ML20236E693

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Rev 2 to Engineering Organization & Operating Procedures, TVA Employee Concerns Special Program
ML20236E693
Person / Time
Site: Sequoyah  Tennessee Valley Authority icon.png
Issue date: 10/17/1987
From: Leslie J, Walters R
TENNESSEE VALLEY AUTHORITY
To:
Shared Package
ML20236E191 List:
References
20400, NUDOCS 8710290317
Download: ML20236E693 (186)


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1 TVA EMPLOYEE CONCERNS REPORT NUMBER: 20400 I SPECIAL PROGRAM REPORT TYPE: SUBCATEGORY REPORT FOR REVISION NUMBER: 2' ENGINEERING TITLE: . ENGINEERING ORGANIZATION AND Page 1 of S1 OPERATING PROCEDURES REASON FOR REVISION: 1

1. Revised to incorporate SRP and TAS comments, and BFN and BLN corrective actions.
2. Revised to incorporate SRP and TAS comments and add Attachment C '

-(References).

PREPARATION PREPARED lBY-$YA $ Wb >#

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SIGN URE // ~ ~ OATE TAS:  ;

SIGNATURE DATE CONCURRENCES CEG-H _

SRP:

SIGNATURE DATE SIGNATURE" DATE APPROVED BY:

ECSP MANAGER DATE MANAGER OF NUCLEAR P0HER DATE CONCURRENCE (FINAL REPORT ONLY)

SRP Secretary's signature denotes SRP concurrences are in files.

TVA EMPLOYEE CONCERNS REPORT NUMBER: 20400

[. REVISION NUMBER: 2 SPECIAL PROGRAM

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l EXECUTIVE

SUMMARY

4 Subcategory Report 20400 summarizes and evaluates the results of 27 element evaluations prepared as part of the Engineering _ category of the Employee ,

Concern Special Program. The element evaluations cover the subcategory l

l Engineering Organization and Operating Procedures and address the 36 employee l concerns that cite perceived deficiencies and inadequacies in the TVA 1 engineering- organizational structure or operating procedures (design process),

as well as the cuality of the output documentation. The employee concerns identified 123 issues, which are addressed in the element evaluations and  !

which are related to TVA's four nuclear plant sites.  !

The evaluation team examined the 123 issues raiseo by employee' concerns and-evaluated their relevance to applicable regulations, requirements, and accepted industry standards. The team found that 72 issues required no i corrective action and that 51 were problems of which TVA was already aware and  ;

was in the process of resolving. Only one new corrective action was required and that was to resolve a peripheral finding identified during the ECTG evaluations. .

This report identified deficiencies in TVA's organizational structure in that responsibilities for nuclear activities were divided among several departments that reported to separate managerial structures. Design change procedures and

. procedures to control' vendor documents were not f ollowed, were sometimes cumbersome and lengthy, and sometimes did not provide information or instructions to accomplish tasks as they should be 'done. Also, design reviews i were not always conducted when needed, nor were they sufficient to identify design specifics that should have been changed. ,

The substantiated issues indicate the need f or increased and continued management: attention to the engineering design processes and for increased Division of Nuclear Engineering (DNE) involvement in plant modifications.

Engineering Assurance (EA) auditing will provide some assurance of compliance with .various practices by providing feedback to management on engineering perf ormance. Monitoring of the engineering products on a day-to-day basis is i the responsibility of engineering line management. The latest DNE procedures ] I are augmented by site-specific procedures that, when properly f ollowed, ~

provide a means to mitigate many of the engineering design process problems of the past. Management attention should also be directed to provide adequate staffing to allow careful review and checking of the engineering work and the design documents as they evolve. The organizational changes that have been made, especially to strengthen the Branch Chiefs' technical review responsibilities and the Quality Assurance and EA organization, provide a reasonable means to monitor the engineering design process and adherence to procedures.

- A review of TVA nuclear performance plans (NPPs) at the corporate level and for the Sequoyah (SQN), Browns Ferry (BFN), and Watts Bar (WBN) nuclear 28110-R25(10/15/87)

i TVA EMPLOYEE CONCERNS REPORT NUMBER: 20400 SPECIAL PROGRAM REVlSION NUMBER: 2 Page ES-2 of 2 l

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l plant sites reveals that TVA recognized problems and deficiencies in the nuclear organizational structure and in the engineering operational procedures. Currently, there is no site-specific NPP for the Bellefonte ,

plant, which is several years away from completion of design and -

construction. The NPPs describe the deficiencies and the corrective acticas at the corporate level and at the plant sites for SQN, BFN, and WBN.

Of significance are the consolidation of all engineering design functions into a single organization with a single set of nuclear engineering department procedures (NEPs) and the strengthening of the quality assurance (QA) program. These procedures are to be augmented by plant-specific engineering procedures. The corrective actions described, when fully implemented, should  ;

help to resolve the identified problems and help to prevent their recurrence.

The collective significance of the findings is that if the organizational and procedural changes had not been implemented, the mismatch between the plant configuration and the engineering drawings and other documents could have ,

i persisted and could have resulted in an engineering design or plant operating error.

The grouped evaluation at the subcategory level d-id not find an.y new or broader issues requiring attention. The causes identified and other evaluation results are being reexamined from a wider perspective during the Engineering category evaluation.

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1 Preface, Glossary.'and' List'of Acronyms, for'ECTG Subcategory Reports I HISTORY OF REVISION ~

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-NUMBER PAGES REVISED REASON FOR CURRENT-REVISION

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3 i To clarify that one or more _ ji attachments will help the reader. )

' find where's particular concern I is evaluated f i

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-TVA EMPLOYEE CONCERNS . REPORT NUMBER: '20h00-SPECIAL PROGRAM FRONT MATTER REY: '3 PAGE l'0F viii-3 o

Preface _

This subcategory report is one of a series of reports prepared for the

- Employee Concerns Special Program (ECSP) of the Tennessee Valley Authority (TVA).,'The'ECSP and the organization which carried out the program, the Employee. Concerns Task Group (ECTG), were established by TVA's. Manager of

. Nuclear Power.to evaluate and report on those Office of_ Nuclear Power (ONP)_ 1 employee concerns filed before February 1.-1986. Concerns _ flied after that. 1 date are handled by the ongoing ONP Employee Concerns Program (ECP).

The ECSP. addressed over 5800' employee concerns. Each of the; concerns lwas s' formal, written' description of a circumstance or circumstances that an- l employee thought was. unsafe, unjust._ inefficient, or inappropriate. ' The'  !

mission'of the Employee Concerns Special Program was to-thoroughly  !

investigate all issues presented in the concerns and to report the results of-those' investigations'in a form accessible to.ONP employees,.the NRC, and the general public. The resvits of these investigations are communicated.

by four levels'of ECSP reports: element,. subcategory, category, and. final.-

Element reports, the lowest reporting level will be published only.for-

. those concerns _directly affecting.the restart of Sequoyah' Nuclear Plant's-reactor unit.2. An element consists of one or more closely related issues. 'An issue is a potential problem identified by ECTG during the 1 evaluation' process as having been raised,in one or more concerns.. For 1

' efficient handling, what appeared to be.similar concerns were grouped into -

elements early in the program, but. issue definitions emerged from the '

evaluation process itself. Consequently, some elements did include only one issue, but often the ECTG evaluation found more than one. issue per element.

Subcategory reports summari'ze the evilurtion of a number'of elements. 1 However, the subcategory report does more than collect element level evaluations. The subcategory level overview of element findint,s leads to )

an integration of information that cannot take place at the element level. -)

This integration of information reveals the extent to which problems l

. overlap more than one element and will therefore require corrective action j for' underlying causes not fully apparent at the element level. J To make the subcategory reports easier to understand, three items have 'een b placed at the front of each report: a preface, a glossary of the terminology unique to ECSP reports, and a list of acronyms.

Additionally, at the end of each subcategory report will be a Subcategory Summary Table that includes the concern numbers; identifies other

- subcategories that share a concern; designates nuclear safety-related.

4 safety significant, or non-safety related concerns; designates generic applicability; and briefly states each concern.

Either the Subcategory Summary Table or another attachment or a combination ,

of the two will enable the reader to find the report section or sections in l which the issue raised by the concern is evaluated.

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TVA EMPLOYEE CONCdRNS . REPORT NUMBER: 20400' p' SPECIAL PROGRAM PRONT MATTER REY: 2 PAGE'il 0F vill

.The subcategories are themselves summarized in a series of eight category reports. Each category report reviews the major findings and collective-  ;

significance of the-subcategory reports in one of the following areas:

) management and personnel relations Industrial safety U L . construction l

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material control l-

  • operations quality assurance / quality control-i
  • welding engineering 1

A separate report on employee concerns-dealing with specific contentions of intimidation, harassment, and wrongdoing will be released by the TVA Office j of the Inspector General. i

.1 Just as the subcategory reports integrate the information collected at the I element level, the category reports integrate the information assembled.in l all the subcategory reports within the category, addressing particularly i'

the underlying causes of those problems that run across more than'one subcategory. l

'A final report will integrate and assess the information collected by all 1 of the lower level reports prepared for the ECSP, including the Inspector General's report. I For more detail on the methods by which ECTG employee concerns were evaluated and reported, consult the Tennessee Valley Authority Employee Concerns Tast Group Program Manual. The Manual spells out the program's l l'

objectives, scope, organization, and responsibilities. It also specifies l the. procedures that were followed in the investigation, reporting, and l closecut of the issues raised by employee concerns.

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! ITA EMPLOYEE CONCERNS ' REPORT-NUMBER: ~20400' SPECIAL PROGRAM l FRONT KATTER REV: 2- -l

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ECSP GLOSSARY OF REPORT TERMS * ,

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', classification ~of' evaluated issues the evaluation of an issue leads to one of lI

the-following determinations-1 i

' Class A: : Issue cannot-be verified as factual

.i' Class B:-

Issue is factually accurate, but what is described is not a-problem (i.e., not a condition requ' icing corrective action)-

C1'ss a C: Issue is factual and identifies a problem, but corrective action-for the problem was initiated bstore the evaluation of the issue ,

was undertaken -l

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o Class D:- Issue is factual and presents a problem for which corrective- 1 action has been, or is being. taken as a result of an' evaluation- q Class E: A problem, requiring corrective. action, which was not' identified by an employee concern, but' was ' revealed during the ECTG

-evaluation of an issue raised by an employee concern.

collective significance an analysis which determines the importance and ,

consequences of the-findings in a particular ECSP report by putting those findings in the proper perspective.

' concern (see " employee concern")

corrective action steps taken to fix specific deficiencies or discrepancies revealed by a negative finding and, when necessary, to correct causes in order to prevent recurrence.

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criterion (plural: criteria) a basis for defining a performance, behavior, or quality which ONP imposes on itself (see also " requirement"). -

element or element _ report an optional level of ECSP report, below the

. subcategory level, that deals with one or more issues, employee concern- a formal, written description of a circumstance or circumstances that an employee thinks unsafe, bnjust, inefficient or ,

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inappropriate; usually documented on a K-form or a form equivalent to the l

K-form.

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TVA EMPLOYEE CONCERNS REPORT NUMBER
20400 l' .SPECIAL PROGRAM l FRONT MATTER REV: 2 l l

L PAGE iv 0F vill l-evaluator (s) the individual (s) assigned the responsibility to assess a specific grouping of' employee concerns.

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findings includes both statements of fact and the judgments made about those ,

facts during the evaluation process; negative findings require corrective action. '

issue a potential problem, as interpreted by'the ECTG during the evaluation process, raised in one or more concerns.

I K-form (see " employee concern")

requirement a standctd of performance, behavior, or quality on which an evaluation judgment or decision may be based, root cause the underlying reason for a problem.

' Terms essential to the program but which require' detailed definition have been defined in the ECTG Procedure Manual (e.g., generic, specific, nuclear

. safety-related, unreviewed safety-significant question).

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TVA EMPLOYEE CONCERNS REPORT NUMBER: 20400 SPECIAL PROGRAM FRONT MATTER REY: 2 PAGE v 0F vill Acronyms AI Administrative Instruction AISC American Institute of Steel Construction ALARA As Low As Reasonably Achievable ANS American Nuclear Society ANSI American National Standards Institute ASME American Society of Mechanical Engineers ASTM American Society for Testing and Materials AWS American Welding Society BFN Browns Ferry Nuclear Plant BLN Bellefonte Nuclear Plant CAQ Condition Adverse to Quality CAR Corrective Action Report CATD Corrective Action Tracting Document CCTS Corporate Commitment Tracting System CEG-H Category Evaluation Group Head l CFR Code of Federal Regulations CI Concerned Individual CMTR Certified Material Test Report COC Certificate of Conformance/ Compliance DCE Design Change Request DNC Division of Nuclear Construction (see also NU CON) 9 m

9 TVA EMPLOYEE CONCERNS REPORT NUMBER: 20400 I SPECIAL PROGRAM  ;

FRONT MATTER REY: 2 PAGE vi 0F vill

.1 DNE Division of Nuclear Engineering

.DNQA' Division of Nuclear Quality Assurance DNT Division of Nuclear Training DOE Department of Energy.

DP0 Division Personnel Officer DR Discrepancy Report or Deviation Report ECN Engineering Change Notice

- ECP Employee Concerns Program i

ECP-SR Employee Concerns Program-Site Representative ECSP Employee Concerns Special Program

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- ECTG- Employee Concerns Tast Group EEOC Equal Employment Opportunity Commission l

EQ Environmental Qualification . .

EMRT Emergency Medical Response Team EN DES Engineering Design ERT Employee Response Team or Emergency Response Team FCR Field Change Request

! FSAR < Final Safety Analysis Report FY Fiscal Year GET General Employee Training HCI Hazard Control Instruction g, HVAC Heating, Ventilating, Air Conditioning i

II Installation Instruction INPO . Institute of Nuclear Power Operations IRN Inspection Rejection Notice i_---,-----------a- -- --

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f TVA EMPLOYEE CONCERNS REPORT NUMBER: 20400 SPECIAL PROGRAM .

