws g gggg-fjd4 the c'onclusion that the concern is reportable. The M N' transmittal should request a response when the item is closed by Quality Assurance. g 8f3 M g
fi sectron vi Investigation and Reporting Willful wrongdoing - Any concern that suggests willful wrongdoing is sent to the resident NRC inspector, stamped "2.790(d) material withheld from public dis- , closure." Pl d Nuclear safety investigation In reviewing a necteEr safety concern, the assigned Investigator studies the tape transcript or written report; checks all relevant pro-cedures, specifications, drawings, files and documents; and interviews all personnel involved in the concern. Back up file All research, applicable document and pro-cedure numbers, interviews and conversations should be fully dbcumented and logged in a complete back up
-_- file.
Draf t report When the review is complete, the Investigator I prepares a draft report that includes (1) a statement of the concern;(2) a statement of rules and procedures
- that govern; and (3) findings, response and final or tentative dispositions.
Steering Committee - The draft is reviewed by the SAFE-TEAM
- Director and forwarded to a 3 person Steering Committee comprised of the executive in charge of corporate Quality Assurance, a Legal representative familiar with plant license and NRC regulations and a representative from corporate Public Relations. The Committee again reviews it for accuracy and adequacy.
Report rewritten - After approval, the report is rewritten in : l layman's language by an editorial writer and, after final l Steering Committee approval, is incorporated into a letter that responds to the employee's concern. Response letter The letter is addressed by concern num-ber-not by name-preserving the respondent's ano- , nymity. It is friendly in tone, thanks the addressee for j helping SAFETEAM' and responds to the concern straightforwardly and without overly technical jargon. It includes an 800 number for use if the employee is not satisfied or wishes to supply more information.
' ' 41
p' - investigation and Reporting Section vi Following is an outline of the Investigation Flow Process. Activity
- Responsibility ,
interview, Interview transcription received from Appreciation Center Secretary D::: Sin.p and log in Secretary Assign Classification SAFETEAM" ' Director if Classification is 1, copy of interview to open file and binder (copy always to bindersegardless of classification) Secretary If Classification is 2, copy of concern referred to security for investigation and response Secretary
- If Classification is 3, copy of concern referred to management representa-tive for investigation and response Secretary if Classification is 4, copy of concern referred to safety representative for investigation and response Secretary if Classification is 5, concern will be assigned by the SAFETEAM" Direc-tor as is appropriate. Secretary If wrongdoing is stated, send to NRC Inspector stamped "2.790(d) material withheld from public disclosure" Secretary input into computer interview num-ber, concern and date received Secretary Computer printout of Open Concerns Secretary Assigns Concern SAFETEAM" M, r[gf
( 42
l h..I section vi Investigation and Reporting Activity Responsibility Assigns Concern SAFETEAM" ' Director input into computer Investigator's name to concerns Secretary Read 0 $Ef"yffEof1:pe Investigator Check procedures, specs, drawings, etc. Investigator Interview people involved, log all dis-cussions, list documents used investigator R:p;;t to QA mH yep 7t:b!:lt;77,; u;7,;;;7f93777;g7 Responses from Classifications 2,3,4 and 5 should be received within 2 weeks of assignment and be incorpo-rated into final response to inter-c viewee investigator Draft repqrt on poncern investigator" f. peerose- pm _' Review dra_ft Review Committee] P::p::: fer werd pres 55:r.g S:::: ::y File original draft and copy of typed report Secretary t
- Move file from Open to Review Secretary input into computer response date (date received from investigator) and Review Committee date Secretary Prepare cover memo to Review Com-mittee("Please review and comment.
Please respond by." Keep the origi-nals and file in " Waiting Approval l Folder") Secretary l ."- Draft reports, after review, returned to Secretary and hold copies until all l , are in from Committee Members Secretary l 43
(,' Section vi Investigation and Reporting Activity Responsibility input into computer the dates reports ' were received
- Secretary Review all Committee comments and SAFETEAM" in rp~:te ch:nges roofvc_ comwed Director /,MJd>1FA%
Clear up deficiencies in reprt investigator
, Prepare Final Report for- Secretary
"!=:d r:accasc:
e On the Report s;di ;n STCf
.a n d +e m e F ^ w'* d At '
- Be sure,all parts of review are
- account'ed for before Final Report is ::g.'4cyren.eseing investigator sign the report investigator
~
Make the necessary copies and send (' original to the Editorial Writer (cop-
's les to files and investigator) Secretary input into computer the STC# sad date Secretary Check file for completeness. All doc-umentation recorded on a reference sheet, investigator's log Secretary Remove from Review, put into com-pleted file Secretary Upon receiving Appreciation Center's file purge' the two files together Secretary ep Secretary Close out file -send to vault File Security Investigator's active files should be kept in ,
fireproof files at night to prevent repetition of work in l case of fire. Records of material removed should be maintained for all files.
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