ML20198J178

Safeteam Handbook. Copyrighted Matl.Supporting Documentation Encl

ML20198J178
Person / Time
Site:	Comanche Peak
Issue date:	05/27/1986
From:	UTILITY TECHNICAL SERVICES, INC.
To:
Shared Package
ML20197K103	List: ML20197K100 ML20197K178 ML20198J166 ML20198J171 ML20198J178
References
FOIA-86-132 PROC-860527, NUDOCS 8606020296
Download: ML20198J178 (105)

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SAFETEAM"

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Utility Technical Services, Inc.

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SAFETEAM"

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e TABLE OF CONTENTS Page Forward 1

1.

Introduction and History of SAFETEAM' 2

A.

Why SAFETEAM' 2

B.

When and How SAFETEAM" was Developed 2

C.

Relationship of SAFETEAM* and the NRC 3

II.

Who Can Report to SAFETEAM" 3

A.

Exit Interviews 3

B.

Scheduled Interviews 3

C.

Mail Ins 3

D.

Telephone Interviews 4

E.

Drop Ins 4

III. Interviewer's Responsibilities 4

A.

First Contact 4

B.

Registration 4

C.

How Are Participants Treated 5

D.

Large Groups 5

E.

Scheduled Interviews 5

F.

Confidentiality 5

G.

Tracking Interviews 6

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I IV.

Investigator Responsibilities 6

A.

Classifying Concerns 6

B.

Tracking Concerns 7

C.

Investigation Process 7

D.

Writing Reports 8

E.

Reviewing the Investigator's Report 8

V.

SAFETEAM" Response 8

VI.

Completing the File 9

VII. Organizational Relationship 9

A.

The Matrix Organization 9

J B.

Be Sure You Get Paid 9

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T FORWARD The following material was compiled to help those who work on "SAFETEAM*" to understand their individual roles. Equally important, this material will improve the understanding of the roles nisyed by others and f

the relationships between these different functions.

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Why SAFETEAM' SAFETEAM" can identify concerns that employees or contractor I

employees have about the plant.

Of primary importance are those concerns related to the Nuclear Safety. However, we will listen to any concern as this encourages I

people to come to SAFETEAM".

SAFETEAM" can investigate all concerns to determine if there are I

bonafide problems.

Many concerns are the results of rumors, misunderstanding and lack I

of comanication.

Some concerns have identified real problems, ones that could have cost great amounts of money if discovered at licensing, fuel load, or other critical times, or have caused potential safety problems if left undiscovered.

SAFETEAM' can assure that the appropriate organization knows and understands the problem and takes the appropriate action and informs SAFETEAM' o f that ac t ion.

SAFETEAM" can write a response to the concernee that explains the results of the investigation and builds credibility for continued comunication of concerns to SAFETEAM'.

B.

When And How SAFETEAM" Was Developed Utility Technical Services The name SAFETEAM* is a trademark of a program developed at Detroit Edison Co.

The Manuals furnished by Utility Technical Services I

(UTS) are covered by copyright. UTS arranges for the professional staff to assist the owner in the program. UTS also monitors the program regularly to insure that it is proceeding in an acceptable I

manner.

The Client-Owner Management i

The client-owner is responsible for the direct management of the project, including supervising the UTS contract staff. This responsibility is assigned to the SAFETEAM" Manager or Director.

I Reporting directly to the manager or director will be an interview coordinator and an investigations coordinator. Usually a secretary will be assigned from the client-owner organization to the I

SAFETEAM' staff.

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Relationship Of SArETEAM" And The NRC The NRC resident inspector of ten stops and visits at irregular times. The inspector may come in and ask to see the concerns.

I Af ter taking notes on some, he may depart or he may ask to see the reports on concerns he has seen on previous visits. In general, he is cooperative and supportive. He has guided SAFETEAM" to a more I

intense investigation on some concerns. However you may look at the picture, he has helped evaluate our comfort level as we feel his scrutiny tells us we are doing th,e proper.b, W7 v. ~ > u-u....

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s When a concern suggests any kind' of " wrong doing", a opy of the concern should be sent to the R'agident Inspector will forward a

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copy to the Investigation Of fice of the Ni. The transmittal and I

the concern should be stamped as proprietary information so that it does not appear in the public files. During the investigation, if problems are uncovered which suggests irregularities that are I

reportable, the organization responsible should be notified immediately. The organization has the responsibility to file the proper report. If no irregularities are uncovered a copy of the

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investigator's report would be forwarded to the Resident Inspector I

to close out the original concern sent to him.

II.

WHO CAN REPORT ID SAFETEAM' A.

Exit Interviews All employees regularly assigned to the site go to the Appreciation I

Center when their employment ends. Some may leave the site more than once but should come each time they exit.

B.

Scheduled Interviews QA/AC have a significant number of people in their group. These I

people constantly face decisions on plant quality. Some don't report their concerns allowing their problems to be a cause of personal anxieties. To learn of these concerns at a time when explanation or action can eliminate the problem and the anxieties,

I these people are scheduled through the " Appreciation Center" individually. Engineering and Security may also be scheduled for interviews.

I C.

Mail Ins I

All employees can reach SAFETEAM" at any time. Posters are placed throughout the plant with a simple message..."You have a quality concern - let SAFETEAM" know".

A pocket on the poster has SAFETEAM' Concern Reports that can be used to report their I

problem...A space for name and address is provided. The reverse side is available for writing the concern.

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E D.

Telephone Interviews The posters and the Concern Report forma displayed on them generate telephone calls. Two 800 telephone numbers are given in the text of the Concern Report so that cost free telephone calls can be made I

to SAFETEAM". A local telephone number is provided in the report and on the poster so that telephone calls to SAFETEAM* can be made from the site.

E.

Drop Ins Any employee can drop in at the SAFETEAM" Appreciation Center any time during regular working hours. When this occurs the drop in is shown the film and interviewed. This is not encouraged as it may create problems with the employee and his supervisor.

III. INTERVIEWER'S RESPONSIBILITIES A.

First Contact The interview coordinator and the receptionist will always be the I

primary, and usually the only, contact with interviewees. The impression they give the interviewee results in the initial acceptance or rejection of SAFETEAM' and the project owner.

The interview coordinator and receptionist must maintain a good working relationship with the construction personnel, especially the superintendents and time keepers.

It is important to know about large layof fs at least 24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br /> prior to the exit. The coordinator will need to know about large groups I

so that extra interviewers can be scheduled. All work groups are asked to provide a list of employees that are terminated. Although the superintendents are the primary contact, time keepers are generally the best and most reliable source of this information.

It is also important to get a list of names and addresses of all persons exiting the site from the contractor or from the I

supervising group if the exits are the owner's employees.

B.

