The quality assurance criteria of 10 CFR Part 830, Subpart A, require DOE contractors
for nuclear facilities (including activities and operations) to assess management processes
and measure the adequacy of work performance. Furthermore, the assessment criteria
require that the persons performing the assessments:
have sufficient authority and freedom from line management and
are qualified to perform the assessments.
The maintenance criteria of DOE O 433.1 also require periodic assessments to verify the
condition of systems and equipment.
This chapter discusses four different types of assessments that can be performed to
determine the effectiveness of different aspects of the configuration management process
(see section 7.1). Periodic assessments help ensure that work processes continue to
function properly or problems are identified, root causes are determined, and problems
are corrected. This chapter provides guidance on performing assessments directly related
to configuration management. While contractors may perform these assessments of the
configuration management process separate from other assessments, it may be more
efficient to combine these assessments with other periodic assessments of the activity.
All or part of the assessment of the adequacy of configuration management for an activity
may be integrated into broader management and performance assessments, such as
quality assurance, maintenance, or integrated safety management assessments. If the
contractor decides to fold the assessment of configuration management into a broader
assessment, it must consider the criteria in this chapter when developing the assessment
criteria for the broader assessment.
The objective of assessing configuration management is to detect, document, determine
the cause of, and initiate correction of inconsistencies among design requirements,
documentation, and physical configuration. Properly performed assessments should help
identify inconsistencies between these areas, evaluate the root causes for these problems,
and prescribe improvements to avoid similar inconsistencies in the future.
The five specific types of assessments discussed in this chapter are:
Construction assessments, which are performed to ensure configuration is
managed throughout the construction process for new construction or major