FRONT MATTER REVi 2 7

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L/R Labor Relations Staff '

M&AI Modifications and Additions Instruction MI Maintenance Instruction -

MSPB Merit Systems Protection Board ,,

MT Magnetic Particle Testing NCR Nonconforming Condition Report NDE Nondestructive Eranination NPP Nuclear Performance Plan NPS Non-plant Specific or Nuclear. Procedures System RQAM Nuclear Quality Assurance Manual 4 NRC Nuclear Regulatory Commission r , . <

NSB Nuclear Services Branch NSRS Nuclear Saf$ty Review Staff NU CON Division of Nuclear Construction (obsolete abbreviation, see DNC)

NUMARC Nuclear Utility Management and Resources Committee OSHA Occupational Safety and Health Administration (or Act)

ONP Office of'iluelear Power OWCP Office of Workers Compensation Program PHR Personal History Record PT Liquid Penetrant Testing" b QA Quality Assurance 5, QAP Quality Assurance P;ccedures '

QC Quality Control QCI Quality Control Instruction

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g. _9r TVA EMPLOYEE COWCERNS i,' .. f REPORT NUMBER: .20400 SPECIAL PROGRAM u-FRONT MATTER REV: 2

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QCP . Quality Control. Procedure ,

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  1. j QTC Ouality Technology Company

! -l RIF - Reduction in Force )

l RT Radiographic Testing  ; .

SQN Sequoyah Nuclese Plant p- '. 5 [.

t SI Surveillance Instruction 4

SOP. Standard Operating Procedure l V

SRP- Senior Review Panel SWEC - Stone and Webster Engineering Corporation

.g TAS Technical Assistance Staff.

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T&L Trades and Labor f

/- TVA- Tennessee Valley Authority

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TVTLC- Tennessee Val y Trades and Labor Council" "

UT Ultrasonic Testing VT- Visual Testing , , p. -

WBECSP Watts Bar Employee Concern Special Program (

4' y. WBN Watts Bar Nuclear Plant WR Wort Request or Wohk Rules ,

Workplans

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-TVA' EMPLOYEE CONCERNS REPORT NUMBER: 20400 SPECIAL PROGRAM REVISION NUMBER: 2

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CONTENTS

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SectioM i .

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3 Preface n, i -:

t ECSPG1csarycpReportTerms lii i Acronyms v i I

fj 1 Introducti$9 '

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Dllb 2 Summary cf Issues / Generic Applicability 4  !

t 3 Evaluttion' Process 7 4 Findings 9 I t

5 Corrective Action 1 ' 35 i 10 Causes (1 40 o

s , i l r7 Collective Significance 41 o V

'A Glossary N;plement foi'.the Engineering Category 49 j

Attachtrang , -l C .

, q t:a , l f." A Employee Concerps' for Subcategory 20400 A-1 j i

'l B Summary of Issues, Findings, and Corrective Actions B-1 i

,s for Subcategory 20400

~) C References C-1

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TABLES

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S. Table a Pace 1 Classification of Sindings and Corrective Actions," 44 l

2 Findings Sumary 'i 46 4

3 Matrix of Clements, Corrective Actions, and Causes 47 v' fx'x v v~'

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TVA EMPLOYEE CONCERNS REPORT ~~ NUMBER: 20400 SPECIAL PROGRAM: REVISION NUMBER: 2.

Page 3 of 51

1. INTRODUCTION' l

. ~This subcategory report summarizes and evaluates the results of the ECSP

, . element evaluations prepared under Engineering Subcategory 20400, Engineering Organization and Operating Procedures.

The employee concerns provide the basis for th_e element evaluations and are listed by element number in Attachment A. The plant location where the concern was originally identified and.the applicability of the concern to

-other TVA nuclear plants are also.shown.

.The employee concerns cite perceived deficiencies in TVA's organizational structures, interdepartmental communications, methods of, handling design review, and engineering design processes. The concerns also cite perceived deficiencies in the procedures and other documents that govern the engineering design change and plant modification processes.  !

Between 09/73 and the present time, three different sets.of engineering department procedures have been used to address such requirements as checking, review. approval, issue and revision of engineering drawings and i documentati_on. -The deficiencies ~ described in this subcategory report . relate to complicated and ineffective procedures that resulted in poor review cycles, divided responsibilities, poor test and installation specifications, drawings lacking in engineering detail, poor design review and verifi::ation requirements, and illegible vendor information. i Revision 8 of TVA Topical; Report TVA-TR75-1A, which is the Quality Assurance Program Description for the Design, Construction, and Operation of TVA Nuclear Power Plants, was the revision available when the element evaluations for this <

subcategory were written. Revision 9 of the Topical. Report has been assessed,  !

Jbut does not alter the findings and. conclusions of these evaluations.

The evaluations are summarized in the balance of this report as follows:

o Section 2 -- summarizes, by element, the issues stated or implied in the employee concerns and addresses the determination of their generic applicability l

o. Section 3 -- outlines the process followed for the element and subcategory evaluations and cites documents reviewed l o Section 4 -- summarizes the findings by element, and identifies those negative findings that must be resolved
o. Section 5 -- highlights the corrective actions required for resolution of the negative findir.js cited in Section 4 and relates them to each element and to each plant site 28110-R26 (10/15/87) t I

l REPORT ~ NUMBER: 20400 TVA EMPLOYEE CONCERNS REVISION NUMBER: 2 SPECIAL' PROGRAM L Page 4.of 61' I

Section 6 -- identifies.causes of the negative findings

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o l' o Section 7 - assesses the significance of the negative findings o' Attachment A -- lists, by element, each employee concern . evaluated in the subcategory. The concern's number is given along with t

notation of any other subcategory with which the concern is shared.

and the plant sites to which it could be applicable. The concern is quoted as received by TVA, and is characterized as safety related (SR), safety significant (SS) or not safety related (NO)

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o Attachment B -- contains a summary of the element-level evaluations. Each issue is listed, by element number and plant, along with its ' corresponding findings and corrective actions.. -The reader may trace.a concern from Attachment A to an issue in Attachment B by using the element number and applicable plant. .The f

l reader may relate a corrective action description in Attachment B to  !

causes and significance in Table 3 by using the CATD number which appears in Attachment B in parentheses at the end of the corrective action-description.

The term " Peripheral finding" in the issue column refers to a finding that occurred during the course of evaluating a concern but did not stem directly from a employee concern. These are classified

as "E"-in Tables 1 and 2 of this report o Attachment C -- lists the references cited in the text
2.

SUMMARY

OF ISSUES / GENERIC APPLICABILITY The employee concerns listed in Attachment A for each element and plant have been examined, and the potential problems raised by the concerns have been identified as 123 separate issues. Evaluation of these issues is presented in

.i 27 element evaluations.

However, some All of the elements were evaluated for the four nuclear plants. ,

of the individual elements were combined with others at certain plants to '

f acilitate evaluation, review, and preparation of corrective action plans.

For example, elements 204.1, 204.2, and 204.8 had individual element evaluations prepared for SQN, while they were combined and addressed Table 1 of thisunder report element evaluation 204.1 for the other three plants.

shows which evaluations addressed each of the elemen3s at each of the plants.

2.1 Generic Applicability

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Nine employee concerns, of the total of 36 addressed in Rather, this subcategory, they are are not generically applicable to all four nuclear plants.

related to site-specific organizations, components, or situations, and, thus, l

L are. addressed..in the element evaluations only on a site-specific basis.

i 2811D-R26 (10/15/87) t

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TVA EMPLOYEE CONCERNS REPORT NUMBER: 20400 SPECIAL PROGRAM REVISION NUMBER: 2 Page 5 of 51 Element 204.1. Concern WI-85-047-001 dealt with.the. lack of a timely response

.from engineering for instrument set point data for a specific WBN system.

Element 204.4. Concerns IN-85-414-003, EX-85-085-002, and IN-85-276-002 dealt with possible shortcomings (e.g., specific instruments not shown on a drawing) in specific WBN engineering drawings.

Element 204.5. Concern I-86-114-BFN dealt with an Office of-Engineering (0E) review of the staffing level and adequacy of the training of engineering-personnel at BFN to handle the known BFN workload.' Concern HI-85-077-N02

' dealt with documentation concerns regarding original procurement specifications for BFN. Concern XX-85-126-001 dealt with changes being made to vendor drawings specific to BLN without prior approval of the vendor.

Element 204.6. Concern WBP-85-018-003 dealt with a specific group of engineering change notices (ECNs) for WBN. Concern OE-QMS-5 questioned a decision by the BFN Engineering group management regarding handling of ECN data sheets at BFN per the BFEP procedure.

The remaining 27 employee concerns were generically applicable to all four nuclear plants, and they were addressed accordingly.'

2.2 Summary of Issues The issues evaluated under this subcategory are grouped by element, are summarized below, and apply to all four nuclear plants unless' otherwise noted: I 1

o 204.1, Organizational Structure - TVA's organizational structure is unwieldly; there are too many people in the review cycles,' too many ,

procedures, and too much paperwork. WBN field requests for '

technical information from Engineering are not answered in' a timely manner.

o 204.2, System Desian Responsibility - Individual engineers are not knowledgeable of, or responsible for, overall system design.

o 204.3, Field versus Desian Office Responsibility - TVA leaves too many technical decisions regarding pipe supports and hangers up to craft personnel.

o' 204.4, Desian Document Completeness /Adeouacy - There are deficiencies in engineering drawings. TVA designs are not developed well enough and do not adequately encompass constructibility, maintainability, testability,andoperabilityrequirements. TVA l general construction specifications (G-Specs) are often inadequate, l and drawings do not always show all the details or represent design requirements.

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-ij TVA EMPLOVEE CONCERNS REPORT NUMBER: 20400 j SPECIAL PROGRAM REVISION NUMBER: 2 Page 6 of 51 o 204.5, Desian Review / Verification - Various engineering documents at i TVA, including vendor calculations and designs, are not f appropriately reviewed under an adequately controlled design process. Second independent technical reviews are not completed, and some reviews are not performed by qualified personnel. There is i inadequate staffing of engineering personnei at BFN, which could

. result in insufficient review of engineering documentation; design engineers did not document the original specifications at BFN; and changes were made to BLN vendor _ drawings without vendor approval.

o 204.6, ECN Process -' Engineering change notices (ECNs) are not i written with sufficient information and are not properly processed, tracked, or closed out. Consideration is .not given to the impact of the change on other disciplines, documents, and construction work.

o 204.7, Vendor Docaents - Vendor manuals in use at the plant sites

- are not at the correct revision level, and vendor drawings are of poor quality.

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o 204.8. Communication and Interf ace Control - Communication and interf ace control within Engineering, and between Engineering and other organizations, are ineffective.

o 204.9, Use of Reverse Prints - Unit 1 prints marked " opposite hand" are being used for unit 2, which makes work more confusing for l engineering and construction personnel.

The nine issue summaries above (one for each element) deal with presumed deficiencies in the Engineering organization and the design process and 4 l procedures. More specifically, four of the elements contain issues that are

! concerned with the overall engineering process (elements 204.1, 204.3, 204.5, and 204.8), three deal with design process and design changes (204.2, 204.6, .

and 204.9), and two pertain to design output documentation (204.4 and 204.7).

As the.following sections show, five of the issues summarized by element above ,

were found to be valid and require corrective actions (204.1; 204.5, [for BFN l only]; 204.6; 204.7; and 204.8). One of these involves establishing l engineering interfaces and improving organizational procedures, three involve engineering verification procedures and design change control, and one involves quality and dissemination of vendor documentation.

1 Each issue examined within the element evaluations is stated fully in Attachment B, which also lists the corresponding findings and corrective  ;

actions that are discussed in Sections 4 and 5 of this' report.

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i TVA EMPLOYEE CONCERNS REPORT NUMBER: 20400 SPECIAL PROGRAM REVISION NUMBER: 2 l Page 7 of 51  !

3. EVALUATION PROCESS This subcategory report is based on the information contained in the <

applicable element evaluations prepared to address the specific employee concerns related to the issues summarized in Section 2.

The element and subcategory evaluation process are discussed below. The references cited are listed in Attachment C.

3.1 Element Evaluation Process The steps listed below were followed to evaluate issues for each of the element evaluations.

a. Defined issues for each element from the employee concerns.

Attachment A of this report lists the employee concerns addressed in this subcategory report.  !

b. Reviewed regulatory documents (Refs.1 through 8,15, and 16),

industry standards (Ref s. 9 through 14), TVA commitments (Refs.17 through 24), and design criteria (Refs. 121,122, and 123) to develop an understanding of the requirements of engineering organizational structure and operating procedures.

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c. Reviewed available transcript of NRC investigative interview (Ref. 209) to gain additional information regarding concerns listed in Attachment A.
d. Reviewed TVA documents such as Quality Assurance Programs (Refs. 25 through 40), Nuclear Performance Plans (NPPs) (Refs 41 through 46),

Project Manuals (Refs. 47 through 57 and 120), Verification Programs (Refs. 58 through 62), Reports and Standard Practices (Refs. 69 through 105), and TVA Corpo' rate Commitment Tracking System (CCTS)

(Ref.106) to establish the responsibilities and practices related to the issues.

e. Reviewed engineering department procedures (Refs.107 through 118) that establish organizational structure, design process, design j change interf ace and communication between the design office and the field, system design responsibilities, TVA practices for compliance I to procedures, vendor design document control, and design review and l verification practices.
f. Reviewed results of the program audits (Refsi 135 through 151) to determine practices followed by TVA to comply with procedures.

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TVA EMPLOYEE CONCERNS REPORT NUMBER: 20400 SPECIAL PROGRAM REVISION NUMBER: 2 Page 8 of 51 l 1

-l Additiona'l steps listed below were followed to evaluate the specific l element _noted. J l

g. For element 204.3, reviewed applicable Conditions Adverse to Quality. <

(CAQ). documents (Refs. 132,133, and 134) in regards to indication i of equipment supports design input by craft personnel. j

h. For element 204.4, reviewed Gene ~ral Construction Specifications j

(Refs.126 through 129) to assess the completeness- of specifications.

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-1. For. element 204.4, reviewed appropriate number of design drawings .- i related to CAQ reports in the EN DES Data Base (Refs.131), to .i establish the severity of the problems prompting the re-evaluat 4 n of existing procedures in completing the design output documen:s.

j. For element 204.4, reviewed an appropriate number of drawings for l completeness of specific technical design details.
k. For element 204.5, reviewed equipment procurement packages (Refs.152 through 196) in regards to documentation of-specifications in the procurement packages.' .
1. For element 204.6, reviewed Division of Nuclear Engineering Design I Change Control Procedure NEP 6.1 and subsequent clarifications 1 (Refs. 53, 57, and 109), to establish the practices followed in the j control of design change documents (ECN etc.).
m. For element 204.6, reviewed NRC staff evaluation of the Design Baseline and Verification Programs (DBVP)'(Refs. 215 and 216) to 1 determine NRC's acceptance requirements for plant modifications and l change control long term program. 1
n. . For element 204.6, reviewed memorandum (Ref. 220) regarding TVA's coninitment of the design change process improvement program.
o. For element 204.7, reviewed Engineering Department Procedures (Refs, 88,107,108,109,112, and 116) regarding the review and control of vendor documents,
p. For element 204.9, conducted interviews (Refs. 237, 238, and 239) with Engineering, Construction, Craft, and Quality Assurance ,

personnel in regards to the issues. ]

l Using the results of the element evaluation process, the issues were evaluated l for the element and the findings and corrective actions were documented.