Registration Each individual who visits the SAFETEAM" Appreciation Center as a potential interviewee is asked to register. Registration is important. Each individual records his name, address, employer I

work group and a permanent address.

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The register should be compared against the list provided by the supervisor af ter each group is processed. Those who left the site g

but did not register at the Appreciation Center, will be sent a letter explaining SAFETEAM" and enclosing a SAFETEAM' Concern Report with a stamped, self-addressed envelope.

The names of all persons who leave the site are entered in the The entry will include whether the individual had an I

interview, whether he skipped ar.d whether he was computer.

sent a letter and Concern Report. When this process is followed every employee will be given an opportunity to express their concerns about the plant.

C.

How Are Participants Treated All employees who go through the Appreciation Center are given a cup, bumper sticker, and a decal with the logo. They are asked if they would like a cup of coffee, tea or fruit juice. Most f acilities have cookies available also. A video tape is shown of

~I the Chief Executive Of ficer thanking them for their effort,

especially for making it a safe construction site. They are asked to help make the plant a safe operating plant by sharing their I

concerns with SAFETEAM".

D.

Large Groups Af ter the video tape presentation, large groups are presented with a short talk that explains SAFETEAM". It emphasizes that the interviewers are employees of an independent consultant. They are I

asked if they wish to have an interview. If they want to be All interviewed they are asked to remain when the group leaves.

persons are given a Concern Report in a stamped, self-addressed envelope as they leave. Included is a request to write or call if I

they remember concerns af ter leaving.

E.

Scheduled Interviews Af ter the video tape presentation the scheduled individuals are asked to join an interviewer in an interview room. At this time I

he or she is given the talk described in the previous paragraph and asked about concerns. More effort can be made to draw out concerns in an individual session than in the large group setting. The interviewee is given a Concern Report in a stamped, self-addressed

envelope, i

F.

Confidentiality The interview is recorded on a two part form, both parts of which are imprinted with a sequence number. The top portion is used to I

record the individual's name, address and other pertinent inf ormation. The bottom half of the form is used to record the concern (s) and no references made to the person's name.

If the I

person does not wish to have his name recorded he is given the number to call and ask about his concern. After the name and address is recorded the interviewer is asked for permission to record the interview.

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The interviewer makes an evaluation of the interviewee's intensity,

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how emotional is the involvement in the concern. If it is a "I heard about this but doubt its substance" type of attitude, it is I

classified as a 1.

If it 's "I'm not sleeping nights", it is classified as a 5.

This intensity should be noted on both parts of the form.

C After the form is completed, the two parts are separated. The top part is kept locked in a file in the interviewer's office. The bottom part is copied for reference and locked in a file. The original is sent to the director of investigation.

The SAFETEAM* Concern Reports that are received by mail are handled I

in the same manner.

The name and address are copied on the top of the interview form. The SAFETEAM" Concern Report is attached to the top portion af ter the concerns are copied on the bottom.

After separating the top from the bottom, the name and address are filed I

with the attached report. The bottom is forwarded for investigation. Telephone calls are recorded as a regular interview. The only time the name file should be opened is to address the response for mailing or to call the interviewee for additional information.

The interview records are numbered to preserve the confidentiality.

This number form should be used in sequence or in some defined order.

he intent is to control the forms and to insure they are not lost and or picked up and used by others for another purpose.

C.

Tracking Interviews It is important to keep track of all interviews and subsequent responses, as well as what happens to each " concern". This is done in two ways. A form is filled out by hand which records the date each action takes place. This form is kept in the file with each interview.

The interview organization can use the form just described to input the required information into the computer. The computer is the tool used to track the bulk status of the project. The hand written form can be used more conveniently to determine the status of individual interviebm.

IV.

INVESTICATOR RESPONSIBILITIES A.

Classifying concerns When the concern form reaches the inve tigator's of fice, the s

director or his delegate classifies the concerns. The classifica-tion is to define the area of responsibilities as follows :

Nuclear Safety 1

Security 2

Site Processes 3

Industrial Safety 4

Miscellaneous 5

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The nuclear safety concerns are assigned to the investigators.

This is usually done by the coordinator but this may be done by the SAFETEAM" director. Security and Industrial Safety concerns should be referred to the respective departments for investigation and report. The site processes and miscellaneous concerns require a judgement as to where the best source of information is and who has the responsibility. Any of the concerns in the last four categories may be assigned to SAFETEAM".

B.

Tracking Concerns After classification, two copies of the concern form should be made. The original is inserted in a numbered folder in the file, one copy can be placed in a loose leaf binder as a desk copy for reference and the second should be given to the investigator assigned to investigate the concerns.

It is important to keep track of each action on each concern. A form can be used to record the time each event occ urred. To start, the date the interviewee arrived at the investigation office is recorded, the date the concerns are classified, the date the investigator is assigned, etc.

The record should include mailing and receiving reviews, draft and final copies. The las t entry should show when the report went to the interview trailer investigators. The form is the same as the interviewers use and is shown in the Operating Manual.

C.

Investigation Process The investigators examine records, interview people, call for expe'rt opinions, etc., to develop a report on the concern. If the investigator is having trouble identifying the problem, the interviewer should be contacted and requested to contact the interviewee and ask specific questions. If the questions are too detailed or complex, the interviewer should be asked to see if the interviewee will call the investigator and identify himself by the interview number. If not, detailed written questions should be provided to the interviewee. All of the activities of the investigations should be recorded. Codes, procedures, correspondence, specifications, etc., should be referenced.

Memoranda generated by the investigation should be copied and placed in the file. Originals of incoming correspondence generated by the investigation should be included in the file. Notes should be made of all discussions relating to the investigation and retained in the file. It must be recognized that the file will be made available to the NRC.

The file should in no way divulge the name of the interviewee or contain a reference to his work / group, title, etc.

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Writing Reports When the investigation is complete, a report is written by the investigator. The report should state the concern as expressed by the concernee. There are times when the concern is not well defined. The investigation may, through the use of the tape or discussion, determine that the concern is something other than as stated on the safety concern record; the correct concern should be defined in the report. If there are procedures, regulations or specifications that apply, they should be stated next. The findings of the investigation should be last. The report should specifically address the concern, not avoid it or white wash it, and tell exactly what was found, and what is being done about it.

E.

Reviewing The Investigator's Report The report is forwarded to the SAFETEAM' Review Committee for connents and approval. The committee is composed of three to five people. Typically this committee consists of a representative from Corporate Quality Assurance, Legal and Public Affairs. Af ter they have completed their review and their comments are resolved a final investigation report is prepared.

V.

SAFETEAM* RESPONSE The report is sent to the interview coordinator at the Appreciation Center with a copy going to the investigator's file. The editorial writer writes a response to the interviewee, without using the interviewee's name, eliminating the technical details in the report and using language as close to 10th grade reading level as possible. There are two reasons for doing this. The first being that the interviewee is unknown and may be someone with limited knowledge of the subject.

