Findings and Concerns

DOE-EM-STD-5505-96

A finding is an individual item that does not meet requirements.

A concern is a determination of a programmatic breakdown or widespread problem supported

by one or more findings.

While findings are the "facts" and are observable evidence of deviations from policy, procedure,

or requirements in a DOE Order or activity policy or procedure, concerns are the issues that

management must address in order to eliminate the recurrence of findings. For example, an

operator is observed performing an incomplete self survey before leaving a posted Contamination

Area. This is a finding that could be written as follows: "An operator exited a Contamination

Area without conducting self-monitoring as required by the posted procedure."

An individual finding that indicates a programmatic breakdown or widespread problem can also

rise to the level of a concern. For instance, an assessor reviews the graded-approach document

and realizes that it has not been approved by DOE. This is a concern that can be written as

follows: "There is no approved graded-approach document for implementing conduct of

operations at the activity ."

Concerns can result from an individual finding, as discussed above, or also from several findings

in one or more areas of the assessment. For instance, an assessor discovers that 7 of 10 Control

Area operators are not aware of maintenance activities in progress, do not control routine

operations, and do not participate in the shift turnover process as required by activity procedures.

These findings indicate that there are widespread programmatic breakdowns regarding the control

of activity equipment and systems. This is a concern that can be written as follows: "Waste-

treatment control room operators are not aware of all operations in progress and do not

adequately control the waste treatment process. They are normally not briefed at shift turnover."

This example illustrates how findings from two areas of an assessment, Control Area Activities

and Shift Turnover, can result in a concern. The flow diagram in Appendix B shows the process

used to develop findings and concerns.