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TVA EMPLOYEE CONCERNS REPORT NUMBER: 20400 SPECIAL PROGRAM REVISION NUMBER: 2 Page 9 of 51 3.2 Subcategory Evaluation Process Subsequent to the element evaluation process, the steps listed below were followei to prepare this subcategory report.

a. Tabulated all the concerns addressed by this subcategory report in Attachment A.
b. Tabulated issues, findings, and corrective actions from the element evaluations in a. plant-by-plant arrangement (see Attachment B).
c. Prepared Tables 1, 2, and 3 in this subcategory report to permit '

comparison and identification of common and unique issues, findings, and corrective actions among the four plants.

d. Classified the findings and corrective actions from the element evaluations using the ECSP definitions.
e. On the basis of ECSP guidelines, analyzed the collective significance and causes of the findings from the element evaluations. .
f. Evaluated defined corrective actions to determine if additional actions are required as a result of causes found in step e.
g. Provided additional judgment and/or information that may not have been apparent at the element level.
4. FINDINGS The full text of the findings from each of the 27 element evaluations is stated in Attachment B, listed by element number and plant.

The findings (including validity of the issues) within each of the elements

'are summarized in the following paragraphs. Minimum discussion is devoted to those . findings for which no corrective action is required, such as cases where the allegations were not substantiated by the evaluation, or cases in which the allegations were found to be true but the consequences are acceptable.

4.1 Element 204.1, Organizational Structure

4.1.1 Issue

TVA's managerial structure is unwieldly and cumbersome, wnich sometimes leads to confusion in the design process.

(Addressed as issue "a" for all plants, as s,hown in Attachment B)

Findina. To further assess the review cycle for ECNs and DCRs, the evaluation team reviewed EP 4.02 and EP 4.18 (Ref.107), OEP-il (Ref.108), and NEP-6.1 (Ref. 109).

A review of TVA audit reports and memoranda (Ref. 135, 216, and 217) discloses audit findings and recommendations which indicate that significant deficiencies existed in TVA's Division of Engineering Design (EN DES) managerial structure in 1984 and 1985. In late 1985, a corporate evaluation by INP0 reported the following finding which TVA accepted (Ref. 213) as valid:

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. " Responsibility and authority for the various Office of Nuclear Power - I organizations have not been clearly defined or sufficiently 'l communicated. 'As a result, there is confusion in the organization."

In the CNPP (Ref. 42) TVA stated that " responsibility ',~or various nuclear -

functional areas [ including engineering] was divided among several groups."

Investigations by TVA (Ref. 63)'and the Institute _of Nuclear Power Operations (INP0) (Ref. 213) confirm that until 1985 the responsibility for nuclear i i

activities was divided among several departments, none of which reported to a single manager.

This . issue was valid at the time the concern was raised.

4.1.2 Issue

Paperwork is excessive and passes through too many hands. '

too.many people are in the review cycle for engineering change notices (ECNs), design change requests (DCRs), and memoranda. j

~ ( Addressed as issue "b" for all plants, as shown in Attachment B) j Finding.- A review of TVA's engineering procedures (Refs. 107,108,' and 109) indicates review cycles for Engineering Change Notichs (ECNs) and. Design j Change Requests (DCRs) that are similar to those used by other engineering j

firms engaged in the design of nuclear power plants. To evaluate the validity of the allegation that TVA required too much paperwork and that there were to i i

many people in the design change review process, the evaluation team reviewed-investigativereportsissuedbysixgroups(Refs. 93, 75, 63c, 104, 204, 205, 206, 207, 69, 68, and 213).

None of these investigations found a design control problem at the plants or at TVA headquarters similar to those alleged.

1 This issue is not valid. - '

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4.1.3 Issue

-Too many engineering procedures exist, and they need to be streamlined. ( Addressed as issue "c" for all plants, as shown in Attachments)

Finding. In 1981, TVA's NSRS reported (Ref. 63c) that "the f ailure to i consistently implement the EPs appeared to be due to a combination of factors l

. . . [ including] the large volume of procedures and inadequacies within the procedures." The NSRS recommended that EN DES policy, responsibilities, requirements, and guidance be systematically established in tiers of documents. i I

6.

k l

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TVA EMPLOYEE CONCERHS REPORT NUMBER: 20400 SPECIAL PROGRAM REVISION NUMBER: 2 l Page 11 of 51 There were at least 18 volumes of EN DES discipline guides and standards, as well as four volumes of EN DES-EPs. The Engineering Procedures (EPs) were quite detailed and included many policy statements and QA requirements.

However, in 06/85 the EPs were replaced by a single " streamlined" volume of OEPs. Most of the Office of Engineering Procedures (0EPs) were in turn replaced by a single volume of Nuclear Engineering Procedure (NEPs) in 07/86. i The OEPs and NEPs were supplemented by site engineering procedures. l This issue was valid at the time the concern was raised.

4.1.4 Issue

There is a lack of timely response to requests for )

engineering information for WBN. (Addressed as issue "h" for WBN l only, as shown in Attachment B. This issue was unique to WBN, and l was not evaluated for the other three plants.) i Finding. This concern is supported by a statement from an ECTG Management and Personnel report (Ref. 97) which states that there have been numerous examples of construct'en production delays resulting from constructibility problems with design drawings, compounded by a lack of adequate or timely response by design engineers.

This issue was valid at the time the concern was raised.

4.2 Element 204.2, System Desian Responsibility

4.2.1 Issue

Responsibility and monitoring for overall system design is not assigned to a specific individual who is knowledgeable of all aspects of the system, including interf acing support systems.

(Addressed as issue "a" in element evaluation 204.2 for SQN and as  !

issue "d" in element evaluation 204.1 for WBN, BFN, and BLN, as I

shown in Attachment B) j Finding. In 1973, EN DES was established and " system design engineers" who j were knowledgeable about the basic elements of the systems were assigned to the pr.ojects.

Within EN DES, the assignment of individual responsibility for system design and documentation was defined in the EN DES-EP manual (Ref.107), and very similar position descriptions appear in the Office of Engineering (OE)

Organization Manual (Ref.120). These position descriptions indicate that more than one engineer was responsible for the design and documentation of each system. The current NEPs (Ref. 109), which superseded the corresponding OEPs, eliminated the title " system design engineer." However, the function of designing each system by one or several engineers assited s by associate engineers was continued.

In 1984, INPO recommended (Ref. 68) assigning the responsibility for specific operatina systems to individual engineers. This recommendation was accepted by lVA, and systems engineering sections have been established at the 28110-R26 (10/15/87) _-

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constructed plants. The engineers in these sections provide a single contact l point for system history, status, testing, and troubleshooting. l At SQN and BFN when the systems became operational, TVA located a systems engineering section, with individual system engineers, at the site to address l and resolve system problems. i At WBN and BLN, the responsibility for monitoring the complete system design, including interfaces with supporting systems, is assigned to the ONE project  !

engineer and assistant project engineers on the design project. ,

Discipline teams are necessary to design the large, complex systems found in nuclear power plants. DNE staffs each nuclear power. plant design project with a project engineer, assistant project engineer (s), and discipline teams each  !

having a lead discipline engineer, engineers, and associate engineers.

This issue is valid in that it is a true statement but it is not a problem.

4.2.2 Issues

With one person handling contract support, another mechanical, another controls, another electrical,etc., i responsibility is fragmented and quality has been affected.

(Addressed as issue "b" in element evaluation 204.2 for SQN and as issue "e" in element evaluation 204.1 for WBN, BFN, and BLN, as shown in Attachment B)  ;

Findina. In 1981 and 1982, TVA internal memoranda (Refs. 222, 224, and 226)

' documented deficiencies in system design responsibility. However, the authors of the memoranda advocated assigning a scope of responsibility to various .

individuals working on a system, rather than total system responsibility for {

one person.

The current NEPs (Ref. 109), which supersede the corresponding 0EPs, govern I design control and provide for satisf actory coinpliance with regulatory design'  ?

control requirements. They do not require that overall system design control ,

be assigned to one individual. While the actual design details of interfacing j systems is divided among the disciplines, the project engineer and assistant  ;

project engineers are responsible for the overall quality and adequacy of i system engineering efforts. There is no evidence that the team design  !

approach used by TVA detrimentally affected the quality of any TVA plant. l l'

The issue is valid in that it is a true statement. However, after reviewing the concern and considering the systems involved, the evaluation team concluded that it was not possible in the design stage,for individual engineers to be informed about all aspects of their sys' tem (s), and the  ;

interfacing support systems.

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4.3 Element 204.3,. Field versus Desian Office Responsibility

4. 3.1 - Issue: TVA leaves too many technical decisions to the discretion of the craf t personnel (e.g., hanger design).. (Addressed as issue "a" 3 in element evaluation 204.3 for SQN, BFN, and-BLN and as issue'"f" )

in element evaluation .204.1 for WBN, as shown in Attachment B).

Finding. The evaluation team found that SQN, BFN, BLN and other TVA engineeringprocedures(Refs. 107,108, and 109) are adequate and a circumvented approval process, as described in the issue, should not occur. A review of TVA audit reports (Refs.136 through 139), and discussions with cognizant personnel (Refs. 240 through 243) indicate a problem existed at WBN where procedures (Ref. 107,108,109 and 49) did allow the craf t to make limited adjustments during hanger installation.

In 01/85, a WBN (unit 2) field change request study by TVA (Ref. 233) found that about 51 percent of system 62 and system 63 hangers required FCRs. Of these FCRs, almost half were necessary because of drawing problems such as incorrect dimensions.

In 05/85, INPO found (Ref. 69) the following deficiericies in field programs -

necessary to supply technical guidance to the pipe hanger craftsmen: 1) Work packages were incomplete. 2) Constructibility reviews were not identifying many interferences and design errors, and 3) Field engineers were unavailable to resolve problems.  ;

In 07/85, a Nuclear Safety Review Staff (NSRS) report (Ref. 63e) found that 3 "the 47A050 notes [ associated with the pipe support detail drawings] require frequent changes."

Finally, an Employee Concern Task Group (ECTG) report (Ref. 97) found that in an attempt to meet construction production schedules, the FCR process has.

occasionally been misapplied.

At BLN.the INP0 report (1984) states that'the pipe support installation ,

program in the field is effective in producing pipe supports that meet design requirements with' low rejections at inspection.

The issue is valid for WBN, SQN and BFN although TVA procedures do not authorize craft personnel to make design decisions and, engineering approval of field changes has been, and is, required at all TVA nuclear plants.

However, the evaluation team found no evidence to support the implication that ,

decisionsbythecraftswereresponsibleforanyprobigms. f l

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4.4 ~ Element 204.4, Desian Document Completeness - Adeauacy i

4.4.1 Issue

Engineering (EN DES) inadequately addresses and considers-construction, testing, operation, maintenance, and general industry practices in the design process. -( Addressed 'as- issue 'f a" for all plants, as shown in Attachment B)

Finding. TVA engineering procedures that have been in effect since 09/73 (EN DES-EP 4.25, OEP-06, and NEP-3.2) all state that construction, testing, operations, and' maintenance requirements, as well as codes and standards must be considered during the design' process. The evaluation team found that these procedures are adequate for addressing these requirements.

If the above listed design considerations were not a'ddressed because of lack of knowledge on the part of_the designers and their supervisors, ro programmatic correction, except perhaps additional training, would have solved ,

the problem.- l t

Constructibility problems could have caused adverse economic effects and schedule delays, but they should not have been allowed to compromise the integrity of the safety systems.

Prudent-engineering practice would address testing requirements in the design. As a minimum, the design provided should not preclude the addition or J installation of the required testing equipment when needed or during the l

latter phases of construction when the actual plant configuration becomes l

better known. 1 Prudent engineering practice would also address operations and maintenance requirements in the design process. There is a tradeoff between the preferences of the operations and maintenance personnel, the realities The plant of design design requirements, and consideration of plant' economics.

can f avor any of these elements, but usually at the expense of the others.

' Ideally, the design of the plant properly balances all considerations. The design provided should not preclude the addition of any required items when needed, and should allow accessibility to all plant features for maintenance.

Utility personnel attend industry meetings and seminars where industry methods are discussed. Methods that work well and have general application eventually become accepted and in time become recognized as a general practice. However, the situation is always subject to change.  ;

}

Practices that approach standardization throughout the industry are usually

!- those that meet applicable codes and standards, and ar'e economically advantageous. TVA must meet the requirements of industry codes and standards, but is not under a mandatory comitment to follow any other " general I

practices." For example, INP0-suggested good practices are not mandatory.

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Although specific instances have-been identified at.all nuclear plants where certain aspects of the design process were in error, the evaluation team did-not find pervasive evidence to indicate that the design considerations stated j above had been ignored or neglected.

The issue is not valid.

4.4.2 Issue

The TVA General Construction Specifications (G-specs) are often inadequate and incomplete. (Addressed as issue "b" for all j plants, as shown in. Attachment B)  !

Finding. TVA G-Specs have existed since 1939 when they applied to construction of dams and reservoirs. They have since been updated and  :

expanded to be applicable to power plants. Project Construction Specifications are used to augment or modify G-Specs for a specific project or f site application. In 1974, EN DES Procedure 3.04 (Ref.107) was -issued to l govern the preparation and approval of G-Specs for the nuclear' plants. At I that time, the specs were also indexed and formal control was initiated.

The G-spec role is to provide the general guidelines for the implementation of the' physical work. The detailed "how to" information'is supplemented in the  ;

engineering documents. l The recent Specification Improvement Plan Program [B05 860808 001] is in the.

process of generating more complete Engineering Requirements (ER).  ;

Specifications with a controlling feature over engineering drawings. These ER :

specifications will replace the G-Specs on a transitional basis.  ;

The evaluation team rev.ewed the 27 G-Specs (Ref. 126) that are applicable to i TVA nuclear power plants for adequacy and completeness. There are several instances of outdated references and in one instance, a minor conflict with >

another construction document was found; G-Srec 43 contains information on  !

. pipe supports that conflicts with the SQN Construction-issued Modifications and Additions Instruction 11 (M&AI-11).  !

G-Specs are not stand-alone documents. They are general specifications that are intended to be utilized alone with appropriate site-specific i specifications and documents. The evaluation team's review of an appropriate number of G-specs showed that, as general specifications, they are adequate and consister.t with industry practices, f i The issue is not valid.  !