The second, and probably the more important, being that the letter could show un in tomorrow's newspaper and anyone may read it, so it should be plainly understandable. Plain truth builds credibility. As pointed out earlier, the intent is to be factual and build credibility for the plant and corporation while building a safe plant. The response is sent to the review committee along with a copy of the investigation report. The final review is to assure that the response answers the concern and the meaning of the report has not been changed.

Af ter the review and changes, if requested, and appropriate, the response is mailed to the interviewee. A copy is sent to the investigator's file. To address the letter in final form, the name and address information are retrieved from the computer system by entering the correct access password and the appropriate interview and concern identifiers: this is to he done by the interview coordinator or his delegate and never by an employee of the client owner. The original mailed to the concernee is the only response with the name on it.

All others have numbers. The use of the computer system will be discussed later in the training.

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COMPLETING THE FILE At this point the investigator's file should be complete.

I contain the original concern, copies of all correspondence on the It should concern that originated from SAFETEAM', originals of all correspondence received, all notes made by the investigator, a list of all procedures, I

rules, specifications, etc., that were used in the investigation, copies of the draft and final reports and a copy of the response mailed to the interviewee.

A good practice for all organizations is to put originals in the file and make working copies of the papers needed in day to day work.

In the case of the interview report, l

the original should be sent to the investigators. Since most of the paper generat'ed in the SAFETEAM' s

process will be by the investigators, their files can easily become the permanent record of the SAFETEAM* Concerns.

the interviewee will complete the file.

A copy of the response to VII. ORGANIZATIONAL RELATIONSHIP A.

The Matrix Organization This may be a new and different SAFETEAM" is a matrix organization. work experience for some of you.

The interviewer works for a sub-contractor as do the investigators.

Both subcontracts are with UTS which holds the contract with the plant's owner's.

The owner's representative supervises the SAFETEAM" operations.

The owners's employees will be the review consoittee. Only the owner can answer to the individual and the public.

You will be reporting to your parent company (sub-contractor) for administration and technical support. As indicated above, day to day work direction will be given by the director or manager of SAFETEAM".

If the director or manager of EAFETEAM" and the owner are not satisfied with our performance, we will be gone.

Providing satisfaction should not be t.ifficult as our objectives have been clearly stated in the contract.

B.

To Be Sure You Cet Paid The requirements for payment for time and expense is billed from your company to UTS to the owner. To avoid problems, your time and expense reports should be signed by the Project Manager. His approval after startup will indicate to me that he agrees that you have worked and are to he paid and he will accept the invoice for Your time before start-up and during training may be his payment.

or it may be the sub-contractor's cost cost or it may be UTS' costs, depending on what the time was spent doing and the contract between UTS and the owner.

The receptionist / secretary should monitor supplies, since it will take about three to four weeks to deliver additional concern records, concern reports and other SAFETEAM" materials.

This materlat can be ordered by telephone, but a letter which will aid in keeping track of the status and making payment is recournended.

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a Site Program Management a

Site Facilities a

Facility Equipment

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Program Materials I

a Tracking System a

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m Interview Contact Management e

Investigation Contract Management l

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UTILITY TECHNICAL SERVICES BARiiilEAM" KEY ISSUES 4

SENIOR MANAGEMENT COMMITMENT E SAFETEAM INDEPENDENCE e SAFETEAM CREDIBILITY

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PROGfUN DESCRIPHON I

SAFETEAN" is an administrative program that will help identify and investigate safety concerns of workers at a nuclear power plant site, however, the owner remains responsible for compliance with applicable laws and regulations. It provides an I

opportunity for all site workers to report concerns they edght have as they leave the project. If workers have already departed the site, and their address is known, they may be given this opportunity by mail. All quality assurance and quality control g

employees plus wthere involved in the safety, security or operation of the site are l

given such opportunities, in the form of scheduled interviews, during their employment. In addition, plant well posters are used to make a " mail in" form available to all workers at any time.

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On the last day of site employment, workers are invited,by the owner,to the Appreciation Center which is normally located in a trailer meer the main gate. At 1

that time they receive a SAFETEAM" coffee cup, bumper sticker and lunch pail sticker as an expression of the owner's appreciation for their contribution to the project.

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Simple ref reshments are offered and they are invited to see a videotape presentation of owner senior management personally thanking them for participating in the I

project. Following this presentation, they are asked if they would share any j

concerns they have about the project in an interview conducted by a independent fira l

retained by UTS for this purpose. If no concerns are identified, the worker is given a postage paid " mail in" form should one be later remembered. A toll free telephone number is given for the same purpose.

All of these interviews are recorded if the worker agrees. In addition, an interview report form is completed and retained for further review. All records of concerns from this point forward are " nameless"to help protect the anonymity of the worker. A computerised concern tracking system is used to help maintain this seperation and provide good administration.

All concerns are then classified by owner management into catagorists.for followup investigation. The categories include nuclear safety, security,'industrialsafety, alte management, and miscellaneous. All categories except nucle referred to appropriate owner management, outside of the SAFETEAN,ar safety are j

j process, for evaluation. Following this evaluation, a response letter is carefuT1y written by 1

the independent firm retained by UTS for this purpose, using understandable terms, i

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and sent to the concerned worker. Included in this mailing is a toll free telephone number and they are invited to submit any other concerns as they may be recalled.

If the concern is nuclear safety eelsted, en investigation is conducted. This l

investigation is performed by an independent fire retained by UTS for this purpose.

Following this investigation, a report is prepared and subsequently reviewed by an owner management team. This team should consist of a legal representative familiar with the plant license, a public affairs representative and the quality assurance manager. Once the team has been satisfied that the investigation is complete and any required corrective actions planned, a response letter is prepared by the i

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independent firm, to the concerned party, indicating what was found and what was done. This letter will be reviewed by the'same owner management team that reviewed the investigation report before it is sent. Included in this mailing is the toll free telephone number and they are invited to submit any other concerns as they ray be recalled.

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SAFETEAM~

Operational Manual E

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Copyright 01984 Ii yT I I ervices,Inc.

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't 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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Section1 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 Individuals 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 they have not reported; and sometimes they tum up much later as intervenors.

The SAFETEAM' approach is designed to help solve this prob-lem by encouraging employees to report concems before they 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 environme.a. they will cooperate with management by reporting their material or workmanship concems.

S AFETEAM' provides the right environment and offers a num-ber of benefits:

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• It provides a constructive atmosphere in which an existing employee can comfortably and confidently report his or her concerns.

• It offers the employee 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 e.~fective program; and it has had the support of the Nuclear Regulatory l

Commission.

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Table of Contents SAFETEAM-Section i Why SAFETEAM*?

Program benefits................................. 1 Section 11 SAFETEAM'" Overview How the program helps encourage employees to report quality concerns.................................. 2 I

Section Ill Getting Ready Equipment and facilities needed.................... 3 Job descriptions of SAFETEAM' personnel........... 4 UTS responsibilities............................... 8 Ex a m ples....................................... 9 Section IV Starting Up Week by. week outline of program activation procedure. 15 Ex a mpl es...................................... 20 Section V Exit Interviewing Step by step procedure........................... 26 Flow process.................................... 33 Exa m ple s...................................... 3 6 Section VI Investigation and Reporting Classification of concerns......................... 40 Nuclear safety investigation........................ 40 Reporting requirements........................... 41 Response to concerned employee................... 41 Section Vil Reports to Management Types of information generated..................... 45 Frequency of reports............................. 46 Exa mple s...................................... 51 l

6 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 concerns 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.

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Anonymity The employee is assured that his concerns 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 concerns-a thorough and impartialinvestigation 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 walk ins 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 concerns.

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 ill 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.

and Equipment The Appreciation Center is basically a reception and 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, furniture 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 boxes. All feature the SAFETEAM'" logo. In addition, arrangements should be made for coffee, coffeemaker, tea, assorted fruit juices and cookies.

Publicity Publicity is an important element of the program 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.

clation Center is provided at the end of this section.

3

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Sectionlli Getting Ready To assure employees of anonymity, the Investigators' facility investigatori 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 celling 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' tralier will provide an adequate facility. At the back of this section there is a suggested layout.

Personnel Job Descriations 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 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.

4

1

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Section lli 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* Directorinsures...

• 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

• that employee anonymity is preserved by separating the interview and investigation functions and by providing adequate security

• that interviewing 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 e 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-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 violation 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."

5

o Section fil 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 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, althouob m. number may change.

Work relationships The interviewing staff interfaces with all employees of all organizations'at the site. For this reason, the person should have a knowledpa nf rmelev pnwer princirles. The coordinator mould also be com-puter uterate in the Focus data base and information control systent 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.

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 interviews and should be available on a stand by basis in case of unexpected or large scale exits, where they 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.

6

O Section til 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 refre::h-ments). maintaining computer and other files and perforrn-ing typing and other clerical functions for the S AFETEAM*

i Director and Interview Coordinator.

l Work relationships - Exiting employees represent a broad spectrum of different kinds of individuals; and the first SAFETEAM* rnember 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 investigating SAFETEAM* Investigators staff is to resolve employee concerns about nuc! ear safety by constructing files of information that will satisfy both the employeeind the NRC.

Work relationships The staff interfaces with all groups involved in the project; and the effectiveness of SAFE-TEAM

• depends heavily on the abi!ity of investigators to elicit information from other project personnel with-out creating iesentment. 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.

l 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 I

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.

7 h-.

4 Section lil 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 of interviewing and investigating sources

• videotape production of CEO and Quality Assurance Mes-sages

= orientation of owner and contractor management person-nel a 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.

Section111 Getting Ready EXAMPLES t

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Section ill Getting Ready Expendable Supplies By Client Steno Notebooks Letter Head Stationery Envelopes With Corporate Logo Pencils Pens Paper Clips Staples Staplers Tapes (Voice)

Typewriter Ribbons Corrective Tape / Fluid File Folders Coffee Decaf Coffee Juice Tea Cream Sugar Cookies Stirrers Foam Plastic Cups Napkins Paper Towels Floppy Disks See System Printer Ribbons Support Materials 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.

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Paper Ehredder Telephone Ans. Equip.

Typewriter Storage Cabinet Coffee Maker Ash Tray Copying Equipment MailTrays Waste Basket Refrigerator Tape Storage Stapler Telephone Stapler Remover Clipboard Scissors l

Trailer 10

Section 111 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*

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Section iv 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 Ferm12, 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 expedite 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.

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.

14

Section lV Starting Up To win this support, UTS assists in staging a series of meet-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-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 cocep-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.

Establish investigator Subcontract UTS,3 Days - Utility Technical Services will complete site specific negotiations with the subcontractor selected to provide concern investigations.

15

Section iv Starting Up Order Program Materials UTS,1 Day Utility Technical Services will place orders for all program materials and equipment 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.

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-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 Appreciation Center presentations. Normally these tapes feature a short thank you" talk by the Chief Executive Officer for exiting employees and another similar talk, by the executive responsible 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 System 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 with the Fermi 2 SAFETEAM* operation and, if possible, a visit to another operating site.

Interviewer Selections Week 4 UTS,5 Days The subcontractor responsible for directing the interviewing process will be making final inter-viewer selections.

Review Committee Identification Client - The membership of the Concern Review Commit-tee, consisting of representatives from the legal, public affairs and quality assurance areas, is identified.

Interview Facility Completion Client The trailer f acility known as the Appreciation Cen.

ter and used to deliver the exit presentation and con-duct interviews is ready for occupancy at week end.

17

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.

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 the 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-ness Agents.

• Inspection of site SAFETEAM* facilities.

Review Committee Orientation 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.

l interviewer Training UTS,5 Days The interviewers selected will undergo site specific program training.

18 l

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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-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.

1 Program Operational 19

Section lV Starting Up EXAMPLES i

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Section IV starting up Sample Invitation Dear (owner / manager--including QA/QC contractor superintendent (secretary, timekeeper?)

union steward, business agent]

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'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 l

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Section lV starting up Contractor Management invitation DATE:

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 These requests are being initiated by systems at 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 opportunity for each worker to share any concerns they have with an independent interviewer. Each ccncern 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 SA'ETEAM".

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 an'd 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 SAFETEAM*. 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

e Section IV starting up Suggested Script for Videotape Walter J. McCarthy, Jr.

Chairman of the Board and Chief Executive Officer Detroit 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 I

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 l

I it will operate the same way; for that we thank you and wish you all best wishes for your future.

24

section iv Suggested Script for starting up Quality Assurance Videotape Hello,I'm_!a=) Manager of Quality Assurance for(C mPany)g thank you for spending a few moments listening to me.

They could be very important moments for both of us. Let me explain. (amPaarlis vitally concerned with making sure that _(P ant) operates as safely as any of the other(ampaar) l power plants. You can help us do that by cooperating with our SAFETEAM* operation.

You are in an important position in the (P'*at) project. You have part of the responsibility for making sure that (P'*a')

was built to specification, which in turn leads to safe opera-tion. You were invited here today because (ampaa>>wants to know if you have any concerns about safety related sys-tems, equipment or procedures that could affect the safe operation of (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-(P'*at) will thing is wrong, make sure it's corrected so that 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 (a*"9 economic future rests on how well

<pien operates. If r***'"*"is to attract industry with jobs to end our staggering unemployment, we must have an economic and reliable supply of electricity. For (aaao'=), that means having safe nuclear power. safe f rom the word go, safe from the first day it operates. 8=*ao wants to make sure of that, and your cooperation will help us reach that goal.