4.4.3 Issue

Engineering drawings often are inadequate in that they lack )

some technical detail (i.e., weld detail), do not always include or }

represent design requirements, or create interferences and cause )

other constructibility problems during installation.

(Addressed as

- issue "c" for all plants, as shown in Attachment B) 1 i

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Finding. For WBN, the evaluation team reviewed approximately 600 l drawing-related CAQ reports 7 the EN DES CAQ Data Base (Ref.131).

Seventy-one CAQ reports (mostly NCRs) were related to the issue that documents do not always include or represent design requirements. INP0 Finding DC.5-1 (Ref. 69) noted that inconsistencies exist between the FSAR and other design  !

documents. Ninety-two CAQ reports, mostly construction NCRs issued after l 1981, were due to engineering drawing deficiencies. j Four deficiencies were also cited in INP0 Watts Bar Evaluation Report (6/85),

Finding CC.4-5 (Ref. 69) regarding pipe hanger constructibility.

For SQN the evaluation team found instances where design drawings omitted several pipe hanger welds. Another instance involved the use of mixed bolted and welded beam connections. Still another instance involved the investigation of employee concern IN-85-886-N04 (Subcategory Report 22300) that no seismic analysis was performed for local instruments. These and others instances are cited in other SQN element evaluations. Also, Gilbert / Commonwealth Report 2614 (Ref. 91) found that mounting details for instrumentation were inadequate.

A review of the 12/01/86 CAQ Data Base Frequency Rep'6rt for SQN revealed that 57 out of the 3,750 CAQ documents listed (1.5 percent) indicated that drawings l were the source of the problem or the at-f ault item.

For BFN the evaluation team sampled drawings from various disciplines and the i

issue that some drawings are incomplete is valid. Out of 55 mechanical drawings sampled, 5 were found to be incomplete. Out of 35 pipe support drawings, 4 were either incomplete or had minor errors. All 9 of the electrical schematics reviewed were found to be complete. However, it should I be noted that the level of detail or completeness is relative, depending on the reviewer and the time period during which such drawings were generated.

For BLN the evaluation team reviewed approximately 400 drawing-related CAQ reports in the EN DES CAQ Data Base (Ref.131).

x Fifteen CAQs, mostly construction NCRS, relate to inadequate drawings.

i Nineteen CAQ reports were related to the issue that drawings do not always include or represent design requirements. Before 1982, only three NCRs were l written. Twenty-five CAQ reports were identified as constructibility related due to engineering drawing deficiencies. j s

The issue that engineering drawings do not always include or represent design  !

requirements is valid, but Jnly to a limited extent. 'In general, the TVA 5 drawings reviewed are adeqiate.

In addressing engineering concerns and in instances where technical details

- became identified as missing or in error, the evaluation team either acknowledged in its element evaluations and subcategory report that corrective  ;

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Page 17 of 51 processes were in place, or CATDs were. issued to start the corrective action

process. . Specific Engineering inadequacies in this area are addressed in the-other Engineering Subcategory Reports.

4.4.4' Issue: There are conflicts between' TVA drawings and vendor j drawings. ( Addressed as issue "d" f or all' plants, as shown in Attachment.B).

. Finding. At WBN, the evaluation. team reviewed the EN DES CAQ Data Base

(Ref.131) and the NPPs (Refs. 42 and 45); 16 CAQ reports have -identified conflicts between TVA and vendor drawings. l At:SQN, the issue of conflicts between TVA drawings and vendor drawings was.

substantiated by TVA-corrective Action report (Ref. 96), and Nuclear Safety. l Review Staff report (Ref. 63).  !

At BFN, the BFNPP (Ref. 46) and the NSRS investigative report (Ref. 63b) did  !

indicate that there were conflicts between TVA drawings .and vendor drawings.  !

At BLN, the evaluation team reviewed the EN DES CAQ Data Base (Ref.131); 14 i CAQ reports .have identified conflicts between TVA and vendor drawings.

The issued is valid.

4.4.5 Issue

TVA design not developed well enough to be constructible; {

therefore, drawings and acceptance criteria were frequently revised f for all plants, as "1

. late in the project. (Addressed as issue "e" shown in Attachment B)

Findina: For WBN, SQN and BFN there are TVA NPPs (Refs. 43,44,45,and46),

lNPO reports, and 'NSRS ' investigative reports (Ref. 63), all attesting to _the large number (auantity) and misuse of ECNs and FCRs. It must be recognized that for these three plants the concern pertains to an after-the-f act issue.

At BFN audit reports (Refs.143 and 265) and NSRS finding (Ref. 63c) cite

' instances of calculations made after drawing issue, improper documentation of design, insufficient evaluation of design criteria changes and criteria not being reviewed by the NSSS vendor.

Revisions to drawing and acceptance criteria, when properly justified, are considered to be an acceptable industry-wide practice regardless of the state of the project at the time.

l' The issue is valid for all plants; however, it is not'a problem.

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Locally mounted instruments, ITC 307 and ITC 328, were

4.4.6 Issue

installed but not specified on the design drawings. (Addressed as

. issue "f" for WBN Only, as shown in Attachment B. This issue is

< unique to WBN, and was not addressed for the other three plants.

Finding. TIC-31-307 and TIC-31-328 are air conditioning temperature indicating controllers (TICS) for the personnel access hatch located at elevation 713 feet. The TICS sense the ambient temperature and, using control 4 air, modulate their respective temperature control valves (TCVs) according to a predetermined setpoint. At WBN, most TICS are mounted directly on the

-TCVs. However, the above TICS, as well as a few others, were wall-mounted in the vicinity of their respective TCVs.

The evaluation team has reviewed WBN drawing 47W915-10, which shows the TCVs but not their respective TICS. The only engineering document that referred to i these TICS is Instrument Index 47B601-31. These TICS were installed according to WBN Engineering Requirement Specification ER-WBN-EEB-001 (Ref. 99). This specification allows Construction to determine the optimum location of the TIC according to certain guidelines and requirements. i The evaluation team found per ER spec ER-WBN-EEB-001', that locally mounted l The l instruments do not have their exact location specified by DNE.  !

specification allows the installing organization to determine exact location based on certain requirements. The specific TICS addressed in this issue are shown on 47W610-series TVA drawings, along with other locally mounted instruments.

The issue is not valid.

4.5 Element 204.5, Desion Review / Verification

4.5.1 Issue

Design drawings, technical specifications, design criteria documents, and pre-op test packages do not receive a second independent technical review as required, but are reviewed primarily for non-technical, editorial details (English, spelling, etc.).

( Addressed as issue "a" for all plants, as shown in Attachment B)

Finding. The evaluation team could find no regulatory requirement or TVA commitment for Technical Review (or "second independent review") per se of design drawings, technical specifications, design criteria documents, and preoperational test packages.

Technical Reviews, defined by TVA in NEP as " design reviews," are scheduled by the branch chief / lead engineer according to the area selected for review, its nearness to completion, its influence on later designs and whether or not the area is suitable for phased review. Once a technical review is performed it need not be performed for each revision of a document.

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Page 19 of 51 The " Technical Review" (second independent technical review - called design

. review in NEP-5.2) is an evaluation of selected areas, not specific design drawings, technical specifications, design criteria, or pre-op test packages.

However, these documents may be involved in such a review.

Examples of three Technical Reviews done at WBN and BLN (Ref. 228, 229, and 230) provide evidence that such reviews, when undertaken, check more than just the non-technical editorial aspects. The reviews delve in depth into the technical content of the subject matter.

From the items cited by a concerned individual (CI) as not having been  :

submitted for technical review, it appears that the CI is not making reference to Technical Reviews as defined by TVA procedures (e.g., NEP-5.2).

It is possible that when the CI referred to " technical review," it could have l meant either:

o A review of an engineering document by an engineer for appropriateness of technical content, or o A review by various design organizations of design input, design output', or other engineering documents for technical adequacy <

With regard to the first category, the evaluation team reviewed sample ,

document packages and found them to have been, by the nature of comments written, reviewed primarily for technical content and secondarily for non-technical editorial details.  ;

With regard to the second category, it was observed from a review of documents that the internal TVA interf ace review system called "squadcheck" bore more i technical evaluation comments than non-technical editorial comments.

~

The Technical Reviews observed by the evaluation team revealed in-depth technical evaluations, and not mere non-technical editorial detail reviews as alleged by the CI.

The issue is not valid.

4.5.2 Issue

Technical reviews (second independent technical reviews) .

performed at Knoxville are inadequate. ( Addressed at issue "b" for all plants, as shown in Attachment B) 4 Finding. Design control measures for verification of technical adequacy employed by TVA appear in general to be adequate, based on the evaluation '

team's review of procedures and documented Technical Reviews noted above.

i However, some specific shortcomings were noted in the area of calculation l

procedures as discussed in Subcategory Report 24600.

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" Technical Reviews" (second independent technical reviews) are'not required' by regulation, TVA procedures, or TVA commitment. It was found that a few such reviews have been performed for TVA plants. The issue is not valid, i

4.5.3 Issue

Technical review-is not performed after the checkers have reviewed pipe support calculations. (Additional information i relative to this issue is addressed in Element Evaluation 220.12.

( Addressed ;as issue "c" for all ~ plants, as shown in Attachment B)  !

Findina. -The Technical Review issue was previously evaluated for Watts Bar (WBN) in element evaluation 220.12, which stated, "The applicable requirements do not mandate any additional check or review to be made after the checker's review. Therefore, the concern is not valid." l i

Element evaluation 220.12 stated, "The applicable requirements do not mandate any additional check or review following a review by a checker." q Therefore, the concern is not valid.

Peripheral Finding. As a peripheral finding, in reviewing piping bill of material drawings for BFN element evaluation 232.8, 'the evaluation team noted

, that the same individual' initialed both the "Made" and " Checked" boxes of some of the drawings. This was noted on 11 different bill of material drawings.

These drawings include over 40 different sheets (Ref. 203), issued between j 05/68 and 02/73. In some cases, this also occurred on subsequent revisions of some drawing sheets. Allowing the individual who originated the work to check the work is contrary to accepted industry practice and to current TVA practice i and procedures. This lack of independent review increases the possibilities of error.

Therefore, the issue is not valid. i

4.5.4 Issue

Calculations are not generally reviewed by technical supervision. (Addressed as issue "d" for all plants, as shown in Attachment B)

' Finding. 10 CFR 50, Appendix B states that the verifying or checking process shall be performed by individuals or groups other than those who performed the original design, but who may be from the same organization. ANSI N45.2.11 requires that calculations shall be identifiable by subject, originator, reviewer, and date. It also states that procedures shall include requirements ,

for review and approval. The ANSI requirements do not stipulate the need for >

calculations to be reviewed by technical supervision, t.

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TVA EMPLOYEE CONCERNS REPORT NUMBER: 20400 SPECIAL PROGRAM REVISION NUMBER: 2 Page 21 of 51 Engineering Department procedures were reviewed f or establishment of calculation review and checking practices and responsibilities. TVA calculation procedures incorporate the pertinent requirements of 10 CFR 50, Appendix B and ANSI N45.2.11.

The design calculation procedure EN DES-EP 3.03 states that the section supervisor, by signing at the " submitted" block of the calculation cover sheet, attests that the calculations were performed and checked by technically qualified persons. Also the same procedure assures independence of the checker f or the work being reviewed.

OEP-10 on " Review" and NFp-3.1 on " Calculations" also identify similar requirements.

Review of calculations by technical supervision is neither a regulatory requirement nor a TVA commitment.

The issue is not valid.

4.5.5 Issue

TVA independent verification of vendor calculations and designs are either not adequate or not done at all, and design reviews of vendor deigns are not done. (Addressed as issue "e" for all plants, as shown in Attachment B)

Finding. When TVA does checking and approving of vendor calculations, the responsible EN DES design group processed them in accordance with EN DES-EP 3.03, OEP-7, NEP-3.1, and NEP-5.2 depending on the time frame in which the work was done. Independent review / design verification is accomplished according to the procedure that initiated it, such as NEP-3.1.

DNE procedures require design verifications, as defined in ANSI N45.2.11, on calculations when TVA is respons.ible for doing so, as stipulated in procurement contracts. Design reviews are one method of accomplishing this verifictti on. Design verification is not required on other vendor-supplied inf ormati on. Only interf ace reviews and review for approval are required on the o'ther vendor-supplied inf ormation.

In the transcript of NRC investigative interview (Ref. 209), the CI alleges that TVA does not adequately or independently verify vendor calculations or designs. In discussions with Mechanical Engineering Branch (MEB) personnel it was found that when submitted to TVA, vendor calculations do receive an independent review. Additionally these calculations are subjected to a squadcheck review. Evidence of these reviews was observed in calculations identified in Refs. 124, 125, 168, 153, and 225.

Per EN DES-EP 4.04 (Ref.107), the Squadcheck Process within EN DES is a systematic interorganizational and/or interorganizational routing process f or the purpose of reviewing a drawing or other design document where a response 28110-R26 (10/15/87)

l TVA EMPLOYEE CONCERNS REPORT NUMBER: 20400 SPECIAL PROGRAM REVISION NUMBER: 2 Page 22 of 51 is required. The squadcheck process is also used to transmit drawings or other documents from one EN.0ES organization to another to provide inf ormation, in which case a response is not required. OEP-10 and NEP-5.2 address the squadcheck process as interf ace reviews.

The TVA QA audits of f our contract packages (Ref s.145 through 148) were examined and they indicated some deficiencies in the vendor design control area. Tne deficiencies were resolved by corrective action taken subsequent to the audits. TVA QA audits are an essential part of ensuring vendor design c ontrol .

Review of vendor calculations by TVA is performeo only when reauired by procurement contract. A review of examples of vendor calculations determine that procedure were f ollowed.

The issue is not valid.

4.5.6 Issue

TVA does not conduct independent design reviews of its work. (Addressed as issue "f" for all plants, as shown in Attachments) 4 Finding. The definition by TVA in its Topical Report (Ref. 25) of design verification includes design review as an acceptable verification method, as well as alternate calculations and qualification testing.

It is mandatory that design verification be accomplished. Design verification is done by the responsible TVA design organization as a normal part of the design process, and to the extent identified by the procedures. The procedures allow design reviews to be employed as a design verification 1 process. l Regarding discussion on the matter of independent design reviews in the transcript of the NRC investigative interview (Ref. 209), internal TVA interface reviews would seem to satisfy the requirements of a design review, except that instead of conducting design review meetings, a review and signoff form is routed with the document under review. When initialed by review participants, the f orm accompanies the document and is retained in the Records Inf ormation Management System (RIMS). The evaluation team observed the interf ace review system at MEB in Knoxville.

A TVA policy memorandum (Ref. 235) dated 03/03/87 states that TVA is requiring independent verification for all new or revised calculations. The memorandum i indicates that this require. ment will be incorporated into the NEPs. This verification would be a secoad independent design verification.

I A procedural requirement for independent design reviews (checkers) does exist  ;

and there is ample evidence than such reviews have been performed. The CI may  :

be alluding to a second indepenoint design verification, discussed in Section 4.5.2 of this report. When TVA tiects to review vendor calculations, that  !

would be a second independent design verification.  !

The ' issue is not valid.

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TVA EMPLOVEE CONCERNS REPORT: NUMBER: 20400 SPECIAL4 PROGRAM REVISION NUMBER: .2-Page 23 of- 51 l

4.5.7 Issue

Design checks and reviews are being performed by technicians ]

("SE". level personnel) in lieu of graduate engineers at .

i TVA/ Knoxville pipe support group. ( Addressed as issue "g" f or all plants, as shown'in Attachment B)

Finding. -10 CFR 50, Appendix B (Ref.1), in conjunction with ANSI N45.2.ll (Ref. 10), requires design checks be carr.ied out by competent individuals or groups who are experienced in the subject activity and who did not perf orm the original design. Hence, whether the checkers are technicians or graduate engineers is not the' controlling f actor.

The TVA SQN Generic Concern Task Force conducted two separate investigations relative to concern IN-85-148-001. The results of,the investigations were issued as report GPH-03-37.

The conclusion of the first investigation was:

"A graduate engineer would not be qualified to check design drawings without piping design experience and training, whether formal or on the j ob. Since only actual experience and knowledge significantly contributes to design quality, the concern to .have checkers be graduate .!

engineers is not valid."

The conclusim of the second investigation was: 1 "The concern is substantiated. However, competence in design is achieved j through educati n, training, and experience in various amounts depending 'l upon the.cmplexity of that design. While it is important to safety, ,

pipe support design in general is neither complex nor does it involve a l rapidly changing state-of-the-art. It is, to a laroe extent, standardized at TVA. Much, if not all .of this work can be perf ormed by technical )

personnel without the benefit of an engineering degree.

In addition, there is no 'TVA requirement f or design to be checked by a i

, degreed engineer. In this respect TVA practice does not conflict with )

industry standard practice." l Even though the issue may accurately identify a f actual situation, it is .

competency and experience, not the level of f ormal educational training, that qualifies or disqualifies personnel to do design checks or reviews.

._j The issue is not valid.

4.5.8 Issue

Design analysis and verification drocesses are not adequately controlled. ( Addressed as issue "h" f or all plants, as shown in Attachment B '

i i

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l I

TVA EMPLOYEE CONCERNS REPORT NUMBER: 20400 SPECIAL PROGRAM REVISION NUMBER: 2 j Page 24 of 51 j Finding. Control of design analysis and verification analysis processes to comply with regulatory requirements is described in 10CFR50, Appendix B,

Criterion III, " Design Control." ANSI N45.2 and ANSI N45.2.ll amplify these l requirements and they are committed to by TVA.

These controlling requirements are reiterated in TVA-specific documents such as the Preliminary Safety Analysis Report (PSAR), the Final Safety Analysis Report (FSAR), the TVA Topical Report TVA-TR75-1A, the Sequoyah Quality Assurance Manual, the Office of Engineering Design and Construction Procedures Manual, Interdivisional Quality Assurance Procedures, and the TVA Nuclear Quality Assurance Manual.

Procedures addressing the requirements contain the details for accomplishing the necessary controls (as described in the documents referenced). These procedures are found in such documents as the EN DES Procedures Manual (the Red Book EPs), the OE Procedures Manual, and the NEP Procedures Manual).

These processes address the letter of the requirements, however, some individual procedures lack sufficient detail. Some examples of this are addressed in subcategory report 24600 on calculations. There was also some evidence to indicate that not all engineering procedures were strictly f oll owed.

Therefore, the issue is valid in the area of calculation procedures.

Corrective action is addressed in subcategory report 24600.

4,5.9 Issue: Lack of engineering personnel could cause insufficient review of engineering documentation. ( Addressed as issue "1" f or BFN Only, as shown in Attachment B)  ;

i Finding. TVA is aware that lack of engineering personnel could cause  !

insufficient review of engineering documentation and is implementing actions to remedy the situation as noted in the BFNPP. They are also aware of the need to provide adequate resources for technical review as a result of an INPO audit finding as reflected in a TVA memo (Ref. 214) of 08/14/86 on responses to the audit. In essence, the audit finding says that the Division of Nuclear  !

Engineering budget does not ensure adequate resources for technical review and l engineer training. j Section II of the Browns Ferry Nuclear Performance Plan (BFNPP) (Ref. 46) l addresses site engineering and acknowledges problems with the Engineering l Organizati on. l There is an implied lack of engineering personnel for, review of engineering d ocumentati on. The BFNPP recognizes this deficiency 'and indicates actions to alleviate this situation. The situation is to be alleviated by reorganizing engineering resources to perf orm the work where it'can be managed and accomplished more effectively.

I f

The issue is valid.

4.5.10 Issue: TVA changes vendor drawings without vendor approval.

l

( Addressed as issue "i" f or BLN Only, as shown in Attachment B) 2811D-R26 (10/15/87) u__-___- _ _ _

1 i

TVA EMPLOYEE CONCERNS REPORT NUMBER: 20400 SPECIAL PROGRAM REVISION NUMBER: 2 I Page 25 of 51 .

Finding. At BLN EN DES EP 4.35 (Ref.107) requires that the Contract Engineer .

determine in consultatic9 with the design engineer and-the Division of 1 Purchasing if vendor approval is required. ]

For vendor drawing revisions 06/28/85 and subsequent, procedures OEP-09 and l NEP-4.1, although not as comprehensive as EP-4.35, also allude to coordinating j with the contractor / vendor as required. j l

A vendor drawing was " turned over" to TVA when TVA took over control of the pipe support and calculations and assumed engineering responsibility. The

" turn over" point was when ITT Grinnell had completed the final design. The contract with ITT is not closed at this point. The drawings even bef ore " turn ,

over" are coordinated for review and squadcheck at.TVA during the design cycle ]

and bef ore final design. )

1 TVA does not change ITT Grinnell pipe support drawings while they are under l Grinnell control without Grinnell's approval. After turnover (final design i approved by TVA and issued by Grinnell) to TVA, they are considered TVA drawings. As TVA drawings, any needed changes are made by TVA as procedures allow.

l The issue is not valid.  ;

4.5.11 Issue: Personnel performing documentation review lack adequate training. ( Addressed as issue "j" f or BFN Only, as shown in Attachment B. This issue was unique to BFN, and was not evaluated .

f or the other three plants.) l Finding. In accordance with the BFNPP, personnel involved in the use of quality-related Nuclear Engineering procedures will be trained by Engineering Assurance (EA) as indicated by the above noted functions. The implication of the BFNPP is that they have not been trained heretofore.

The TVA Topical Report (Ref. 25) addresses the requirement for an indoctrination and training program for personnel performing quality related activities and sets forth specific program parameters.

" Indoctrination and training practices of Offices of Engineering and Construction are as f ollows:

'" Office of Engineering

" Office of Engineering personnel performing quality assurance /auality control activities are qualified through indoctrination and/or training.

The responsibility for performing quality related activities is assigned only to qualified personnel.

"The need for special indoctrination and/or cross training required to l improve or maintain proficiency may be identified by any Office of Engineering division, branch, project, or staff organization.

2811D-R26 (10/15/87)

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TVA EMPLOYEE CONCERNS REPORT NUMBER: 20400 SPECIAL PROGRAM REVISION NUMBER: 2 Page 26 of 51 "The Office of Engineering Personnel Staff develops the training requirements matrix which relates individual cuality assurance training requirements to specific job functions important to safety and develops proposed training program schedules, evaluation techniques, and identification of trainers and course content."

The Topical Report f or TVA Quality Assurance Program apolicable to station operations, subsection 17.2.2.3, states that the same thing as applicable during plant operations.

Engineering procedures which address training are EN DES-EP 1.16, which is superseded by MSB-EP 63.02, OEP-18, and NEP-1.2. These procedures require training of personnel in engineering procedures appropriate to the individuals area of responsibility. The procedures also require documentation of the training.

A QMS audit status log (Ref.144) dated 08/22/86 implies that BFEP training has been conducted; however, it also indicates there is a failure to document some training on Individual Training Records (ITRs). In addition, the log indicates lack of training relative to various engineering branch procedures.

As this is a corrective action tracking document, the indication.is that corrective actions have been initiated.

Training rosters for 1986 and 1987 were obtained through the BFN jobsite which show training relative to NEPs, including NEP-1.2, NEP-1.6, NEP-4.1, and NEP-5.5. Additional training records were received from TVA Knoxville which indicates engineering procedure training dating to early 1984.

Prior to 1984, lack of training records indicates a lack of training relative to engineering procedures. From 1984 to the present, there is ample evidence that training in engineering procedures is taking place.

This issue may have been valid at an earlier point in time.

4.5.12 Issue: Design engineers did not document their original procurement specificati ons. ( Addressed as issue "k" f or BFN only, as shown in Attachment B. This issue was unique to BFN, and was not evaluated f or the other three plants.)

Findino. As indicated in the BFN FSAR (Ref. 18), General Electric Company (GE) ' procured a great deal of material f or TVA in its contract with TVA f or BFN units 1, 2, and 3. In TVA's BFN 66C31-90744 procurement package (Ref.163) dated 06/17/66, f or equipment, GE procured many items using a TVA procurement specification 9065. 6-A civil procurement specification obtained f or a BFN procurement package (Ref.160) is dated 06/19/67. Electrical specifications referred to in BFN

. procurement packages (Ref.161) are dated as early as 10/25/65. Mechanical procurement specifications were included in procurement packages (Ref.169) dated as early as 06/14/68.

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Page 27 of 51 g x '

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. . . . {

b Some mechanical ~ procurement.packagesL(Ref.162). identified specifics in the .!

form of
attachments, not in procurement specification documents.-

~l i

A~ nuclear procurement" package (Ref. :163) dated 06/17/66 includes 'a TVA procurement (specification.

Evidence exists that~ some original procurement specifications were documented. ,

1 I .The issue is not v'al'id. j

,, -4 4.6 Element ' 204.6, ECN Process J

4'. 6.1 Issue: Engineering Change Notices (ECNs) are closed out.in an 1 untimely manner, without proper status of ECN and affected design -f

. being known.; There is'a lack of adeauate tracking'of EN DES (TVA)'

l design changes (e.g., ECNs) '( Addressed as issue "a" f or all '

plants, as shown in Attachment B) ' -1

} '

Finding. A ' review of the past and present division-wide engineering i , procedures (EN DES-EPs, OEPs,-and NEPs) and site-specific procedures (Refs..

50,'53, and 57) revealed problems in tracking and closeout of ECNs.

L Requirements for. closing ECNs changed from the EN DES-EPs to the'.0EPs to the' .I

- NEPs. Thus, ECNs were. closed at different stages of the field. implementation:

l L. m- -

. . - - of' the changes.._ TheLNPPs (Refs. 41-46). have acknowledged problems in the past =.

l3 9 ' with the. design change process and design change control.

ln j; ' The evaluation team'had found that the ECN procedures used at all of the four- ,

O TVA nuclear plants have been inadeauate in controlling design changes'in the 1

past. , Problems- have been attributed to the lack of coordination between disciplines within the engineering division and'with the site construction

{ organization. Problems have also been attributed 'to the lack.of an adequate-

-tracking and closure procedure which has resulted in the untimely closure of. I

- ECNs. Some ECNs have been closed prematurely 'and others have remained open ,

j for11ong periods of time.  !

i L .L '

L The issue is valid.

J 14.6.2' ~ Issue: Procedure OEP-ll revision eliminated space on the front cover page for identification of other documents and plant areas ,

Elimination of this " checklist," which required e affected by ECNs.

consideration and positive action by the ECN preparer and reviewer, ,

i may result in an.affected document or plant area being overlooked. 1

.j (Addressed as issue "b" for all plants, 'as'shown in Attachment B)

  1. Finding. The ECN cover sheets in EN DES-EPs 4.02 and 4.52 had nine questions ,

wnich required a positive response of "yes" or "no" (Example: FSAR Drawing

-r .

Modified? FSAR Test Modified?). These auestions were removed from the cover sheet in OEP-ll and expanded into a 28-point' list of considerations in

, M* J.M 4. ame---+e4%smae,.-+.www. . .

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c TVA EMPLOYEE CONCERNS SPECIAL PROGRAM REPORT NUMBER: 20400 y o REVISION NUMBER: 2

__f Page 28 of 51 f

Attachment 2 'of the OEP-R <

attachment in f or OEP-il or NEP-6.1. the currentHowever,

/ .NEP-6. l.An\ additional consideration no positive response is requird /d wa d

j:

A review of the SQN and WBN Project Manuals a NEP-3.2, has shown that project procedures a,t both plClarifications and Va responses to a multipage list of considerations Criteria. ants forrequire the Dpositive project procedure. No such positive response'is required esignin Modification thengcorresponds At BLN 8FN preparer complete, sign, an,d date the ECN checklist which iproject p>W Attachment opinion of the ev2 to NEP 6.1, and circulate the list to all revie s identical to wers. It is the positive response ~aluation team, and is typical of industry practice, that a design change are' being considered.is reouired to ensure that all possible At WBN and BLN, there is no indication'that program when it is issued. onse will be change control a positiv The statement of theLeoncerned employee that when OEP 11 -

4.02 and 4.52 the list of."yd and "no" check list of othEN DES-EPs superseded documents was'no longer on the cover sheet is trueer effected .

Attachment Attachment 2 NEP-6.1 2 to to OEP-11 require contained a positive28 and "yes" such the considerationsThe subsequent and "no" re sponse. p; Although the statement of the concerned employee is valid  ;<

found that the latest procedure and its expanded list of co, the ' evaluation te decided improvement over its predecessor.

o c nsiderations is a <

4.6.3 Issue

p{/

documented phoerly.The majority ( Design Change Reauests (DCRs) '

"q are h

shown in Attachment B)] Addressed as issue "c" for all plants, as Finding. b initiated by NUC PR, that provides a request to EA design a'  %

change w

to a nuclear plant. generally DCRs are not considered design documents.ngineering f or aS .!mo,difica >

agrees with the DCR, it will issue an ECN which references the DCRIf 6. Engi Q

The issue that Design Change Requests (DCRs) are not prope l gi not involved fullyin addressed only the revievby the Engineering Evaluation Team becaus of DCRs.

r y documented was M

E.