25

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 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, it 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.)

• 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 corr.ed, cffered 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 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

Section v Exit Interviewing 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.

Mailed and phoned concerns Each employee who exits receives 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 ceiling 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 nee:1 your address to contact you. I should point cut 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 person authorized to listen to the tape would be the investigator 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, on 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, etc? 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?

• Procedures used for construction or testing?

• 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?

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? How long?

Question 3 - You have heard the orientation tape to the SAFETEAM* Project. You may have talked to some of the people who have been interviewed. What is your I

reaction to th!s Program? (Allow the interviewee some time to talk about his/her impression of the SAFE-TEAM

• Project. Be supportive of the reactions and i

don't try to defend the project but allow the interviewee to open up and to be heard.)

l l

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 numiar. 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 thet we need to do any investigation. Now think back over your work on this project. We are going to ask you about any problems that you may have observed in several areas separately. These areas are:

• design

• drawings, drawing control, etc.

• specifications e company standards

• NRC regulations and specifications

• selection of vendors, purchasing

• documentation

• testing 30 i

~

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 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

~

implication 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 P&lD'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 l

s 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 shere with us that concerns you about the safe and reliable operation?

Question 14 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 intensity of the interview. A " score"ofI to 5 will be assigned.

If it appears the interview is casual, a score of I should be assigned. lf it appears that the individual is greatly agitated or aggrieved, a 5 should be assigned.

32

Section v Exit Interviewing To ensure that all concerns can b.e recorded, investigated, Interview Flow reported on and covered by the computerized tra; king sys.

Process tem, a well defined process with clea'rly delegated respon-sibilities is required.

Activity Responsibility

/

Individuals / groups scheduled Mr Receptionist /

Appreciation Center Secretary Alert Sufficient Interviewers Int. Coordinator Registration of exiting employees Receptionist /

Secretary Hand out gifts and refieshments Receptionist /

Secretary, Interviewers Short intro / videotape / talk '

SAFETEAM" Director, Int.

Coordinator Return mail form handed out Receptionist /

Secretary, Interviewers Leave Center or Interview Interviewers

• Interview form filled out

• Interview taped intersiew 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 l

• Tape of interview transcribed

• Three copies of interview:

Original to investigators' file Copy to interviewers' file, date stamp, log in Copy to inveitigator 33

Section v Exit Interviewing Activity Responsibility investigation Report received

. Receptionist /

Secretary Report logged into con.puter 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 Approvalfolder)

Draft letters returned 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 original interview form letter to interviewee, and investigator's report input into computer date letter Secretary was sent 34

e 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.

/

35 A

Section V Exit interviewing EXAMPLES I

--m e

_y

-,-__-,,,_.,_y..__

Section V Exit Interviewing

" Live" Welcoming Script PRESENTATION TO EXITING EMPLOYEES Hello, I am I'd like to thank you for coming in today. To start our program I'd like to show you a video tape prepared by

, Chairman cf i

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 efforts.

It's to our mutual 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 othere 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 answer. 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 concerns. 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 after you've left.

Thanks again for hearing our story and good luck in the future.

37

Section v Program Exit Interviewirig Director'S Letter Detroit Edison FERMI 2 SAFETEAM ENRICO FERMI ENERGY CENTER BOX 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.

Sincerely, Robert G. Kunkle Director-Fermi 2 SAFETEAM

Interview section v Exit Interviewing C00rdinator's Letter Detroit Edison October 24, 1984

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 cof fee 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 concerns about the construction at Fermi 2 please write them on this form and return it to SAFETEAM in the 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

section v Program Director's Exit Interviewing Follow-Up Letter

~

Dear Concern No.

You participated in the SAFETEAM 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 hazards 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 concerns expressed, 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.

Again, thank you for participating in the SAFETEAM program.

Very truly yours, Robert C. Kunkle Director, SAFETEAM

Section V Exit Interviewing 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 LE".AL FROM LEGAL TO QUALITY ASSURANCE FROM QUALITY ASSURANCE TO MANAGER FROM MAN GER TO WORD PROCESSING FROM WORD PROCESSING TO INTERVIEW

Section vi 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 an exit interview, it is for-warded 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 concerns 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 safetypre rntative3--

• Classification 5: Miscellaneous is assigned as appro-priate. Responses in Classifications 2 5 should be received wJthin2 weeks.

Reportable concerns When an1riv,estigation re hat N the concern stated in the interview is reportable, a

'T transmittal should be prepared; addressed to the Direc-tor / Manager of Quality Assurance The transmittal should 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

Section vi

_ Investigation and Reporting 7

N tilful wrongdoing - Any concern that suggests willful

/

wrongdoing is sent to the resident NRC inspector, j

stamped "2.790(d) material withheld from public dis-closure."

Nuclear safetyinvestigation in reviewing a nuclear. 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 documented and logged in a complete back up file.

Draft report Whenthe reviewiscomplete,theinvestigator 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

Section vi investigation and Reporting Following is an outline of the investigation Flow Process.

Activity Responsibility Interview, interview transcription received from Appreciation Center Secretary Date Stamp and log 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 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 l

l Assigns Concern SAFETEAM*

Director 42 I

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 Responses from Classifications 2,3,4 and 5 should be received within 2 weeks of assignment and be incorpo-rated into final response to inear-viewee Investigator Dreft report on concern investigator Review draft Review Committee Prepare for word processing Secretary File original draft and copy of typed report Secretary 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 Folder")

Secretary Draft reports, after review, returned to Secretary and hold copies until all are in from Committee Members Secretary 43

Section vi Investigation and Reporting Activity Responsibility j

input into computer the dates reports were received Secretary Review all Committee comments and SAFETEAM*

Incorporate changes Director Clear up deficiencies in 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 accounted for before Final Report is 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 Apprec!ation Center's file, purge the two files together Secretary Close out file send to vault Secretary File Security Im:estigator'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

1 Section VI investigation and Reporting EXAMPLES l

l i

section vi Categorization Investigation and Reporting Of ConCtrns Categorization of Concerns into Investigative Area 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.

FALSE = Falsification of Documents II QA Program 3.

HARD = Hardware III Design Control 4.

1 & 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 NP&C 9.

QAP = Quality Assurance Programs IX Control of Special Processes

10. QUALS = Qualifications X Inspection

11. REC = Records, Programs XI Test Control

12. TRACE = Material I.D.

XII Control of M&TE XIII Handling, Storage & Shipping XIV Insp, Test & Operating Status XV Nonconformance XVI Corrective Action XVII Records XVIII Audits

Section VI Investigation and Reporting Status Sheet FERMI 2 SAFETEAM STATUS SHEET INTERVIEW NO.