DCRs are the responsibility of the originating o organi2ati i.e., NUC PR),

6 (The F prepara and 4.6.4 are assessed in elem'nt evaluation 307.04 prepared by TVA (R f Issue: e . 101). .

The engineering modifications are not adequately scope and design activities required for identified.

"d" for all plants, as shown in Attachment B) (Addressed as issue . . .

g u

a g

.m 7

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,p TVA EMPLOYEE CONCERNS

( SPECIAL PROGRAM REPORT NUMBER: 20400 t' REVISION NUMBER: 2 Page 29 of 51 t .

Finding.fJhe evaluation team focused on the improvements in i communic'ating control syptem (Ref. the.42).

change scope that are expected with thi nW, defining and {

design change 9 i The amoun[of' detail included in the brief ci ange description prov {

on the ECN cover is left to the engineering judgment rer. an q informal discussions modification group personnel. between engineers from the affected ant disttline  !

i The evaluation team 'found no evidence of provision for communication e change scope between engineering disciplines in its procedure to im  ;

permanent design change control system, which will be based on the PMP i j(} (

The issue is valid.

}

f' 4.6.6 _ Issue: )

long term) design changes with all discipliys and siteT const ruction.

impact of design changes.This results in an inadeouate evaluation of the

( Addressed as issue "e" for all plants, as shown in Attachment B)

Finding.

For BLN, NSRS reports (Ref. 63c), QMS audit reports (Refs

. 240 and i made for an ECN have revised for the change were somehow overlooked.

been incomplete andnges drawin '

f. ,!

At SQN and BLN, the evaluation team found no evidence of procedures or Y.

direction for any regular coordination meetings between discipline level }(;

engineers and site modifications groups to discuss future design changes .

.h

{

In the proposed plant modifications program, all design' activity will be completed and drawings prepared prior to release of an ECN. Necessary h interdisciplint and interdeoartment coordination shou  % occur e as part of t.p.th

", plant modification changes by CWstructionpackage (PMP) system prior to the installation or Modifications. of phyM hl u .

ss SQN, WBN, an(d BFN will establish the Change Control Board Ib js .

t ;y the Deputy,Sita.03redor, to review all ECNs for tfinal appr(CCB), chaired by

[ t For BLN, the evaluation team has suggested that regular publication of akgW b \ oval..

hF standard information form provided by the PMP tracking program to all @

} provide the ,needed communication of up-coming design '# '

f For all four nuclear plants TVA has acknowledged having a problem with &,s coordinating the past (Ref. 42). design changes with all disciplines and between organizations Em i

This issue is valid. 94

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4 y ,

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( .t' REPORT NUMBER:

REVISION NUMBER: 2 20400 1

\ Page 30 of 51

4.6.6 1ssue

delaying issue "f" construction activities and causing rework.AW exc (Addressed as f or all plants, as 'shown in Attachment B)

Finding.

tne nurfb erDiscussions (quantity with TVA construction personnel (Refs. 243) confirm that of EC8s has resulted in construction delays. The worst y ,

cause of delays was s) aid to!be " overlapping" ECNs; i.e., a

- several o?,her ECNs. unincorporated ,

ECNs outstanding against it and some of the ECNs affect

! < ,c i

./ a.$ NCRs, FCRs, DCRs, 'etc.. CCNs are preoared in response th some ide ECNs control the design work that is to be d4s not control the volume o'f ECffs issued.perf ormed and delineated on Engineering However, it is recognized that

, w % the number of FCNs and [CN' exceeds the capability of the tracking

' devipas, drryi ngs. there could be a mismatch in the actual plant configuration and plant 1

  • Cantiguration This is the Control Group situation (CCG).that led to the formation of the

/ j

) The issue is valid.

A 4.6.7 _ Issue:

g ECNs that were signed off in 1978 by Engineering have not 1

been implemented as of Novamber 1985.

4 WBN only, as shown in Attachment B. ( Addressed as issue "g" f or This issue was determined to be unique to WBN, and was not evaluated for the other (3) plants.

Ofijdina: '

The evaluation team iriterprets this concern as meaning that the

[ physical work described in an ECN 'that was closed out in 1978 had not bee

' perf ormed bv Construction by 1985. >

' WEN, tic closed eben all engineering design work is completed.ECNs This has been fe plan  ;>

,the

.43.02.ease .h6er the TN DES-EPs, the OEPs, the NEPs, and WBN Project Procedure

[]

,1 ;i

,/ ,

a l

, / The evtJuatiov t6n did not attempt to verify the field implementation e of th e1 3,,200 ECW issued for WBN, and shown as closed in the WBN ECN Log data L!

9 s, ./ sheets." Iscead, it focused on evaluating the improvem P!

[ i ,etticipated ire the perma:Vant design change program (PMP) proposed by [

e

' ?.INP0Goq (Ref. 220)heact:pe Guidelines .

70).

(RafiTVA it revising its desion change 2 p

E

/ In the new design change program, which is based on the PtiP, drawings and O documents revised to incorporate the approved change are held until all have been revised, and then de, issued as one package. ,

The issue-ir7 valid. '

^

\

k

'. I 14

, Q  ! ..

[ t. r

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ng TVA EMPLOYEE CONCERNS REPORT NUMBER:

SPECIAL PROGRAM 20400 REVISION NUMBER: 2 Page 31 of 51 4.7 Element 204.7, Vendor Documents 4

4.7.1 1ssue

Vendor drawings received by the plants from EN DES for as-constructed "a" drawings are of poor quality.

(Addressed as issue in element evaluation 204.7 for SQN, BFN, and BLN, and "g" Issue in element evaluation 204.4 for WBN, as shown in Attachment B)

Finding.

the site are not legible and are of poor quality.The evaluation t In the past, TVA has not had a uniform vendor manual control program to process vendor manual re at the Division of Nuclear Engineering (DNE).

problem of illegible drawings by convertingSince thesome drawings Only a few vendor prints have been put onVendor the CAD syste prints will be determining restored which drawingsonare angiven as-needed priority. basis, with Operations and Enginee NQAM . Quality Notice vendor documents are legible and adequately controlled.ID-Q TVA nuclear plant sites and are still in use. Vendor documents of T/A procedures identifying vendor document control did not provide satisf actory com applicable regulatory criteria.

-1 and document control is a recognized problem at TVA, and correc are being implemented to correct the problem.

i:

O The issue is valid. L g".

4.7.2 Issue

Updates of vendor documents (e.g., manuals) are sent to Knoxville or Chattanooga Engineering, but they are not received at ,,

the plant in a reasonable time thereafter. [

(Addressed as issue "b" in element evaluation 204.7 for SQN, BFN, and BLN, and issue"h" in E element evaluation 204.4 f or WBN, as shown in Attachment B) W Finding. g e

could not beThe Office assured of Nuclear of receiving Power the latest (0NP) revisions and Office to vendor manualsof to Construc be F incorporated into their controlled copies in a timely manner. $"

received in Knoxville or Chattanooga. Vendor updates were not sent Revisions to vendor manuals were not distributed in a timely manner. TVA fully implemented. procedures to assure that existing vendor manuals are up to date "ha ...

w k

S 2811D-R26 (10/15/87) s

_ _ _ _ _ o

TVA EMPLOYEE CONCERNS REPORT NUMBER:

SPECIAL PROGRAM 20400 REVISION NUMBER: 2 Page 32 of 51 Prior to November 1986, TVA procedures and practices did not establish adeouate measures to effectively control the review, approval, and issuance of vendor manuals, vendor design drawings, and changes to these documents.

Vendor identical.documents at the jobsite and Knoxville and Chattanooga are not always A TVA memo dated August i

Nuclear Power Operations (INPO) corporate evaluation was reviewed.14,19 In this memorandum, vendor manuals,TVA e.g.: management accepts as valid the f ollowing findings regarding

" Finding (2.6A-1):

Vendor manuals retained by utility off-site organizations are not maintained in a current status. Some vendor manuals retained personnel by corporate contain outdated document control personnel and engineering inf ormation. Additionally, inf ormation in some manuals is not in agreement with that contained in the master copies of vendor manuals maintained at the plant sites."

These examples veriff that vendor manuals within TVA are inconsistent. TVA's acknowledgment of the validity of these findings and narrative regarding on-going efforts within TVA relative to vendor manual control validate the issues of this concern.

The issue is valid.

  • 4.8 204.8, Communication Control

4.8.1 Issue

1 There is a lack of effective communication and interf ace control among the branches of EN DES, and between EN DES and other divisions.

SQN, issue "g(Addressed as issue "a" in element evaluation 204.8 for

[(

" in element evaluation 204.1 for WBN, and issue "f" in element evaluation 204.1 f or BFN and BLN, as shown in Attachment B) [

g Finding. a:

Criterion III of 10 CFR 50, Appendix B requires design interf ace control and coordination among participating design organizations. Section 5 b of ANSI N45.2.ll also requires interf ace control within and between organizations perf orming work affecting desio- Quality. Systematic methods

[

for communicating needed design informatic<. across design interfaces is part f of the interf ace control requirement. G To meet these interface control $

commitments, TVA has issued both upper- and lower-tier administrative instructions and procedures addressing the subject (Refs. 38, 113, 108 and y 109). " r An independent review of the Office of Engineering Design and

[

Construction (OEDC) in 1978 (Ref. 93) found that " communication among the _

multiple organizations involved in procurement [was) not controlled for maximum effectiveness." For example, there were f our organizations in contact with the vendors and six TVA groups coordinating with each other c

, I 7

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.TVA EMPLOYEE CONCERNS REPORT NUMBER: l20400 SPECIAL PROGRAM REVISION NUMBER: 2 Page 33 of 51 l

l on purchases.

To better coordinate purchasing objectives, the independent investigating team proposed the formation of an OEDC/ Purchasing / Division of Law steering committee. A f ollowup i investigation in 1981 (Ref. 92) found that "overall coordination between Purchasing and EN DES had improved."

In 10/81,

-were TVA's generally NSRS reported (Ref. 63c) that the interf ace controls in OEDC adeouate.

However, there were inadequacies in the interdivisional quality assurance procedures regarding interf ace i

. performing reviews, and controlling vendor manuals. responsibilities In early 1984,. the NRC SALP Board found (Ref. 205) that ". . . timely corrective action continues to be a problem when interdivisional f coordination is. required f or resolution of issues." The Board also cited TVA for " failure to establish measures to control design interfaces between participating organizations." i' 217) disclosed disparities between documented and actual o Responsibilities, authorities, and organizational interf aces identified in l l

procedures and organization charts for design and design change control were not revised in a timely manner to delineate organizational interfaces and l lines of communications. I filled in a timely manner.-Furthermore, organizational vacancies were not 1 t

Finally, in late 1985, INPO (Ref. 213c) found the following communication and coordination deficiencies: .

o

. . . many TVA reorganizations have been implemented without needed policy document revisions, with the result that effective .

i communications and smooth coordination are not occurring."  ?

o E

" Communications and teamwork between the OE and Nuclear Operations need improvement, especially at the nuclear plant sites. [ Work changes and misunderstandings) have contributed to mistrust between (

r!

the two" organizations and, in some cases, led to duplication of eff ort.

p}

Based on the above statements made by other investigators, the evaluation team p concluded that there were significant emmunication and i,nterface t coordination problems between TVA's nuclear power organizations. i m

l i.

U yf 2811D-R26 (10/15/87)

TVA EMPLOYEE CONCERNS REPORT NUMBER: 20400 l SPECIAL PROGRAM REVISION NUMBER: 2 Page 34 of 51 Despite the existence of applicable procedures, there were many communication )

and interf ace problems between the engineering branches and between

< engineering and the other divisions. Responsibilities, authorities, and organizational interf aces identified in procedures and organization charts for ] '

design and design change control were not revised in a timely manner to delineate organization interf aces and lines of communications.

The issue is valid.

4.9 Element 204.9, Use of Reverse Prints l i

4.9.1 Issue

Unit 1 prints marked " opposite hand" are being used for unit 2, wnich makes work more confusing f or engineers and construction workers. ( Addressed as issue "a" in element evaluation 204.9 f or SQN, BFN, and BLN, and issue "i" in element evaluation 204'.4 f or WBN, as shown in Attachment B)

Finding. The evaluation team f ound that the use of . opposite hand drawings f or construction does make work more confusing for engineers and construction workers; however, the evaluation revealed the following:

o At WBN, interviews with TVA personnel (Refs. 240, 241, and 242) l indicate that the use of opposite hand drawings has not resulted in )

construction delays or increased costs. I

}

o At SQN, interviews with engineering, construction, craft, and j Quality Assurance personnel confirm that the use of opposite hand drawings was not cost effective and resulted in rework during l constructi on. Construction worker.s and construction engineers spent

! considerable hours using light boxes and window panes to trace drawings on the back cf the sheet to get " proper hand" configuration. Errors resulting from the use of these drawings include improper positioning of Unit 2 Reactor Vessel supports and f abrication errors on the Number 3 heater drain tank.

J o At BFN, the evaluation team was unable to find evidence, because of the early timeframe of BFN construction, that the use of opposite i hand drawings f or construction and startup caused confusion. '

o At BLN, interviews with TVA personnel indicate that the use of

l. opposite hana drawings has resulted in construction delays and '

l t

increased c0sts.

l The use of " opposite hand" drawings has made work more confusing f or l Engineering and Construction personnel, and it has resulted in some rewerk, increased costs, ar,d schedule delays. However, experienced personnel at all l

the plants are nov f amiliar with the use of these drawings and indicate that their continued use would present no further difficulty.

Therefore, the issue is valid, but it does not represent a problem. .

28110-R26 (10/15 /8M

TVA EMPLOYEE CONCERNS REPORT NUMBER: 20400 SPECIAL PROGRAM REVISION NUMBER: 2 Page 35 of 51 4.10 Summary of Subcategory Findinas i The classified findings are summarized in Table 1. Class A and B findings indicate there is no problem and that corrective action is not required.

Class C, D, and E findings require corrective actions. The corrective action 1 class, defined in the Glossary Supplement is identified in the table by the (

numeral combined with the finding class. For example, the designation D2 in i Table 1 indicates that the evaluated issue was found to be valid (finding Class D) and that a corrective action involving some type of procedure modification is required (corrective action Class 2).