FROBLEM NO.

RECEIVED FROM INTERVIEW CLASSIFIED ASSIGNED TO REPORT DRAFT TO MANAGER f

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 FROM WORD PROCESSING TO INTERVIEW i

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

• NumberofInterviews

• 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

• Nuclear Safety Open Closed

• Responses to Interviewees

• Status of SLR's Open Closed

• Status of allinterviews and response to concern Computer Outputs

• Status of all class 1 concerns No. Ind. date

• Key word search

• Number of class 1 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 vii 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 Computer Outputs 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, and 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

Section Vil Reports to Management Report 03 - Basic Interview information This report is sorted by interview and problem number; listing basic interview information such as class, tape 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 of input.

Report 01 Concern with/without Keyword Search investigator's 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 search the data base and print out only those concerns 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-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

~

response date entered.

Report 05 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 BasicStatistics This report is sorted by class of concern: listing the total number of concerns received, responded to, and pending.

Report 07 Count of Concerns byinvestigator 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

.e 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 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.

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 invoked whenever you select option 33 from your main report menu. It allows you to create your own report without knowing Focus and with very few key strokes. It does not allow for all of the features that are available to a program-mer writing reports in Focus; however, it allows all of the normal features that you would want in the usual one time reporting environment.

49

Section Vll Reports to Management EXAMPLES W

rC--

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7m.--

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6'.

.6 Section Vil Reports to Management Sample Report 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 (l. + 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 concerne 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 INVEST 1 CATIONS Complete Open RESPONSES TO INTERVIEWEE 50

i i

LJ SAFETEAM~

l WEEKLY STATUS REPOHi Investigation Completed Week Ending

)

l Concems Class Received Closed in Review Underinvest. Received Answered Nuclear Safety 1&2 692 509 177 6

0 4

Management 3

352 40 221 91 1

27 Industrial Safety 4

159 86 42 31 0

3 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 1

il-e

l

?

SAFETEAM" Paper Flow

~

All Classes Comparison of Weeks Ending 12/28/84 and 1/25/85 190-180-17&

160-l 150-Legend 1*

Week Endeng 12/28/84 -Total 1813 14 "

13&

WookEndmg 1/25/85-Total 1825 g

120-110 110-10&

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i

}

u go-i V,

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D 63 3

i 6+

s4 50-j 45 g

j 44 34 i:

h 24 30-25 j

18 20-

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40 00 p.

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a

SAFETEAM" Nuclear Safety Related Concems April 30,1984 i

7

.700 l

---.... -/

f 640

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l

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is00 460 /

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IntervHwys l

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TABLE OF CONTENTS

-Page Forwar'd 1

I.

Introduction and History of SAFETEAM" 2

A.

Why SAFETEAM" 2

B.

When and How SAFETEAM" was Developed 2

C.

Relationship of SAFETEAM" and the NRC 3

II.

Who can Report to SAFETEAM" 3

IxitInterviews A.

3 B.

Scheduled Interviews 3

C.

Mail Ins 3

D.

Telephone Interviews 4

E.

Drop Ins 4

III. Interviewer's Responsibilities 4

A.

First Contact 4

B.

Registration 4

C.

How Are Participants Treated 5

D.

Large Groups 5

E.

Scheduled Interviews 5

F.

Confidentiality 5

C.

Tracking Interviews 6

5/uTS/1.1

IV.

Investigator Responsibilities 6

A.

Classifying Concerns 6

B.

Tracking Concerns

'7 C.

Investigation Process 7

D.

Writing Reports 8

E.

Reviewing the Investigator's Report 8

l Y.

SAFETEAM* Response 8

VI.

Completing the File 9

VII. Organi,$ationalRelationship 9

A.

The Matrix Organization 9

B.

Be Sure You Get Paid 9

5/UTS/1.2

FORWARD The following material was compiled to help those who work on "SAFETEAM*" to understand their individual roles. Equally important, this material will improve the understanding of the roles played by others and the relationships between these different func tions.

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I.

INTRODUCTION AND HISTORY OF SAFETEAM*

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A.

Why SAFETEAM' SAFETEAM* can identify concerns that unployees or contractor i

employees have about the plant.

Of primary importance are those concerns related to the Nuclear Safety. However, we will listen to any concern as this encourages i

people to come to SAFETEAM*.

SAFETEAM' can investigate all concerns to determine if there are i

bonafide problems.

Many concerns are the results of rumors, misunderstanding and lack I

of communication.

Some concerns have identified real problems, ones that could have cost great amounts of money if discovered at licensing, fuel load, I

or other critical times, or have caused potential safety problems if left undiscovered.

1-SAFETEAM" can assure that the appropriate organication knows and understands the problem and takes the appropriate action and informs SAFETEAM* of that ac t ion.

SAFETEAM' can write a response to the concernee that explains the results of the investigation and builds credibility for continued connunication of concerns to SAFETEAM*.

B.

When And How SAFETEAM" Was Developed Utility Technical Services The name SAFETEAM" is a trademark of a program developed at Detroit Edison Co.

The Manuals furnished by Utility Technical Services i

(UTS) are covered by copyright. UTS arranges for the professional staff to assist the owner in the program. UTS also monitors the program regularly to insure that it is proceeding in an acceptable I

manner.

The Client-Owner Management I

The client-owner is responsible for the direct management of the project, including supervising the UTS contract staff. This responsibility is assigned to the SAFETEAM" Manager or Director.

Reporting directly to the manager or director will be an interview coordinator and an investigations coordinator. Usually a secretary vill be assigned from the client owner organization to the SAFETEAM" staff.

5/UTS/2.2 2

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l C.

Relationship Of SAFETEAM" And The NRC The NRC resident inspector often stops and virits at irregular times. The inspector may come in and ask to see the concerns.

I Af ter taking notes on some, he may depart or he'may ask to see the reports on concerns he has seen on previous visite. In general, he is cooperative and supportive. He has guided SAFETEAM" to a more intense investigation on some concerns. However you may look at the picture, he has helped evaluate our comfort level as we feel his scrutiny tells us we are doing thyroper. things.

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l When a concern suggests any ki of " wrong doing" m, a gopy of the

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concern should be sent to the aQdent Inspectorgwill forward a copy to the Investigation Of fice of the NRC.

The transmittal and the concern should be stamped as proprietary information so that it does not appear in the public files. During the investigation, if problems are uncovered which suggests irregularities that are reportable, the organization responsible should be notified insnediately. The organization has the responsibility to file the p, roper report. If no irregularities are uncovered a copy of the investigator's report would be forwarded to the Resident Inspector to close out the original concern sent to him.

II.

WHO CAN REPORT 'ID SAFETEAM' A.

Exit Interviews All employees regularly assigned to the site go to the Appreciation i

Center when their employment ends. Some may leave the site more than once but should come each time they exit.

B.

Scheduled Interviews QA/AC have a significant number of people in their group. These i

people constantly f ace decisions on plant quality. Some don't report their concerns allowing their problems to be a cause of personal anxieties. To learn of these concerns at a time when explanation or action can eliminate the problem and the anxieties,

these people are scheduled through the " Appreciation Center" individually. Engineering and Security rsay also be scheduled for interviews.

C.

Mail Ins I

All employees can reach SAFF. TEAM" at any time. Posters are placed throughout the plant with a simple message..."You have a quality concern - let SAFETEAM' know".

A pocket on the poster has SAFETEAM" Concern Reports that can be used to report their j

I problem...A space for name and address is provided. The reverse j

side is available for writing the concern.

I 5/UTS/2.3 3

l.

D.

Telephone Interviews I.

The posters and the Concern Report forms displayed on them generate telephone calls. Two 800 telephone numbers are given in the text of the Concern Report so that cost free telephone calls can be made I

to SAFETEAM'. A local telephone number is provided in the report and on the poster so that telephone calls to SAFETEAM" can be made from the site.

I E.

Drop Ins Any employee can drop in at the SAFETEAM" Appreciation Center any time during regular working hours. When this occurs the drop in is shown the film and interviewed. This is not encouraged as it may create problems with the employee and his supervisor.

III. INTERVIEWER'S RESPONSIBILITIES A.

First Contact Jhe interview coordinator and the receptionist will always be the primary, and usually the only, contact with interviewees. The impression they give the interviewee results in the initial acceptance or rejection of SAFETEAM" and the project owner.

The interview coordinator and receptionist must maintain a good working relationship with the construction personnel, especially the superintendents and time keepers.

It is important to know about large layoffs at least 24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br /> prior to the exit. The coordinator will need to know about large groups i

so that extra interviewers can be scheduled. All work groups are asked to provide a list of employees that are terminated. Although the superintendents are the primary contact, time keepers are generally the best and most reliable source of this information.

It is also important to get a list of names and addresses of all persons exiting the site from the contractor or from the supervising group if the exits are the owner's employees.

B.

Registration Each individual who visits the SAFETEAM" Appreciation Center as a potential interviewee is asked to register. Registration is important. Each individual records his name, address, employer l

work group and a permanent address.

I I

5/UTS/2.4 4

The register should be compared agsinst the list provided by the i

supervisor af ter each group is processed. Those who left the site i,

but did not register at the Appreciation Center, will be sent a

letter explaining SAFETEAM* and enclosing a SAFETEAM' Concern Report with a stamped, self-addressed envelope.

The names of all persons who leave the site are entered in the The entry will include whether the individual had an computer.

interview, whether he skipped and wheth9r he was sent a. letter and Concern Report. When this process is followed every employee will be given an opportunity to express their concerns about the plant.

C.

How Are Participants Treated All employees who go through the Appreciation Center are given a cup, bumper sticker, and a decal with the logo. They are asked if they would like a cup of coffee, tea or fruit juice. Most I

f acilities have cookies available also. A video tape is shown of the Chief Executive Of ficer thanking them for their effort,

papecially for making it a safe construction site. They are asked

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po help make the plant a safe operating plant by sharing their I-concerns with SAFETEAM*,

D.

Large Groups After the video tape presentation, large groups are presented with a short talk that explains SAFETEAM". It emphasizes that the interviewers are employees of an independent consultant. They are I

asked if they wish to have an interview. If they want to be interviewed they are asked to remain when the group leaves. All persona are given a Concern Report in a stamped, self-addressed envelope as they leave. Included is a request to write or call if they remember concerns after leaving.

E.

Scheduled Interviews After the video tape presentation the scheduled individuals are asked to join an interviewer in an interview room. At this time l

he or she is given the talk described in the previous paragraph and 3

More effort can be made to draw out concerns asked about concerns.

in an individual session than in the large group setting. The interviewee is given a Concern Report in a stamped, self-addressed envelope.

F.

Confidentiality The interview is recorded on a two-part form, both parts of which are imprinted with a sequence number. The top portion is used to g

record the individual's name, address and other pertinent g

inf ormation. The bottom half of the form is used to record the concern (s) and no references made to the person's name. If the i

person does not wish to have his name recorded he is given the number to call and ask about his concern. After the name and address is recorded the interviewer is asked for permission to record the interview.

5/UTS/2.5 5

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The interviewer makes an evaluation of the interviewee's intensity,

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how emotional is the involvement in the concern.

If it is a "I heard about this but doubt its substance" type of attitude, it is

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I classified as a 1.

If it 's "I'm not sleeping nights", it is classified as a 5.

This intensity should be noted on both parts of the form.

Af ter the form is completed, the two parts are separated'.

The top part is kept locked in a file in the interviewer's office. The bottom part is copied for reference and locked in a file. The original is sent to the director of investigation.

The SAFETEAM" Concern Reports that are received by mail are handled j

in the same manner. The name and address are copied on the top of the interview form. The SAFETEAM* Concern Report is attached to the top portion af ter the concerns are copied on the bottom. After

,t separating the top from the bottom, the name and address are filed with the attached report. The bottom is forwarded for investigation. Telephone calls are recorded as a regular interview. The only time the name file should be opened is to address the response for mailing or to call the interviewee for additional information.

The interview records are numbered to preserve the confidentiality.

This number form should be used in sequence or in some defined order. The intent is to control the forms and to insure they are lost and or picked up and used by others for another purpose.

not C.

Tracking Interviews It is important to keep track of all interviews and subsequent responses, as well as what happens to each " concern".

This is done in two ways. A form is filled out by hand which records the date each action takes place. This form is kept in the file with each interview.

The interview organization can use the form just described to input the required information into the computer. The computer is the tool used to track the bulk status of the project. The hand written form can be used more conveniently to determine the status of individual interviews.

IV.

INVESTICATOR RESPONSIBILITIES A.

Classifying concerns When the concern form reaches the investigator's office, the director or his delegate classifies the concerns. The classifica-tion is to define the area of responsibilities as follows :

l Nuclear Safety 1

Security 2

Site Processes 3

Industrial Safety 4

Hiscellaneous 5

1 5/UTS/2.6 6

i

The nuclear scfety concerns are assigned to the investigators.

This is usually done by the coordinator but this may be done by the SrJETEAM* director. Security and Industrial Safety concerns should be referred to the respective departments for investigation and report. The site processes and miscellaneous concerns require a judgement as to where the best source of information is and who has the responsibility. Any of the concerns in the last four categories may be assigned to SAFETEAM'.