Findings are summarized by classification in Table 2. Table 2 identifies one  !

finding for each issue evaluated. Of the 124 findings identified by a '

classification in Table 1, 72 require no corrective action. Of the remaining issues, 51 had corrective actions initiated before the ECTG evaluation, and one resulted from a peripheral finding uncovered during the ECTG evaluation.

l

\

5. CORRECTIVE ACTIONS TVA's new organizational structure focuses management attention on development of adequate procedures and on training personnel in the use of the procedures. The CNPP charges EA with the responsibility f or training DNE employees in the use of quality-related Nuclear Engineering Procedures. In addition, the independent EA overview authority (audit function) will provide feedback to management on engineering perf ormance.

i In general, TVA senior management has identified the need for strengthening its Engineering organization in response to the requirements of nuclear plant design. The Engineering organization is responsible f or the content and l Quality of the design documents and for ensuring that they conf orm to sound '

engineering principles, licensing commitments, and Quality Assurance program '

requirements. This need for strengthening is based, in part, on deficiencies in design process effectiveness. This need is also partially based on past implementation of the TVA Quality Assurance program. Thus, the need f or I strengthening the Engineering organization, as indicated by the NPPs, is accomplished primarily through additional training of the DNE personnel to the.

requirements of that program and to basic management principles. DNE Nuclear  !

Engineering Procedure NEP-5.2 and policy memo PM 87-35, "(DNE) - J Project / Branch Responsibilities," dated January 23,1987[ RIMS B01 870123 002), clearly delineate the responsibility,gauthority, and accountability of the Project Engineers and Branch Chiefs. The Project j Engineer is responsible f or work scope, budget, and schedule, and f or ensuring that project work is executed according to plan and in conformance with the I technical direction of the Branch Chiefs and the requirements of the corporate QA program. The Branch Chiefs are responsible f or staffing levels and qualifications of technical personnel on the projects, and for the technical  ;

adequacy of the engineering design. The Branch Chiefs are the final technical  !

4 2811D-R26 (10/15/871 i

TVA EMoLOYEE CONCERNS REPORT NUMBER: 20400 SPECIAL PROGRAM REVISION NUMBER: 2 Page 36 of 51 i

authority within DNE, and have the authority to stop work that does not I conf orm to established requirements. In the past, Branch Chiefs' authority or resources to fully administer technical reviews was limited. Under the restructured organization, the Branch Chief provides engineers and technical direction for the Project Engineer; the Branch Chief also assesses the need for technical reviews, develops a document review and approval matrix, and schedules reviews as required. These programs have been started but have not been fully implemented.

The manager of EA reports to the director of DNE on all matters other than I QA. The manager of EA has authority to stop engineering work that does not conf orm to established requirements. In reviewing EA's audits at SQN OF THE DBVP, the evaluation team finds that the methodology and performance have been effective in identifying problems and in implementing corrective actions.

Table 2 identifies 52 findings that require corrective action. Since some of the corrective actions apply to more than one plant, only 11 different corrective actions are required to remedy the 52 negative findings. The detailed corrective action descriptions are contained in Attachment B. A condensation of this information by element, with the applicable plant identified in parentheses, f ollows:

5.1 Organizational Structure - Element 204.1 Responsibility f or all nuclear activities has been consolidated within the Office of Nuclear Power; this group is responsible only for nuclear activities. TVA's nuclear headquarters and site personnel have been reorganized. Design and system engineers are being located at the sites to provide engineering support in a timely manner. (All plants) 5.2 Design Review / Verification - Element 204.5 No further corrective action is recuired f or procedures because, in general, the current DNE procedures NEP-5.2 for design review and verification were found to be adeauate on a division-wide basis. However, more emphasis and management attention must be focused on full and complete implementation of these procedures and requirements. Also, management must direct its attention

! to providing adequate staffing to allow careful review and checking of engineering work and desip documents as they evolve. The conducting of ,

design reviews is further addressed in DNE Policy Memo 87-35 (all plants).  :

At BFN, the organization described in Volume 3 of TVA'I Nuclear Performance Plan, Revision 1 is in place. The perf ormance plan establishes Engineering Assurance (EA) to develoo, issue, maintain, and control nuclear engineering procedures and ensure that the procedures mesh with procedures of other organizations. EA also provides training f or DNE personnel in the use of I engineering procedures and provides feedback to management on engineering l perf ormance. (BFN) 2811n p?6 (in /15 /97)

l TVA EMPLOYEE CONCERNS REPORT NUMBER: 20400 4 SPECIAL PROGRAM REVISION NUMBER: 2 Page 37 of 51 At BFN, a problem identification report (PIR) will be written that addresses the apparent lack of design verification f or some bill of material (BM) i drawings. The sample of BM drawings identified in the CATD will be reviewed, j and the sample will be expanded as necessary to address the PIR and identify those drawings "made" and " checked" by the same individual. The design will be verified per DNE 5.1 or dispositioned by approved methods. A CAQR/PIR is to be written to identify any deficiency f ound. The PIR will be closed after all subject BM drawings are verified, revised and/or dispositioned. (BFN) 5.3 ECN Process - Element 204.6 Corrective actions under this element apply to the f our plants as f ollows: 1 o The concept of consolidated plant modification packages (PMPs) f or l controlling modification.ns at each site is addressed.in the Corporate  ;

Nuclear Performance Plan. The specific details f or implementation '

of the PMPs will be in NEPs 6.3, 6.4, 6.5, 6.6, and 6.7.

Implementation of the NEPs is scheduled for December 31, 1987. t Documentation of the final disposition of the CATD will be provided l to ECTG. Actual schedule for implementation of the PMP at each plant will be provided as part of the documentation and final disposition of the CATD (all plants).

Implementation of NEP 6.3 will provide corrective action at all plants. A prescoping meeting between Division of Nuclear g Engineering (DNE) and Division of Nuclear Power (NUC PR) oersonnel ]

is required before design begins. Review of the design by all involved DNE disciplines is required during and following the design ,

process. (Allplants)

The PMP will not contain checklists. However, the PMP process will require that approximately 20 major items of concern be specifically addressed in the modification package. The preparer will not sign each item but will sign the PMP. These items will be reviewed by ,

all involved disciplines before the PMP is issued. (All plants)  ;

o The CAP committed to the issuance of DNE procedures NEP-6.3, 6.4, f 6.5, 6.6, and 6.7 to reflect the design control program committed to in the Corporate and SQN Nuclear Perf ormance Plans. TVA letter

[L44 870512 802] dated 05/12/87, contains a f ormal commitment by TVA to the NRC to implement the PMP at SQN and also provides a schedule I f or doing so. The commitments are listed in the Corporate Commitment Tracking System (CCTS) as Items NC0-0870184001, NCO-0870184002, NCO-0870184003, and NCO-0870184004. Implementati on of the PMP for SQN will begin by December 31, 1987. (SQN) o At WBN, the site process and procedures f or the PMP program will be developed as part of the Design Baseline and Verification Program l (DBVP)~ and implemented before unit 1 fuel load. (WBN)

?Q11h.DOA f in /1 R /0%

1 l

TVA EMPLOYEE CONCERNS REPORT NUMBER: 20400 .i SPECIAL PROGRAM REVISION NUMBER: 2 Page 38 of 51 o At BFN, the PMP process has been in place since implementation of  ;

BFEP PI 86-03 on June 16, 1987. NEP 6.3 and NEP 6.4 to be' issued in  ;

September 1987 and implemented by December 1987 will provide,further -  ;

design change control improvement. BFEP PI 86-03 will be revised to l reference NEP 6.3 and.NEP 6.4. (BFN)  ;

o ECNs issued after the operating license was issued are being reviewed as part of the DBVP. (BFN,_SQN)- -

o At BLN, the PMP program has not yet been implemented. An engineering procedure to control the work will be issued by .

November 30, 1987. Full implementation requires the issuance of DNC l and NSD procedures which will be developed after DNE procedures are  !

devel oped. (BLN) 5.4 Vendor Documents - Element 204.7 There are corrective actions under this element f or f all f our- plants.

o Implement Sequoyah Engineering Procedure (SQEP) SQEP-39, " Review and

. Approval of Vendor Manuals / Revisions." (SQN) o At WBN, site-specific procedures will be developed to implement the l requirements of ID-QAP-6.2 and related Office of Nuclear Power (0NP) d policies and directives. A specific action plan identifying vendor manuals for safety systems or those affecting safety-related systems will be developed. Existing manuals will be placed under

" Conditional Use" status bef ore WBEP DNE review. These manuals will be placed in " controlled" status after WBEP review. Other manuals status with the concurrence of may be placed all affected siteinorganizations.

"Inf ormation Only"(WBN) o' At BFN, Project Instruction (PI) 87-48 is being written and will supersede DNE's portion of Standard Practice BF-2.5 which describes the drawing restoration function. Vendor drawings that are illegible afe also being restored. BFN has had a drawing restoration program in place f or 2 years. (BFN) o The corrective action is to improve the Quality (legibility) and distribution control of vendor documents. Closure of BLN Significant Condition Report (SCR) GENERI 8QO2 and completion of Corporate Ccmmitment Tracking System (CCTS) Commitment l NCO-84-0067-006 will satisf actorily resolve these findings. (BLN)-

5.5 Communication and Interf ace Control - Element 204.8

?

The Office of Nuclear Power (0NP) will develop standard procedures t'o control interfaces with support organizations (such as the Division of Purchasing).

The ONP also plans to develop five levels of integrated procedures, which, among other things, will establish management interf aces. ( All plants)

OQ11n.00A Ii n /1 C / A71

TVA EMPLOYEE CONCERNS REPORT NUMBER: 20400

~

SPECIAL PROGRAM REVISION NUMBER: 2 Page 39 of 51 5.7 Summary of Subcategory Corrective Actions These corrective actions also appear in Table 3, along with their corresponding finding / corrective action classifications. The table indicates the plant or plants to which a corrective action is applicable by the d Corrective Action Tracking Document (CATD) column where the applicable plant is identified by the CATD number.

From the Finding / Corrective Action Classification column of Table 3, it can be L seen that of the 11 corrective actions identified, one indicates a need to restructure at least part of management, two indicate a need to increase management attention to training and staffing, and the remaining eight require improvement in the quality and implementation of engineering procedures. In addition, the CATO column of Table 3 shows that, in most cases, a particular corrective action is applicable to all plants. The corrective action on element 204.5, which involves training and staffing, is the only corrective action applicable to only one plant (the employee concern was unioue to BFN).

Finally, Table 3 shows that, of the nine elements in this subcategory, f our reauire no corrective action (namely, 204.2, 204.3, 204.4, and 204.9) . The element requiring the largest number of corrective actions is 204.6, ECN Process, which has f our.

TVA has developed a series of nuclear performance plans (NPPs) to correct programmatic and management deficiencies that have contributed to the past poor direction and control of TVA's nuclear activities. Volume 1 of the NPP describes the measures that TVA has taken and currently intends to take to improve the corporate-level management of its nuclear activities and to correct the problems that have occurred in this area. Volumes 2, 3, and 4 address, respectively, SQN, BFN, and WBN. There is currently no NPP f or BLN.

The three plant-specific NPPs provide an account of the actions TVA is taking to improve its nuclear program. These measures, when completely implemented, should ' resolve the identified problem areas and prevent their recurrence.

Engineering organization and procedures, and the specific subtopics addressed in the element evaluat. ions that comprise this subcategory, are addressed in the following sections of the corporate and respective plant nuclear perf ormance plans:

Corporate, Sequoyah, Browns Ferry, Watts Bar, Element Volume 1 Volume 2 Volume 3 Volume 4 204.1 Orgar.izati onal IV and VI II.2.0 III.2.0 VI.1 Structure i

204.2 System Design VI.C.1 11.1.0 III.2.0 VI.1 Respen ibility 9

?Q11n.07A ( 10 /14 /n7)

4 TVA EMPLOYEE CONCERNS REPORT NUMBER:- 20400 SPECIAL PROGRAM REVISION NUMBER: 2 .)

Page 40 of 51 l i

Corporate, Sequ oyah, Browns Ferry, Watts Bar, Element Volume 1 Volume 2- Volume 3 Volume 4 204.3 VI.E.4 II.1 11.1 .VI.1 Design Responsibility -

Field vs Office 204.4 VI.E.4 11.2 -11.2 II.2 Design Documentation Completeness 204.5 Design Review. VI.E.4 11.1 11.1 II.2 Process 204.6- VI.C II.2 and III.&- V.7

' ECN Process and II.3- '

Scope of Engineering Required f or u Modification l 204.7 Vendor VI.E.4 II.2 II.2 and II.2 Documents III.2 204.8 Organization VI II.1 Included VI.1 q or Operating in 204.1 I Procedures -

204.9 VI.E.4 II.1 II.1 II.2 .

I Use of Reverse Prints The evaluation team f ound the corrective action plans, as stated in this report, to be acceptable to resolve the findings of the elements of this subcategory, t.

6. CAUSES Table 3.also identifies one or more causes for each negative finding (those requiring corrective action). For each corrective action, the most important cause is identified; however, in many instances, it was felt that the problem

'0 90110.09A ( 10 /1 E /Q7)

TVA EMPLOVEE CONCERNS REPORT NUMBER: 20400 SPECIAL PROGRAM REVISION NUMBER: 2 Page 41 of 51 resulted from a combination of causes, each of which should be identified. In those cases, more than one cause is identified. Whenever direct evidence linked a cause to a problem requiring corrective action, such evidence was taken into account.

For the 11 corrective actions described in Table 3, f our causes have been indicated. These are shown in the table and totalled at the end. The most i frequent cause noted is " Inadequate Procedures." Next is " Procedures Not Followed," then " Lack of Management Attention," and " Fragmented j Organi zati on. " These causes reflect management's f ailure to provide a strong l quality assurance program. A strong program should have revealed at an early date that TVA procedures were inadequate in that they were sometimes l cumbersome and lengthy, and sometimes did not provide sufficient information 4 or instructions to accomplish the tasks. Consequently they were not followed l consistently. Bef ore 1984, there was also an apparent lack of training of l engineering personnel in the use of procedures. I 4

The engineering groups at the plants were separated from the central engineering group at TVA's Knoxville offices. This fragmented organization resulted in uncoordinated plant changes and central engineering group drawings that did not match plant drawings. The division-wi'de engineering procedures )

were written to be applicable to the central engineering organization and were l not always directly applicable to the plant organization. These conditions l resulted in inadequate and inappropriate procedures. The " Inadequate Procedures" also led to difficulties in the plant modification process prompting changes in procedures covering the ECN documentation process and to the initiation of the plant modification package (PMP) program. At at least one plant (BFN), there is evidence to indicate that training was inadequate because of an insufficient number of training personnel. At the same plant some documents were originated and checked by the same individual, which is a violation of procedures and prudent engineering practice.