B.

Tracking Concerns After classification, two copies of the concern form should be made. The original is inserted in a numbered folder in the file, one copy can be placed in a loose leaf binder as a desk copy for reference and the second should be given to the investigator assigned to investigate the concerns.

It is important to keep track of each action on each concern. A form can be used to record the time each event occurred.

To start, the date the interviewee arrived at the investigation office is reco+ded, the date the concerns are classified, the date the investigator is assigned, etc.

The record should include mailing and receiving reviews, draft and final copies. The last entry should show when the report went to the interview trailer investigators. The form is the same as the interviewers use and is shown in the Operating Manual.

C.

Investigation Process The investigators examine records, interview people, call for expert opinions, etc., to develop a report on the concern.

If the investigator is having trouble identifying the problem, the interviewer should be contacted and requested to contact the interviewee and ask specific questions. If the questions are too detailed or complex, the interviewer should be asked to see if the interviewee will call the investigator and identify himself by the interview number. If not, detailed written questions should be provided to the interviewee. All of the activities of the investigations should ba recorded. Codes, procedures, correspondence, specifications, etc., should be referenced.

Memoranda generated by the investigation should be copied and 1

placed in the file. Originals of incoming correspondence generated by the investigation should be included in the file.

Notes should be made of all discussions relating to the investigation and retained in the file.

It must be recognized that the file will be made available to the NRC.

The file should in no way divulge the name of the interviewee or contain a reference to his work / group, title, etc.

5/UTS/2.7 7

s D.

Writing Reports l

When the investigation is complete, a report is written by the investigator. The report should state the concern sa expressed by the concernee. There are times when the concern is not well defined. The investigation may, through the use of the tape or discussion, determine that the concern is something other than as stated on the safety concern record; the correct concern should be i

defined in the report. If there are procedures, regulations or 1

specifications that apply, they should be stated next. The findings of the investigation should be last. The report should specifically address the concern, not avoid it or white wash it, and tell exactly what was found, and what is being done about it.

E.

Reviewing The Investigator's Report The report is forwarded to the SAFETEAM' Review Committee for connents and approval. The committee is composed of three to five people. Typically this committee consists of a representative from Corporate Quality Assurance, Legal and Public Af fairs. After they hav'e completed their review and their comments are resolved a final investigation report is prepared.

V.

SAFETEAM" RESPONSE The report is sent to the interview coordinator at the Appreciation Center with a copy going to the investigator's file. The editorial writer writes a response to the interviewee, without using the interviewee's name, eliminating the technical details in the report and using language as close to 10th grade reading level as possible. There are two reasons for doing this. The first being that the interviewee is unknown and may be someone with limited knowledge of the subject.

The second, and probably the more important, being that the letter could show up in tomorrow's newspaper and anyone may read it, so it should be plainly understandable. Plain truth builds credibility. As pointed out earlier, dhe intent is to be factual and build credibility for the plant and corporation while building a safe plant. The response is sent to the review committee along with a copy of the investigation report. The final review is to assure that the response answers the concern and the meaning of the report has not been changed.

Af ter the review and changes, if requested, and appropriate, the response is mailed to the interviewee. A copy is sent to the investigator's file. To address the letter in final form, the name and address information are retrieved from the computer system by entering the correct access password and the appropriate interview and concern identifiers:

this is to he done by the interview coordinator or his delegate and never by an employee of the client owner. The original mailed to the concernee is the only response with the name on it.

All others have numbers. The use of the computer system will be discussed later in the training.

5/uTs/2.8 8

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VI.

COMPLETINC THE FILE I

At this point the investigator's file should be complete.

It should contain the original concern, copies of all correspondence on the concern that originated from SAFETEAM", originals of all correspondence received, all notes made by the investigator, a list of all procedures, I

rules, specifications, etc., that were used in the investigation, copies of the draft and final reports and a copy of the response mailed to the interviewee.

A good practice for all organizations is to put originals in the file and make working copies of the papers needed in day to day work.

the case of the interview report, In the original should be sent to the 1

investigators.

Since most of the paper generated in the SAFETEAM" process will be by the investigators, their files can easily become the permanent record of the SAFETEAM" Concerns. A copy of the response to the interviewee will complete the file.

VII. ORGANIZATIONAL RELATIONSHIP

~

A.

The Matrix Organization This may be a new and different work experience for some of you.

SAFETEAM" is a matrix organization. The interviewer works for a sub-contractor as do the investigators. Both subcontracts are with UTS which holds the contract with the plant's owner's.

The owner's representative supervises the SAFETEAM" operations.

The owners's employees will be the review committee. Only the owner can answer to the individual and the public.

You will be reporting to your parent company (sub-contractor) for administration and technical support. As indicated above, day to day work direction will be given by the director or manager of SAFETEAM".

If the director or manager of SAFETEAM" and the owner are not satisfied with our performance, we will be gone.

satisfaction should not be difficult as our objectives have beenProviding clearly stated in the contract.

B.

To Be Sure You Get Paid The requirements for payment for time and expense is billed from I

your company to UTS to the owner. To avoid problems, your time and expense reports should be signed by the Project Manager. His approval after startup will indicate to me that he agrees that you have worked and are to be paid and he will accept the invoice for Your time before start-up and during training may be his payment.

or it may be the sub-contractor's cost or it may be UTS' cost costs, depending on what the time was spent doing and the contract between UTS and the owner.

The receptionist / secretary should monitor supplies, since it will take about three to four weeks to deliver additional concern records, concern reports and other SAFETEAM" materials.

This material can be ordered by telephone, but a letter which will aid in keeping track of the status and making payment is recommended.

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Thanks for your help in building CPSES to operate safely and reliably.

Mail To:

D. L Andrews Director of Corporate Security

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THANKS...

"_ *5 T:xas Utilities Generating Company and its contractors wish to take this opportunity to thank the

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employees in oil creas of the CPSES project for continued excellence on the job and for the obvious concern for quality existing at all levels and in all organizations. We're proud of your work and your u.

ottitude.

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About six months ogo. TUGCO set up a Quality Hotline to allow you to express any quality concerns you g "... '.

may have about Comanche Peak. We truly appreciate the calls we've receNed to date and urge the continued use of this prograrn As before, your calls will be answered on a 24 hour-o-day basis.

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u QUALITY HOTLINE 1-800 442-3022

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Remember by colling this number, your concerns will be:

. handled by the TUSI Director of Corporate Security

. received without action token ogoinst you for reporting them e evoluoted and resgived. with results discussed with you. if you choose to give your nome You may also submit your concerns in writing in the space provided on the back of this form.

TUGCO and its contractors are committed to ensuring that CPSES is built to operate safely and with your help, it is hoppening

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Michael D. Spence. President Texas Utilities Generating Company

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