It is significant to note that, in the early years of the nuclear industry, there was a lack of understanding of some regulatory requirements and governing documents by TVA and others. One result of this situation was insufficient documentation of the design basis for the early plants. This situation also made later verification of the adequacy of the design difficult.

7. COLLECTIVE SIGNIFICANCE The 36 concerns expressed in the subcategory identified 51 findings that require corrective action. All but one of the needed corrective actions were already in progress at the time of the ECTG evaluation. The corrective actions in progress or completed were initiated in response to the corporate and plant-specific NPPs. One was the result of a peripheral finding

! identified by the ECTG that required a new corrective action plan (CAP). For the 11 corrective actions identified by the ECTG, corrective action tracking documents (CATDs) have been issued to ensure documentation of completion of CAPS already in place.

28110-R26 (10/15/87)

TVA EMPLOYEE CONCERNS REPORT NUMBER: 20400 SPECIAL PROGRAM REVISION NUMBER: 2 Page 42 of 51 The negative findings in this subcategory indicate that TVA's management and engineering organizational structure, as well as nuclear engineering design processes, represented a significant programmatic problem when the concerns were expressed. TVA has acknowledged these problems, and has either ,

implemented or outlined corrective actions that should resolve the problems.

However, at the time the employee concerns were raised, procedures were in place that, when followed, would have mitigated the problems. The fact that many procedures were not adequately followed is an indication of poor management attention to the practices of the responsible departments. It must be recognized that the purpose of procedures is to provide an orderly design process. The desired end product is a correct design, which is the responsibility of the engineering line management, i.e,. branch chiefs and lead engineers.

The collective significance of the findings is that, at the time the concerns were raised, TVA's management structure for the engineering, construction, and operation of its nuclear plants was fragmented. Its divided reporting structure resulted in divided responsibility and poor interdepartmental c ommunic ati on. This disorganization was especially apparent in the control of engineering design changes and of design change documentation. If organizational and procedural changes had not been made, eventually there would have been a significant mismatch between the plant configuration and the enoineer.ing drawings and records, which could have resulted in an engineering design error or plant operating error. The present-day organizational structure and operating procedures, when properly implemented, should mitigate problems such as those experienced in the past. l

{

Of particular significance is the f act that the need for strengthening the TVA I Engineering organization in response to the requirements of nuclear plant design has been identified. The Engineering organization is responsible for the content and quality of the design documents and for ensuring that they conform to sound engineering principles, licensing commitments, and Quality Assurance program requirements. This need f or strengthening is based on past deficiencies in design process effectiveness and on poor past performance in

. implementation of the TVA Quality Assurance program. Thus, the need for strengthening the Engineering organization, as indicated by the NPPs, is accomplished primarily through additional training of the DNE personnel to the requirements of that program and to basic management principles. DNE Nuclear Engineering Procedure NEP-5.2 and policy memo PM 87-35 clearly delineate the I responsibility, authority, and accountability of the Project Engineers and Branch Chiefs. The Project Engineer is responsible for work scope, budget, and schedule, and f or ensuring that project work is executed according to plan and in conformance with the technical direction of the Branch Chiefs and the requirements of the corporate QA program. The Branch' Chiefs are responsible for staffing levels and qualifications of technical personnel on the projects, '

and for the technical adequacy of the engineering design. The Branch Chiefs are the final technical authority within DNE and have the authority to stop work that does not conform to established requirements.

2811D-R26 (10/15/87)

TVA EMPLOYEE CONCERNS REPORT NUMBER: 20400 REVISION NUMBER: 2 SPECIAL PROGRAM Page 43 of 51 An independent audit on the effectiveness of the implementation of the total Quality Assurance program is instituted by Engineering management, as a management tool, to additionally ensure that management policy is being enforced. This audit function is provided by the Engineering Assurance (EA) organization, which provides feedback to management on engineering perf ormance.

The results of this subcategory evaluation are being combined with the other subcategory reports and reassessed in the Engineering category evaluation.

l l

t, t

28110-R26 (10/15/87)

TVA EMPLOYEE CONCERNS REPORT NUMBER: 20400

f. SPECIAL PROGRAM REVISION NUMBER: 2 L

Page 44 of 51 TABLE 1 CLASSIFICATION OF FINDINGS AND CORRECTIVE ACTIONS Finding / Corrective Issue / Action Class *

.. Element Finding ** SON W8N BFN BLN C7 C7 C7 C7 204.1 Organization Structure a A A A A Requires Excessive L b Document ati on, . Reviews / c C2 C2 C2 C2 l A B Approvals, Procedures, d B and Response Times; e A A A Design Responsibility; f f or WBN C2 (3) (3) l Communication and Inter- f f or SQN, (4) - C2 C2 f ace Control BFN, BLN g WBN only - C2 - -

h WBN only - C7 - -

]

204.2 System Design Responsibility a B (1) (1) (1) b 'A (1) (1) (1)

A (1) A A 204.3 Design Responsibility a a C7 C7 C7 8 204.4 Design Document Completion A b A A A c C7 C7 C7 8 d C7 C7 C7 8 e C6 C7 C6 8 1 f WBN only - C6 - -

i (6) B (6) (6) a A A A A 204.5 Design Review Process / A A A Independent Verification, b A A

c A A E6 Policy and Practice Vendor

  • Explanation of classes is on the next page.
    • Defined for each plant in Attachment B.

, (1) Issue addressed in element evaluation 204.1.

l (2) Issue addressed in element evaluation 204.2.

(3) Issue addressed in element evaluation 204.3.

(4) Issue addressed in element evaluation 204.8.

(5) Issue addressed in element evaluation 204.7.

(6) Issue addressed in element evaluation 204.9.

l 28110-R26 (10/15/87)

DTVA EMPLOYEE CONCERNS REPORT NUMBER:' '20400'

?- J - i.

REVISION NUMBER: .2 b+f

. 'hi M (*St?'"

-SPECIAL PROGRAM.

Page.45 of 51 7

.. ) i TABLE 1 (Cont'd)

Finding / Corrective Issue /- --Action Class

  • Finding **- SQN WBN BFN BLN' 1 Element 204;5 DesignsL and Calculations, . d' A1 A: A A e A A A- A (cnt'd) Changes to. Vendor Designs A l f- A A A g A A 14 A h A- A A A 11 f or BFN - - C7 -

i f or BLN - - - A j BFN only; - - C4' -

-k BFN only: - . - B- -

a1 C2 C2 C2 C2 204.6~ ECN Process C2 .A b A A c A' -A A A.

d C2 C2~ C2- C2 e C2 C2 .C2 'C2  ;

f A- 'A A A' g f or BFN - - B g f or WBN - C2 -

a. -C2 7 C2- C2

~ 204.7 Vendor Documents C2 b C2 7 C2 204.8 Communication and Inter-- a C2 (1) (1) _(1)

'f ace Control B (7) B B 204.9 Use of Reverse Prints a (1) Issue addressed in element evaluation 204.1.

(7) Issue addressed in element evaluation 204.4.

  • Classification of Findinas and Corrective Actions A. Issue not valid. 1. Hardware No corrective action required. 2. Procedure B. Issue valid but consequences acceptable. 3. Documentation No corrective action required. 4. Training

_ C. Issue valid. Corrective action 5. Analysis initiated bef ore ECTG evaluation. 6. Evaluation D. Issue valid. - Corrective action 7. Other taken as a result of ECTG evaluation.

Peripheral issue uncovered during ECTG -

E. -evaluation. Corrective action required.

    • Defined f or each plant in Attachment B.

x 28110-R26 (10/15/87)

-)

n, TVA EMPLOYEE CONCERNS LREPORT. NUMBER: 20400

SPECIAL' PROGRAM .

' REVISION NUMBER:- 2 ,.

g._

..Page 46 of.51. d l

TABLE 2 -l o

' FINDINGS

SUMMARY

~ Plant ,

.j Classification of Findings SON WBN BFN BLN.  : Tot al Issue not.: valid. No corrective 15: 15. 13- 16~ 59; A. .)

action required.-

B. Issue valid but consequences acceptable. 2. - - 4' 6~ 13 No corrective ' action required.

C. Issue. valid. Corrective action - ' 12 16 15- 8. 51

. initiated before ECTG evaluation..

LD., Issue valid. Corrective' action taken - - - .- 0 as a. result of ECTG' evaluation.

. E .' Peripheral issue' 'uncovere'd during - .

1 -- 1 ECTG evaluation. Corrective' action required. ,

i Total 29 32 33' 30 124 l

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TVA EMPLOYEE CONCERNS REPORT NUMBER: 20400 SPECIAL PROGRAM REVISION NUMBER: 2 Page 49 of 51 GLOSSARY SUPPLEMENT FOR THE ENGINEERING CATEGORY Causes of Negative Findings - the causes f or findings that require corrective action are categorized as f ollows:

1. Fraamented organization - Lines of authority, responsibility, and accountability were not clearly defined.
2. Inadeauate cuality (Q) training - Personnel were not fully trained in the procedures established f or design process control and in the maintenance of design documents, including audits.
3. Inadeauate procedures - Design and modification control methods and procedures were deficient in establishing requirements and did not ensure an effective design control program in some areas.
4. Procedures not f ollowed - Existing procedures controlling the design process were not fully adhered to.
5. Inadeouate communications - Communication, coordination, and cooperation were not fully effective in supplying needed information within plants, between plants and organintions (e.g., Engineering, i Construction, Licensing, and Operations). and between interorganizational disciplines and departments.
6. Untimely resolution of issues - Problems were not resolved in a timely manner, and their resolution was not aggressively pursued.
7. Lack of management attention - There was a lack of management attention in ensuring that programs required f or an effective design process were established and implemented.
8. Inadeouate design bases - Design bases were lacking, vague, or incomplete f or design execution and verification and for design change evaluation.
9. Inadeauate calculations - Design calculations were incomplete, used incorrect input or assumptions, or otherwise failed to fully demonstrate compliance with design requirements or support design output documents.
10. Inadeauate as-built reconciliation - Reconciliation of design and licensing documents with plant as-built condition was lacking or incomplete.

28110-R26 (10/15/87)

J

m ._ .- -- - - _ _ _ . _ _ ,-

TVA EMPLOYEE CONCERNS REPORT NUMBER: 20400 SPECIAL' PROGRAM REVISION NUMBER: 2 Page'50-of 51 l

11. - Lack of design detail - Detail in . design output. documents was I insufficient to ensure compliance with design requirements.
12. Failure to document engineering judgments - Documentation justifying i engineering judgments used in the design process was lacking or l inc anplete. l

)

13. Desion criteria / commitments not met - Design criteria or. licensing 1 commitments were not met.
14. Insufficient verification documentation - Documentation'(Q) was

'i~ insufficient to audit the adequacy of design and installation.

15. Standards not followed - Code or industry standards and practices were not complied with.
16. Engineering error - There were errors or oversights in the assumptions, methodology, or judgments used in the design process.
17. Vendor error - Vendor design or supplied items were deficient f or l

the intended purpose.

Classification of Corrective Actions - corrective actions are classified as belonging to one or more of the f ollowing groups:

l '. Hardware - physical plant changes

2. Procedure - changed or generated a procedure
3. - Documentation - affected QA records
4. Training - required personnel education -
5. Analysis - required design calculations, etc., to resolve
6. Evaluation - initial corrective action plan indicated a need to evaluate the issue before a definitive plan could be established.

Theref ore, all hardware, procedure, etc., changes are not yet known

'7. Other - items not listed above Peripheral Finding (Issue) - A negative finding that does not result directly

.f rom an employee concern but that was uncovered during the process of <

evaluating an employee concern. By definition, peripheral findings (issues) reauire corrective action.

t .

28110-R26 (10/15/87)

TVA EMPLOYEE CONCERNS REPORT NUMBER: 20400 SPECIAL PROGRAM REVISION NUMBER: 2 Page 51 of 51 Significance of Corrective Actions - The evaluation team's judgment as to the

, significance of the corrective actions-listed in Table 3 is indicated in the last three columns of the table. Significance is rated in accordance with the type or types of changes that may be expected to result from the corrective acti on. Changes _ are categorized as:

o Documentation change (D) - This is a change to any design input or output document (e.g., drawing,' specification, calculation, or procedure) that does not result in a significant reduction in design margin.

o Change in design margin (M) - This is a change in design interpretation (minimum requirement vs actual capability) that results in a significant (outside normal ' limits of expected l

accuracy) change in the design margin. All designs include margins to allow for error and unforeseeable events. Changes in design  ;

margins are a normal and acceptable part of the design and  !

construction process as long as the final design margins satisfy regulatory requirements and applicable codes and standards.

o Change of hardware (H) - This is a physical change to an existing plant structure or component that results from a change in the design basis, or that is required to correct an initially inadequate j design or design error, j

If the change resulting from the corrective action is judged to be significant, either an "A" for actual or "P" f or potential is entered into the appropriate column of Table 3. Actual is distinguished from potential because corrective actions are not complete and, consequently, the scope of required changes may not be known. Corrective actions are judged to be significant if the resultant changes affect the overall quality, perf ormance, or margin of a safety-related structure, system, or component.

I t,

i 1

4 28110-R26 (10/15/87) l 1

r_ _ _ _ _ _ _-

.i 1

- TVA EMPLOYEE CONCERNS REPORT NUMBER:. 20400 SPECIAL' PROGRAM. . REVISION' NUMBER: 2 Page A-1 of.8.

. ATTACHMENT A-EMPLOYEE CONCERNS FOR. SUBCATEGORY 20400 j

.! Attachment.A -- lists, by element, each employee concern evaluated in the )

' subcategory. - The concern's. number is given-along with notati on of any other subcategory with which the concern is shared and the~ plant sites to which it could be applicable. .The concern is quoted as received by TVA and.

characterized by TVA' as- safety related (SR), safety significant (SS), or not _

safety'related(NO).

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TVA EMPLOYEE CONCERNS REPORT NUMBER: 20400 SPECIAL PROGRAM REVISION NUMBER: 2 Page B-1 of 42 ATTACHMENT B

SUMMARY

OF ISSUES, FINDINGS, AND CORRECTIVE ACTIONS FOR SUBCATEGORY 20400 Attachment B -- contains a summary of the element-level evaluations. Each issue is listed, by element number and plant, along with its corresponding findings and corrective actions. The reader may trace a concern from Attachment A to an issue in Attachment B by using the element number and applicable plant. The reader may relate a corrective action description in Attachment B to causes and significance in Table 3 by using the CATD number l which appears in Attachment B in parentheses at the end of the corrective l action description.

The term " Peripheral finding" in the issue column refers to a finding that occurred during the course of evaluating a concern but did not stem directly from a employee concern. These are classified as "E" in Tables 1 and 2 of this report.

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